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Document Title: Reconciliation and Incident Management Joint Working Document
Document Type: Joint Working Document
Release: HNG-x
Abstract: Joint Working Document to support the Reconciliation Service
provided to Post Office Ltd by Fujitsu Services
Document Status: APPROVED
Author & Dept: Sandie Bothick - MAC Team
Contributors: Jason Muir, Chris Stevens, Post Office Account Security
Operations, Pete Jobson
Internal Distribution: “I Adam Woodley
External Distribution: As approvers and reviewers list
Security Risk YES, security risks have been assessed, see section 0.9 for details.
Assessment Confirmed
Approval Authorities:
Name Role Signature Date
Mark Nash Post Office Ltd: Head of IT Service See Dimensions for record
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0 Document Control
0.1 Table of Contents
i DOCUMENT CONTROL
0.1 Table of Contents
0.2 Document History
0.3 Details .
0.4
0.5 Abbreviations
0.6 Glossary...
0.7 Changes Exp
0.8 Accuracy.........
0.9 Security Risk Assessment ..
1
44
42
4.3
3 BANKING AND RELATED SERVICES (ONLINE SERVICES 1
3.1 DRS Reports 1
3.1.4 POLSAP 3
Report Distrib 3
2.1 Contingency 4
Reconciliation & Incident Handling... 4
.3.1 Generation of Business Incidents... 4
3.3.1.1 BUSINESS INCIDENT RAISED BY RECONCILIATION SERVICE.............. 14
3.3.1.2 EBBT INCIDENTS RAISED BY POL FINANCE VIA MAC... TS
3.3.1.3 DBTN INCIDENTS RAISED BY POL FINANCE VIA MAC
3.4 Business Incident Reporting .
3.4.1 BIM Reports
3.4.1.2 CLEARANCE CRITERIA
3.4.2 BIMS for Banking and Related Services - SLT condi
-16
NS ..
3.4.2.1 SLT EXCLUSION / SUSPENSION CRITERIA ..
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3.5 System States & Exception Tables .....
3.5.1 Banking and Related Services Exceptions explained.
3.5.2 Incomplete States
3.5.3 Exception States ..
4 AUTOMATED PAYMENT SERVICE (APS). 28
4.4 APS Reports 29
4.4.4 Report Distribution 29
4.1.2 _aps_exceptionsyyyymmad.txt report explained 30
4.2 APS Reconciliation & Incident Handling 34
4.2.1 APS Business Incidents...... 31
4.2.2 APS Business Incident Originator: 32
4.2.3 Generation of Business Incidents 32
4.3 Incident Reporting.
4.3.4 BIM Reports ..
4.3.1.1 BIM REPORT DISTRIBUTION +33
4.3.1.2 CLEARANCE CRITERIA............0+ +33
4.3.2 Reporting Timescales .
44 Client File Delivery...
4.1 Variable File Transfe:
4.2 Reconciliation in the event of non-delivery 0
5 TPS RECONCILIATION
5.1 TPS Report Set...
6 BIMREPORT
7 GUIDES FOR RECONCILIATION
7.
-1 = Reconci in Proces:
: Start of Rec process
Updating Calls...
How to raise a Peak call
How to update a Peak Call
How to close a Peak Call
Merged DCP Report
Creating BIMS.......
Creating new FAD code in BIMS
Suspending BIMS
Unsuspending BIMS
Closing BIMS ....
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0.2 Document History
Version No. Date Summary of Changes and Reason for Issue Associated Change -
CP/PEAK/PPRR
Reference
0.4 06/03/2007 First Draft for review NA
1.0 20/04/2007 Issued for approval NA
14 14/06/2011 Post HNG-X Migration and change of owner
1.2 11-aug-2011 I Issued for review and version number change
2.0 44 Jun 11 Document Approved
2.4 23 Nov 11 Release 5.5 Review
3.0 30-Apr-2012 _I Approved version na
34 18-Mar-2013 I Annual Review
32 44-Mar-2019 I Review, removal of POLFS incomplete and adding instructions
for Reconciliation
33 27-Sep-2019 I Updates to reflect the changes to the architectural landscape I CCN1655
as a result of the back-office transformation program
34 22-Jun-2020 I Updates to remove the Legacy APS and TPS system and cwo0189a
resulting simplification of the reconciliation process
35 15-Jun-2020 I Updated following internal review cycle
4.0 24-Jun-2020 I For Approval
0.3 Review Details
Review Comments by :
Review Comments to Pete. Jobson,
POA DocumentManagement,
Mandatory Review
Post Office Ltd, Head of IT Contract Dionne Harvey
Management
Post Office Ltd, Solution Architect Steve Page <
Bob Booth <_
Post Office Ltd: Branch Reconciliation Team, ‘Sarah Haywood ¢
Link Enquiry Team
Post Office Ltd: Branch Reconciliation Team, Colette McAteer ¢
Operations Manager
Post Office Ltd: Head of Branch Operations Katrina Holmes
Engagement Team
Fujitsu: Senior Commercial Manager Helen Venters
Fujitsu: POA Technical Design Authority Pete Jobson
Fujitsu: POA SSC Manager Adam Woodley; SSC Duty Manager
Fujitsu: Security Operations Manager Farzin Denbali
Fujitsu: POA MAC Team Manager Sandie Bothick
Fujitsu: POA Service Architect Phil Boardman
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Optional Revie
Post Office Ltd: Financial Services Centre
Maureen Corry =
Tracy Middleton £
Jacqueline Whitham ¢.
Lesley Presley ¢_
Post Office Ltd: IT Digital Services Operations
Manager
Jane Smith
Fujitsu: POA Information Security Manager
Jason Muir
Fujitsu: POA SSC (Third Line Support)
Mark Wright, John Simpkins
Fujitsu: Senior Service Delivery Manager
Steve Bansal
Fujitsu: SDM, Service Introduction
Sonia Hussain
Fujitsu: Commercial Manager
Post Office Account Commercial Mailbox
ied for Informatio
toa minimum
istribution lis
Chris Stevens
Andy Dunks
Fujitsu: Security Operations Team
Fujitsu: Security Operations Team
(* ) = Reviewers that retuned comments.
0.4 Associated Documents (Internal & External)
Reference Version Date Source
PGM/DCM/TEM/0001 Fujitsu Services Post Office Account Dimensions
(D0 NOT REMOVE) HNG-X Document Template
SVM/SDM/SD/0020 End to End Reconciliation Reporting Dimensions
SVM/SDM/SD/0015 Reconciliation Service: Service Dimensions
Description
Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.
0.5 Abbreviations
Abbreviation Definiti
APS Automated Payments Service
AL Alliance and Leicester (now Santander)
BIMS. Business Incident Management Service
BRDB Branch Database
CAPO Card Account for the Post Office
ccD Contract Controlled Document
cTs Client Transaction Summaries
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Abbreviation
Definition
D&CC Debit & Credit Card
DBTN Disputed Banking Transaction Notice
bcs Debit & Credit Card Services
DRS Data Reconciliation Service
EBBT Enquiry Based Banking Transaction
EDSC Third Line Support (SSC)
ETS Electronic Top Up Services
ETU Electronic Top Up
FI Financial Institution
CFS Core Finance System (Post Office Limited)
LINK Link Interchange Network
MA Merchant Acquirer
MAC Major Account Controllers
MER Manual Error Report
NBS Network Banking Services (A&L, CAPO, LINK)
NBSC Post Office Ltd Network Business Support Centre
POL RDT Post Office Ltd Reference Data Team
POLSAP: Post Office Ltd Consolidated SAP System
Credence Post Office Ltd Management Information Systems
POL Finance Post Office Ltd Finance Department
POA Fujitsu Post Office Account
ssc Service Support Centre (Fujitsu Third Line Support - EDSC )
TES Transaction Enquiry Service
TPS Transaction Processing Service - decommissioned
0.6 Glossary
Term
Business Incident
Definition
Any exception (as defined below) reported via NB102 or via the MAC requiring
investigation and the provision of corrective information to allow Post Office Ltd to
settle or reconcile. A Business Incident relates to the ‘Symptom’ and not to the root
cause of the exception.
Customer Critical I A Priority Exception (see below for definition) where Fujitsu have received a DBTN,
Exception (see below for definition).
DBTN Disputed Banking Transaction Notice: Where Fujitsu has received notification from
Post Office Ltd via the Enquiry Service following a query by the ‘End’ customer
relating to the state of his / her account.
EBBT Enquiry Based Banking Transaction: Where Fujitsu has received notification from
Post Office Ltd via the MAC wishing to query a particular transaction.
EMIS. Electronic Management Information Service
Exception Types
Within all reports the ‘Exceptions’ category will include:
* ‘Incomplete States’, i.e. those transactions where one or more transaction
component is missing — a C4 without a C12 etc
* Genuine exceptions where transaction components belonging to the same high
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Term Definition
level transaction have been exceptioned, e.g. C12 (amount) not = to C4
(amount) ete.
* DRS corruptions
Reconciliation Service Between 08.00hrs and 17.30hrs Monday — Friday inclusive, excluding English bank
Day holidays
On Line Services Transactions completed via the Horizon system within the Post Office branch that
require real time communication with Post Office Ltd Financial Institutions or Clients.
Currently this includes: Banking transactions (Santander, Card Account for the Post
Office (CAPO) & LINK), Debit & Credit Card transactions and Electronic Top Up
(ETU) transactions.
Priority Exception An exception reported within NB102 section 5 relating to system states 4 or 12
following confirmation of a corresponding C4 or D message
System Incident Any exception (as defined above) reported via NB102 or via the MAC requiring the
investigation and repair of the root cause of the exception
0.7 Changes Expected
Possible changes following review and discussion.
0.8 Accuracy
Fujitsu Services endeavours to ensure that the information contained in this document is correct but, whilst every
effort is made to ensure the accuracy of such information, it accepts no liability for any loss (however caused)
sustained as a result of any error or omission in the same.
0.9 Security Risk Assessment
Security risks have been assessed and it is considered that there are no security risks relating specifically to this
document.
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1 Introduction
This document provides a summary of Reconciliation within the HNG-X solution.
This document also outlines the Reconciliation incident management procedures required to investigate,
report and resolve all reconciliation incidents which are identified via the DRS (Data Reconciliation
Service) reports and also incidents raised via MAC (Major Account Controllers).
1.1. What is Reconciliation?
End to end Reconciliation within HNG-X is the mechanism by which Post Office Ltd (POL) and Post
Office Account (POA) establish which transactions are complete and correct, and which are not. An
incomplete transaction is not necessarily a Reconciliation incident, but it might become one if it is not
completed in a timely manner. A reconciliation incident is raised where:
e a transaction is expected but does not arrive in the reconciliation system in a timely manner
e the same transaction delivered to the reconciliation system from two separate sources differ
e transactions performed at Branch are not successfully delivered to POL Clients
Each and every Reconciliation incident is the result of some system fault or discrepancy. That incident
might, for example, be:
a software fault (introduced through either design or coding)
a system crash
An internet or other communications failure
Delivery of invalid reference data
Such incidents may affect transactions, thus it is the job of Reconciliation Service to detect when and how
any transaction is affected by any system incident.
A reported Reconciliation incident provides:
e A business impact in terms of an error report on a transaction, and
e Evidence of a system fault or discrepancy that may need some corrective action.
It is acknowledged that not all software faults will lead to corrective action as this is generally done ona
contractual and/or cost benefit basis.
1.2 What does Reconciliation look like?
Reconciliation is delivered as a set of printable electronic reports (typically .txt files). The content and
layout of the reports reflect the system architecture. This has been detailed in the SVM/SDM/SD/0020:
End to End Reconciliation Reporting document
1.3 How is Reconciliation used?
Reconciliation is used by Post Office Ltd:
e To provide Financial and Business Reconciliation at transaction level, i.e. to prove that each
transaction is complete and correct and to report any transaction that is either not complete or
not correct. Whilst zero value transactions might not affect settlement or accounts, excessive
numbers can represent lost business. In addition, some APS transactions are zero value, but
they must still be passed through to the end client, e.g. Card Account transactions, some DVLA
transactions.
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e To prove the accounts are correct and to enable individual transactions to be identified that are
causing discrepancies in or incompleteness of the accounts.
e For settlement with Clients either by providing information to contribute towards the invoice or
payment generation.
is used by Reconciliation Service:
e For system diagnostics (fault finding) and to prove system integrity. Normally, all transactions are
of interest including those with zero value. Zero value on-line transactions may indicate some
‘network’ issue that caused the transaction to time out at the Counter. While it may be acceptable
for there to be a background level of these, they must be monitored so that corrective action can
take place if the volumes become excessive.
e For explaining to Post Office Ltd why transactions are incomplete or incorrect and to provide
evidence to support statements made;
« To prove that corrective action is effective.
Typically, Reconciliation reports fulfil the purposes of both Post Office Ltd and Post Office Account
without the need for separate reporting for each organisation.
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2 Scope
This document is intended to supplement the CCD SVM/SDM/SD/0020 - End to End Reconciliation
Reporting document.
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3 Banking and Related Services (Online Services)
The Banking and Related Services Reconciliation Report Set or the DRS Report set are used by Post
Office Ltd for Reconciliation and settlement with Clients and by Reconciliation Service as input to error
resolution and as evidence when advising Post Office Ltd of the true state of transactions.
Five different report sets are produced for transactions categorised below for the different Clients:
Network Banking transactions for Clients:
e Santander,
* Card Account for Post Office (CAPO),
«= Vocalink
e Electronic Top Ups transactions for Client EPAY
e Debit & Credit Card (D&CC) transactions for Client MA
3.1. DRS Reports
The DRS is the Data Reconciliation Service for NBS, DCS and ETS. It is an implementation of a state
table based on four input flows, [C12], [S], [C4], and [D]. It also has a [C2] output flow that is generated
from the [C12] input flow.
e [C12] flow comes direct from the Branch Database at the End of Day
* [8] flow is optional and is used by DCS only to reflect the extended [C2] feed to MA to enable
Post Office Ltd to view a preliminary settlement position
e [C4] flow reflects the bank view of the transaction, and the
e — [D] flow represents an error form of the [C4] flow when it can be determined that a transaction is
inconsistent from the bank point of view.
* [C2] flow comes from the [C12] input flow.
The diagram below ‘Reconciliation in HNG-X’ gives the overview of the following data flows:
e [R] Request message, [A] Authorisation message, [CO] Confirmation for 0 Value (which starts the
reversal process) and [E] Reversal that form the RACE that is captured by the NPS (NBX
Persistent Store).
« REC (Reconciliation file) to Santander, CAPO
e LREC (Link Reconciliation file) from Vocalink,
¢ DTF (Daily Transaction Feed) from EPAY,
« Payment file to MA
e EMIS (Electronic Management Information Service) from MA
e EPA (Electronic Payment Advice) from Amex
e APS Client transaction files to Clients
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¢ CTS Client Transmission Summary used by POL to settle with AP Clients
{ Financial Institutions
A Payment
4 LS -
Raq co REC LREC DIF
I f i \ \ Payment
i
= i ne i
Centre aang! RACE—[B> NPS RACER TES. B DRS reer
ROA co a
¥ i or
i
n-Line Service Cllent
AP Reconciliation
APS Tins a Reporte
RA co _
i
Horizon
Counter
Reconciliation In HNG-X
Na
Clients
If any of the transaction data flows are unavailable, this results in the creation of an ‘Exception State’ as
defined in Section 3.5 of this document.
In addition, a transaction may well receive the full set of transaction sub components described above
however one or more of these sub components may be for a differing or corrupt value when compared to
the others. In such cases, an “ERROR STATE’ will be created as defined in Section 3.5 of this document.
The reports produced are:
« NBOOO DRS Summary Report. This is a single daily report covering NBS, DCS, and ETS. It lists
all reports produced and identifies those not produced as there is no data with which to populate
them.
e NB101 Network Banking Settlement Statement. This is a separate daily report for each Client. It
is the baseline used for Client settlement subject to corrections based on the error reports.
Essentially, it reports the [C4] position.
e NB102 section 1 All Uncleared Confirmed, Unconfirmed & POLSAP exceptions. This is a
separate daily report for each Client. It is an error report used to correct the settlement figure.
e NB102 section 2 Uncleared Exception Client Transactions. This is a separate daily report for
each Client. It is an error report used to correct the settlement figure.
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e NB102 section 3 Uncleared corruptions. This is a separate daily report for each client. It is an
error report used to correct the settlement figure.
e NB102 section 4 Uncleared Timing Differences. This is a separate daily report for each Client. It
is an error report used to correct the settlement figure.
e NB102 section 5 Uncleared Confirmed, Unconfirmed & POLSAP exceptions >24 hours. This is a
separate daily report for each Client. It is an error report used to correct the settlement figure.
Transactions do not appear on it unless they have not changed state for more than 24 hours (i.e.
there is no transaction progression).
« NB102 section 6 Uncleared Future Dated Transactions by Client. This is a separate daily report
for each of NBS and DCS (ETS is treated as though it is a Client within NBS). It is used to report
summaries of transactions that are ‘future dated’ and therefore do not fall into the normal scope
of Reconciliation until a future Reconciliation overnight. Future Dated refers to the Reconciliation
date, not the date on which the transaction took place.
e NB102 section 7 All Cleared Confirmed, Unconfirmed & POLSAP exceptions. This is a separate
daily report for each Client. It is used to demonstrate that errors were ‘cleared’ from the DRS
correctly.
e NB102 section 8 Cleared Exception Client Transactions. This is a separate daily report for each
Client. It is used to demonstrate that errors were ‘cleared’ from the DRS correctly.
« NB102 section 9 Cleared corruptions. This is a separate daily report for each Client. It is used to
demonstrate that errors were ‘cleared’ from the DRS correctly.
e NB102 section 10 Cleared Timing Differences. This is a separate daily report for each Client. It is
used to demonstrate that errors were ‘cleared’ from the DRS correctly.
e NB102 section 11 Cleared Confirmed, Unconfirmed & POLSAP exceptions >24 hours. This is a
separate daily report for each Client. It is used to demonstrate that errors were ‘cleared’ from the
DRS correctly.
e NB102 section 12 Cleared Future Dated Transactions by Client. This is a separate daily report
for each of NBS and DCS (ETS here is treated as though it is a Client within NBS). It is used to
report summaries of transactions that were future dated but are now entered in to the main
Reconciliation stream.
The report definitions are common to all applications although differences of the RAC model mean that
for each of NBS, DCS and ETS the interpretation of the reports for each application must vary
significantly.
3.1.1 POLSAP
The DRS Reports refer to the POLSAP system that was decommissioned on the 27" January 2019. The
POLSAP system used to receive its transaction feed from the legacy TPS system and it was the feed of
C112 messages from TPS that gave assurance that there was reconciliation with POLSAP.
POLSAP no longer exists and neither does the TPS system that fed summarised transactions to it.
3.2 Report Distribution
Reconciliation reports will be delivered to Post Office Ltd via the PODG delivery service. Files will be
presented to PODG in accordance with the Service Level Targets as stipulated in the Data Centre
Operations Service — Service Description document SVM/SDM/SD/0003.
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All reports will be produced as ASCII text files — one for each report. The report layout will be fixed format
with space characters providing the blank space. This will allow for ‘Excel’ input, using fixed field width
facilities. Any formatting, (lines and shading) will not be included within the file.
3.2.1 Contingency in the Event on Non delivery of reports to Post
Office Ltd
If Fujitsu Services is unable to deliver any or all reports to the Post Office Ltd. gateway by 08.00hrs the
day following the run date of the report, Fujitsu Reconciliation Service will liaise with POL Finance to
arrange an e-mail transmission via the Fujitsu corporate account. Fujitsu Reconciliation Service will
operate this contingency under ‘reasonable endeavours’ and will aim to have the reports with POL.
Finance by 09.00hrs in contingency. However, this timescale may not be achievable if processing
problems have also delayed receipt of the reports into the DRS workstation.
Any distribution list for these reports is considered by both Fujitsu and Post Office Ltd to be of a dynamic
nature and therefore specific addressees are not covered within this document
3.3. Reconciliation & Incident Handling
Reconciliation Service shall study and monitor the DRS reports and report on any Banking and Related
Services transaction states which are:
e _ intrinsically anomalous, in that their occurrence implies malfunction in End to End On Line
Services; or
* anomalous in that an expected state has persisted for an unexpected duration (e.g. where
C12 Confirmations are received from the BRDB but the C4 messages have not been received
via the EMIS file),
Exceptions reported within the DRS Report Set will be applicable to:
« Communication difficulties between the Post Office branch and the BRDB, Authorising,
Agents, etc.
e Errors within the DRS (with corresponding errors returned via the TES)
« Corruptions within the DRS
3.3.1 Generation of Business Incidents
Business Incidents will only be generated by the following groups within Fujitsu and Post Office Ltd.
e Fujitsu Reconciliation Service for all exceptions reported via the DRS report set.
e POL Finance for any ‘Enquiry Based Banking Transactions’ (EBBT) or ‘Disputed Transaction
Notice’ (DBTN) discovered by Post Office Ltd. that has not been reported by Fujitsu
Reconciliation Service via the DRS report set
e Fujitsu Third Line Support (SSC) for any system fault or database adjustment which is.
considered by Fujitsu to have a reconciliation or settlement implication within Post Office Ltd.
in respect of banking and related transactions.
3.3.1.1. Business Incident raised by Reconciliation Service
Reconciliation Service will raise an appropriate Business Incident when needed via the BIMS database
for all exceptions that require reconciliation reported on the NB102 Section 2, 3, 4 and 5 of the DRS
report set.
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3.3.1.2 EBBT incidents raised by POL Finance via MAC
It is important that POL Finance supply sufficient information to the MAC when generating a Business
Incident in respect of an EBBT to ensure the timescales for the resolution of Business Incidents referred
to in section 3.4.2 can be achieved. Achievement of such timescales is dependent upon the following
information being provided by POL Finance when generating a Business Incident via the MAC:
1. ATS call is to be raised.
2. Prefix all narrative with ‘This is a Business Incident for Reconciliation Service, PLEASE
ROUTE THIS CALL TO EDSC’ The following transaction detail:
« Branch code
« HNG-X Transaction ID number
« Value of transaction
e Date of transaction
NB: Where POL Finance raise a business incident for an EBBT Business which may require a large
amount of supporting information, summary detail only may be given to the MAC and the additional
information may be sent via e-mai Reconciliation Service at
PostOfficeAccount.reconciliatio}
3.3.1.3 DBTN incidents raised by POL Finance via MAC
This facility is to support requirements in respect of Disputed Banking Transaction Notice (DBTN) where
Post Office Ltd. has received notification via either the Post Office branch or the Network Business
Support Centre (NBSC). POL Finance will contact Reconciliation Service directly by telephone, or email,
requesting urgent investigation within the timescales quoted in section 3.4.2
Achievement of such timescales is dependent upon the following information being provided by POL.
Finance when generating a DBTN enquiry via the Enquiry Service:
« Branch code
« HNG-X Transaction ID Number
«Value of transaction
e Date of transaction
NB: If incorrect or insufficient information is provided by POL Finance to allow resolution of the DBTN
enquiry, no further action will take place until the requisite information is supplied and the enquiry will not
be monitored in accordance with the timescales referred to in section 3.4.2.
3.4 Business Incident Reporting
3.4.1. BIM Reports
e The Business Incident Management System (BIMS) has been designed to report the progress to
resolution of a Business Incident to allow Post Office Ltd. to complete an accurate reconciliation
or settlement with their clients. For ease of identification and association, BIM report references
will take the Fujitsu internal Incident and Problem Management System (PEAK) reference
number. In all cases each BIM report will have a unique identifier.
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e ABIM report will be issued for each Business Incident generated. BIM reports are designed to
notify POL Finance of the detail required to assist in the reconciliation or settlement process
within Post Office Ltd. domain. BIM reports communicate information concerning the resolution of
the symptom of an underlying cause, not the cause itself; this information would be supplied via
the Problem Management route, if escalated to this level.
« Where a System Incident is generated to eradicate the cause of a particular problem and there is
one or more associated Business and Related Services Business Incidents, cross-references will
be supplied on the Business and Related Services Business Incident BIM report and via the
Problem Management process to allow tracking of the System Incident.
3.4.1.1. BIM Report Distribution
e The Reconciliation Service will distribute BIM reports to POL Finance, using the Fujitsu corporate
e-mail network. In the event that the Fujitsu or Post Office Ltd corporate email systems are
unavailable, Fujitsu will discuss with POL Finance appropriate means of information transfer.
e _BIM reports distributed in accordance with this section will be deemed to have been issued to
POL Finance at the time of transmission by email.
« An example of a BIM report is shown at Section 6.
3.4.1.2 Clearance Criteria
e Reconciliation Service provides information concerning On Line Services Business Incidents to
POL Finance on a ‘drip feed’ basis, by issuing updated versions of the initial BIM report.
e ABIM report is ‘Cleared’ when the Reconciliation Service has provided the necessary
reconciliation / settlement information.
e Additionally, the exception is cleared from the appropriate section of NB102 after necessary F99
authorisation has been obtained from POL.
e MER charges are detailed in the Reconciliation Service: Service Description document reference
SVM/SDM/SD/0015.
3.4.2. BIMS for Banking and Related Services - SLT conditions
Reconciliation Service will raise an initial BIM report relating to a new Business Incident on the same
working day as the Business Incident is generated via the MAC or the Enquiry Service, or in any event on
the morning of the next working day. This will be made available in accordance with Section 3.4.1.1 to
POL Finance. This initial, incomplete, BIM report will serve to notify POL Finance that a Business Incident
has occurred and that the completed BIM report will be provided to POL Finance within the agreed
timescales below.
In the event of the DRS Report Set not being available to Fujitsu Reconciliation Service in time to enable
any exceptions to be notified within this timescale, Fujitsu Reconciliation Service will contact POL
Finance to agree a temporary extension to the timescale.
All enquiries and transaction searches within 90 days of the original transaction date will be carried out by
the Reconciliation Service via the DRS/Transaction Enquiry Services (TES) system. Enquiries and
transaction searches where the original transaction date is in excess of 90 days will be carried out by the
Reconciliation Service using the POA Audit Archive.
The Reconciliation Service will ensure the final cleared BIM report in accordance with the following
timescales:-
1. For DBTN enquiries where the transaction date is within 90 days of the date the
transaction is disputed by the end customer and raised by POL via the MAC in
accordance with Section 3.3.1.3 :
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95% must be resolved within <= 8 hours of notification based upon all DBTN enquiries
(Customer Critical Exceptions) received within the quarterly reporting period
The following conditions apply to DBTN enquiries:
The calculation of the time to resolution within the above SLT will only commence from either
the receipt of the C4 or D transaction component within the DRS, or the reporting of a Priority
Exception, (which becomes a ‘Customer Critical Exception by way of the associated DBTN),
within NB102 section 5 of the DRS report set.
2. For any DBTN enquiries where the transaction date is in excess of 90 days of the date
the transaction is disputed by the end customer and raised by POL via the MAC in
accordance with section 3.3.1.3:
e All attempts will be made to resolve this within 5 Reconciliation Service days of
notification, but if there is a delay in obtaining evidence from the Audit Archive,
the SLA will be suspended after agreement with POL.
3. For any ‘Priority’ exception relating to incomplete states 4 or 12 reported within NB102
section 5 and raised by Fujitsu Reconciliation Service in accordance with section 3.3.1.1:
95% must be resolved within <= 8 hours commencing at 08.00hrs on the SECOND
Reconciliation Service day following receipt by the DRS of the exception, based upon
all Priority exceptions received within the quarterly reporting period.
4. Forall non ‘Customer Critical’ exceptions reported within NB102 sections 2 — 5 and raised
via the MAC by Fujitsu Reconciliation Service in accordance with section 3.3.1.1:
« They must be resolved within 5 Reconciliation Service days of notification via
NB102 sections 2 -5.
5. For EBBT Business and Related Services reconciliation errors raised by POL via the MAC in
accordance with section 3.3.1.2 :
e All attempts will be made to resolve this within 5 Reconciliation Service days from
the date they were reported to the MAC, but if there is a delay in obtaining
evidence from the Audit Archive, the SLA will be suspended after agreement with
POL.
NB: All time is calculated using the Reconciliation Service day (08.00 to 17.30) and Monday to
Friday inclusive, excluding English bank holidays.
3.4.2.1. SLT Exclusion / Suspension Criteria
« Where an exception has been generated due to factors outside of Fujitsu control, e.g. where
a Post Office branch has failed to communicate due to fire, flooding or other agreed
‘Enforced Closure’ conditions, the exception will be removed from the BIM SLT calculation in
agreement with Post Office Ltd and resolved using ‘Reasonable Endeavours'.
« Where an exception necessitates the retrieval of information from, or access to, a Post Office
branch to enable successful resolution and this is not available, the period whilst Fujitsu
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waits, having requested information or access to be provided, shall not count towards the
time for resolution of that exception.
e Post Office Ltd. will be informed via the BIM report relating to the exception under
investigation that SLT suspension is being invoked.
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3.5 System States & Exception Tables
When
12c2 ch Ds
Pre-validation Arrives, then Pre-vaidate
On tneompete/Corrupt errr goto £27 £28 £29 £30 E31 Validate on entry into State (# means not equal to! MSU Action
State NoC112=N/A Conf Agent__NBE/Pymnt [I When valid, go to state Amount:Action_ Amount:Action II Settlement Date:Action [Set State to
stat 0 tr 1 4 08
1 ca fol €02 3 15 10 - - 99
Final 3 ca ca Jeon e11 €12 €13 E14] c12Hcaseaa : (cASettle DtéRec DI:E39
4 ca [ror 3 £04 E09 E06 - - - 99
s N/A Lite ste eu initia: - - :
6 WA fol fo2 3 15 11 - :
7 WA £01 3 E04 £09 £06I - -
8 s feor 10 16 20 £05 : 99
9 NIA €01 21 17 21 £05) - -
10 ca s Jeor cor 19 23 £05) crzisaci2H0.e24 caSettie DusRec Die39 I F99
Buy N/A £01 £02 19 23 £05) : :
12 p — Ieo1 15 08 E09 £07 - - - 99
44 WA £01 15 E08 E09! E07I - - -
15 12 > Jeo1 for cos c09 cov] cizwm:e26 - casettie DtiRec Die39 I F99
16 sea Jor 19 03 £09 £05 : CaSettle DtéRec D639 I F99
a7 N/A £01 19 £04 E09 E05) : .
Final 19 cz S/C4 €01 £11 £12 £13 E14 C12H#C4:E23 CAWS&C4HO:E32 I C4 Settle Dt#Rec Dt:E39 F99
20 s/D £01 23 E08 £03 E05 D#S:E33 CA Settle Dt##Rec Dt:E39 F99
21 N/A £01 23 E08 E03 E05) -
23 N/A £01 £02 £08 £03 £05) - - - -
Exception States
TOL Unexpected liz Fo
£02 Additional C12 - cone - - 99
£03 Additional D : 99
£04 Additional C4 - sone 99
£05_Additionals - - - - : 30
106 Safer ca 759
£07 SafterD - soe - - 99
£08 C4afterD - soe - - 99
£09_Dafterca - _- - - 99
FIO Notused cs cs cs
E11 Ci2afer final state : . 99
E12 C4 after final state . 99
£13 Dafterfinal state - - : - - 99
E14_Safter final state - - 99
Fis Notused oT ss
E16 Not used - - se - -
E17 Not used : - :
£18 Not used see - - - -
£19_Notused - -
720 Notused —
£21 Not used see - - - -
£22 Not used - os : -
£23 Amount of C12#C4 - - 99
£24 Amount of C12HS & C1240 oe - - - £99
£25 Not used : se : :
£26_Amount of C12#D - - £99
T27 Notused —
E28 Incomplete/Corrupt C12 99
£29 Incomplete/Corrupt C4 : : : F99
£30 Incomplete/Corrupt D - sof : : F99
£31_Incomplete/Corrupt $ . . £99
TR? Amount of CA¥S & CARO 759
£33_ Amount of Das - - - £99
Ta Notused —- :
£35 C12 arrived after state F99 : : - - 99
E36 C4 arrived after state F99 : - : - 99
E37 D arrived after state F99 99
£38_S arrived after state F29 99
739" Settlement Date # Reconcllation Date z : 7
Final “F59_MSU Resohved Tor_ess E56 O37 65 = = : =
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3.5.1 Banking and Related Services Exceptions explained
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
All On Line Services I State I Transient State — None envisaged N No Action No Action
All On Line Services I State 2 Transient State — due to branch non polling— I N No Action No Action
not applicable in HNG-X
All On Line Services I State 3 Final State — not on exception report N No Action No Action
All On Line Services I State 4 Banking (Santander, CAPO & Vocalink) &
ETU: Potential for incorrect settlement with FI 7 - : -
and /or incorrect adjustment of End Customer I ¥ Banking & ETU: Issue BIM report I Adjust settlement with FI with
‘Ao . I detailing as far as possible how far the I instructions to FI to adjust end
count. (Banking : oa
A 8h transaction progressed via the customer account if required
a" I Horizon counter — confirm whether
Debit & Credit Card: Exceptions will always I tS? I Fujitsu Reconciliation Service believe
e ee YS I (ETUB I payment was made or accepted by
be cleared upon receipt of Refund instruction
from POL Finance. Exception will not be
investigated and ultimately cleared from the
reports by F99 action.
Priority 5
day)
End Customer. F99 exception to clear
from reports
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
All On Line Services State 5 No longer applicable N No Action No Action
All On Line Services State 6 No longer applicable N No Action No Action
All On Line Services State 7 No longer applicable N No Action No Action
Debit & Credit Card State 8 Transient State - None envisaged N No Action No Action
Debit & Credit Card State 9 No longer applicable N No Action No Action
Debit & Credit Card State 10 Transient State — None envisaged N No Action No Action
Debit & Credit Card I State 11 No longer applicable N No Action No Action
All On Line Services State 12 and Potential for incorrect settlement with FI and /or I N Issue final BIM report when State Adjust settlement with FI with
13 incorrect adjustment of end customer account. progresses to State 15 or exception instructions to FI to adjust end
ep . a a remains at State 12 and 13. F99 to customer account if required
‘D” exception type signifies that the FI is aware ,
clear from reports
of the error.
All On Line Services I State 14 No longer applicable N No Action No Action
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
All On Line Services State 15 Final State with a “D” signifying that the FI is N Issue final BIM report. F99 to clear Adjust settlement with FI with
aware of the error from reports instructions to FI to adjust end
customer account if required
Debit & Credit Card State 16 None envisaged N No Action. No Action
Debit & Credit Card I State 17 No longer applicable N No Action No Action
Debit & Credit Card State 18 Transient State N No Action No Action
Debit & Credit Card State 19 Final State — not on exception report N No Action No Action
Debit & Credit Card State 20 None envisaged N No Action No Action
Debit & Credit Card State 21 No longer applicable N No Action No Action
Debit & Credit Card State 22 No longer applicable N No Action No Action
Debit & Credit Card State 23 No longer applicable N No Action No Action
All On Line ServicesI E01 Received a C112 message. This should no Y Tssue BIM report detailing as far as ‘Adjust settlement with FI with
longer be possible possible how far the transaction instructions to FI to adjust end
progressed via the Horizon counter — I customer account if required
confirm whether the Fujitsu
Reconciliation Service believe
payment was made or accepted by
End Customer. F99 exception to clear
from reports
All On Line Services E02, E03 & Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
E04 been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer. progressed via the Horizon counter —
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC?
account confirm whether Fujitsu customer account if required
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99 to
clear from reports
Debit & Credit Card E05, E06, E07 I Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer progressed via the Horizon counter ~ I customer account if required
account confirm whether Fujitsu
Reconciliation Service believe
payment was duplicated and whether
or not end customer account has been
affected. F99 n to clear from reports
All On Line Services E08 & E09 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust End
adjustment with FI and / or End Customer progressed via the Horizon counter~ I Customer Account if required
Account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not End Customer
Account has been affected. F99 n to
clear from reports.
All On Line Services I E10 No longer applicable N No Action No Action
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
All On Line Services Ell Assumed C112 and / or C12 exception has no Y No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services E12 & E13 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust End
adjustment with FI and / or end customer progressed via the Horizon counter — I Customer Account if required
account confirm whether Fujitsu
. . Reconciliation Service believe
NB eRe value E12 exceptions can oe payment or deposit was duplicated
F99 with me furthers avematical y sent to and whether or not End Customer
wae no farther action. Account has been affected. F99 to
clear from reports
Debit & Credit Card El4 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer progressed via the Horizon counter — I customer account if required
account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99 n to
clear from reports
NOT USED EIS, E16,
E17, E18, E19
All On Line Services E20 No longer applicable N No Action No Action
All On Line Services E21 No longer applicable N No Action No Action
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC?
Debit & Credit Card E22 No longer applicable N No Action No Action
All On Line Services E23 Potential settlement error with FI: Y if not Fujitsu Reconciliation Service issue Adjust settlement with FI with
. . resolved I interim BIM Report. If resolved via instructions to FI to adjust end
Possible failure to send reversal to either . = . . - .
. “ ., I ViaDRS_ I DRS, Final BIM Report issued. If not I customer account if required
Santander, CAPO, Vocalink and Debit & Credit ‘ 7 °
Card: resolved via DRS, confirm via BIM
Dard; or what happened at the Horizon counter
Where a reversal transaction has not reached the and whether Fujitsu Reconciliation
agent within 50 minutes in relation to EPAY, Service believe there are settlement
this is not forwarded to EPAY implications with the FI and / or end.
NB: If discrepancy type ” 3”, no action. syatomer accoun
Debit & Credit Card E24 Potential settlement error with FI Y Reconciliation Service issue interim Adjust settlement with FI with
BIM Report. If resolved via DRS, instructions to FI to adjust end
Final BIM Report issued. If not customer account if required
resolved via DRS, confirm via BIM
what happened at the Horizon counter
and whether Fujitsu Reconciliation
Service believe there are settlement
implications with the FI and / or end
customer account
All On Line Services E25 No longer applicable N No Action No Action
All On Line Services E26 Potential settlement error with FI: Yifnot I Fujitsu Reconciliation Service issue Adjust settlement with FI with
ste gai « ‘ resolved I interim BIM Report. If resolved via instructions to FI to adjust end
Possible failure to send reversal to either via DRS I DRS, Final BIM Report issued. customer account if required
Santander, CAPO, Vocalink and Debit Card; or ° “wer 7 ‘
Transaction timeout after 10 minutes in relation
to ETU
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC?
All On Line Services E27 No longer applicable N No Action No Action
All On Line Services E28 Assumed C12 exception has no reconciliation Y No Action No Action
implication as they are derived from the same
transaction component
All On Line Services E29 & E30 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer progressed via the Horizon counter — I customer account if required
account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99
exception to clear from reports
All On Line Services E39 No action required N F99 from report, if all elements match I No Action
All On Line Services F99 Will not appear on report. N This transaction state implies that the I No Action
transaction had a Reconciliation error
that has been cleared by manual
procedures
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3.5.2 Incomplete States
This table identifies the NB102 series report section where incomplete and discrepancy States are
reported in detail.
Incomplete Transaction Components Exception report
State NB102 Section
C112 C12 C4 s D Uncleared I Cleared
1 v 185 781
2 ¥ q 185 Tai
4 v 185 7&14
5 V 185 Tai
6 v v 185 7811
id t 1 185 7a
8 v 185 7&14
9 v V 185 Tail
10 y ¥ 185 7&14
1 ¥ ¥ v 185 7811
12 v 2 8
13 xv qv 2 8
44 V Vv 2 8
15 v v 2 8
16 Then ¥ V 1&5 7&14
7 qT Then ¥ V 185 7a
18 ¥ Then ¥ V 185 Tail
20 v Then ¥ 2 8
24 v v Then v 2 8
22 v y Then V 2 8
23 v ¥ av Then Vv 2 8
Grey shaded lines represent System States not expected to be reported within the Banking and Related
Services report set.
Green shaded lines are not expected to be reported in the absence of C112 Messages
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3.5.3
This table identifies the NB102 series report section where an exception is reported in detail.
Exception States
Exception Description Exception report NB102
State Section
Uncleared Cleared
E01 Unexpected C112 1&5 7&11
E02 Additional C12 1&5 7&1
E03 Additional D 2 8
E04 Additional C4 1&5 7&11
E05 Additional S 1&5 7&1
E06 S after C4 1&5 7T&11
E07 S after D 2 8
E08 C4 after D 2 8
E09 D after C4 2 8
E11 C12 after final state 1&5 7&11
E12 C4 after final state 185 7&11
E13 D after final state 2 8
E14 S after final state 1&5 7811
E15 Not Used
E16 Not Used
E17 Not Used
E18 Not Used
E19 Not Used
E23 Amount of C12#C4 1&5 7&11
E24 Amount of C12#S & C12#0 1&5 7&1
E26 Amount of C12#D 2 8
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S 3 9
E32 Amount of C4#S & C4#0 1&5 7&11
E33 Amount of D#S 2 8
E35 C12 arrived after state F99 1&5 7&11
E36 C4 arrived after state F99 1&5 7&1
E37 D arrived after state F99 2 8
E38 S arrived after state F99 1&5 7811
E39 Settlement Date # Reconciliation Date 4 10
Shaded lines represent System States applicable to D&CC exception states only.
4 Automated Payment Service (APS)
The APS Report Set produced by Fujitsu central systems and the End-to-End APS reconciliation have
been designed to enable APS transactions completed in Post Office branches to be reconciled to the
transaction stream received by Post Office Ltd, via Post Office Ltd Core Finance System (CFS) to enable
settlement to be made with Post Office Clients. This also applies to transactions of zero value; while
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these transactions do not affect financial reconciliation they will be reported in cases where they were not
properly transferred to the Automated Payment (AP) Clients or CFS.
For the avoidance of doubt, there is no automated reconciliation between APS and CFS. Any
reconciliation is manual and based on the comparison of the Client Transmission Summary with the CFS
Vendor Accounts.
4.1 APS Reports
The following reports are sent daily to POL Finance:
—aps_reconciliationyyyymmdd.txt
*® aps_exceptionsyyyymmdd.txt
These are further explained below but a full definition can be found in SVM/SDM/SD/0020.
4.1.1 Report Distribution
As governed by email availability, the Reconciliation Service will ensure all reports are made available to
POL Finance by 09.00hrs daily, Monday to Friday basis only. For example, on a Monday or the day after
a bank holiday, reports will be delivered for all days having occurred since the delivery of the last set of
reports.
Reports are initially sent to POL Finance using the Fujitsu corporate email account. If the Fujitsu or POL
email accounts are not available fall back measures will be made, i.e. floppy disk hand delivered to the
Post Office Ltd POL RDT team (Ref Data Team).
The distribution list is considered by both Fujitsu and Post Office Ltd to be of a dynamic nature and
therefore specific addressees are not covered within this document.
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4.1.2 aps_exceptionsyyyymmdd.txt report explained
The following is an example of the Delayed Transactions report and is self-explanatory
[Client Acc Receipt IReceipt Reversing [Reversing
No Client Account Name Item Id IFAD Code ITxn Timestamp _ICustomer Reference Ref —_ISerial No IReceipt Ref ISerial No ValueIReason
3094 United Utilities Water 36398 4025113 01/11/2018 21:09 63314030041988800000 68001 5470 1500.00 No Delivery Agreement
3094 United Utilities Water 36398 4025113 01/11/2018 21:17 63314030041988900000 67001 8767 1500.00 No Delivery Agreement
3094 United Utilities Water 36398 4025113 01/11/2018 21:33 63314030041988600000 67001 8772 1500.00 No Delivery Agreement
3131 Parcelforce Contract Accept 39192 548324 07/11/2018 14:45 9826935101260 7016 1978 -1.00 Invalid Negative Value
3131 Parcelforce Contract Accept 39192. 548324 07/11/2018 14:45 ED808529215GB 7019 1978 1.00 Invalid Negative Value
3131 Parcelforce Contract Accept 39192 548324 07/11/2018 14:45 9826935101260 7020 1978 -1.00 Invalid Negative Value
3147 Royal Mail 45342 2307049 30/10/2018 10:23 O1Label=1~QRC 2001 6671 2001 6673 0.00 No Delivery Agreement
3147 Royal Mail 41637 548324 07/11/2018 14:43 XC422747100GB 7004 1978 0.00 No Delivery Agreement
3147 Royal Mail 41637 548324 07/11/2018 14:44 LU422747100GB 7008 1978 0.00 No Delivery Agreement
3240 Welsh Water 43747 4025113 02/11/2018 10:11 6331428366843200000 78001 4316 -102.00 Unmatched Reversal
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4.2 APS Reconciliation & Incident Handling
4.2.1. APS Business Incidents
4.2.1.1. Reconciliation Errors within APs reports
Reconciliation errors within the APS Daily Account Balancing Report should be minimal and, if they do
occur, will be applicable to:
¢ — Software errors
e Unidentified differences classed as ‘Reconciliation Errors’
« Delayed Transactions.
There are two reports that deal with these errors:
aps_reconciliationyyyymmad.txt
This reports the overall health of the delivery system by ensuring that all APS transactions are
either delivered to AP Clients or by ensuring that any Delayed Transactions are dealt with
appropriately. Any reconciliation imbalance in this report is due to Software errors or Unidentified
‘Reconciliation Errors’
aps_exceptionsyyyymmad.txt
This reports any outstanding Delayed Transactions.
4.2.1.2. Delayed Transactions on aps_exceptionsyyyymdd Report
Where transactions have failed to be delivered to Post Office Clients, they are referred to as Delayed
Transactions.
In normal circumstances, these transactions will be input by Fujitsu SSC into the APS data file via the
APS secure workstation and will be received by Post Office Client 24 hours later, subject to the client's
delivery agreement. There may be occasions when transactions cannot be sent via the data file process
and have to be delivered to ‘Manual’. In such cases full details of the transaction are supplied via the BIM
report route; these incidents are NOT chargeable.
There are 4 reasons why transactions will be quarantined/delayed and reported on the
aps_exceptionsYYYYMMDD report, these are as follows:
1. A duplicate transaction has been identified
2. An unmatched reversal has been found
3. Anegative amount has been received where not expected
4. The Client Account number is not valid
Duplicate Transaction
These do not occur in practice
Unmatched Reversal
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Can occur in rare instances involving the counter recovery procedure.
Invalid Negative Value
Can occur if the Client Delivery Agreement or APADC reference data has been set-up incorrectly
Invalid Client Account
Can occur if the Client Delivery Agreement or associated reference data has not been created
correctly
4.2.2 APS Business Incident Originators
It is envisaged that APS Business Incidents will only be generated by the following groups within Fujitsu
and Post Office Ltd:
e Fujitsu for errors reported via the APS report set and End-to-End APS reconciliation
e POL Finance or POL RDT for any other reconciliation or settlement error discovered by POL
Finance that has not been reported by Fujitsu Services
e Fujitsu SSC for any system fault or data update which is considered by Fujitsu to have a
reconciliation or settlement implication within Post Office Ltd.
Subject to agreement by the parties to the contrary, Post Office branch raised calls to the Horizon Service
Desk (HSD) will not generate APS Business Incidents. However, calls from Post Office branches will be
monitored and if it is considered necessary by Fujitsu incidents reported to the HSD will be elevated to
APS Business Incident status.
4.2.3 Generation of Business Incidents
APS Business Incidents will only be recognised as such if generated by Fujitsu or Post Office Ltd via the
MAC. This ensures that the APS Business Incident is properly logged, enabling Fujitsu to ensure that
corrective information can be supplied and any underlying system fault can be rectified.
It is important that POL Finance supply sufficient information to the MAC when generating an APS
Business Incident to ensure the timescales for the resolution of APS Business Incidents referred to in
section 5.4 can be achieved. Achievement of such timescales is dependent upon the following
information being provided by POL Finance when generating an APS Business Incident via the MAC:
e ATES call is to be raised
«Prefix all narrative with ‘This is a Business Incident for Reconciliation Service, PLEASE
ROUTE THIS CALL TO EDSC’
e Relevant details including the Branch code, date of the transaction, value of transaction, HNG-X
Transaction ID should be supplied.
NB: Where POL Finance raises an APS Business Incident which may require a large amount of
supporting information, summary detail only may be given to the MAC and the additional information sent
via e-mail to Fujitsu Reconciliation Service, at PostOfficeAccount.reconciliatior, E
4.3 Incident Reporting
4.3.1. BIM Reports
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e The Business Incident Management System (BIMS) has been designed to report the progress to
resolution of a Business Incident to allow Post Office Ltd. to complete an accurate reconciliation
or settlement with their clients. For ease of identification and association, BIM report references
will take the Fujitsu internal Incident and Problem Management System (PEAK) reference
number. In all cases each BIM report will have a unique identifier.
e ABIM report will be issued for each Business Incident generated. BIM reports are designed to
notify POL Finance of the detail required to assist in the reconciliation or settlement process
within Post Office Ltd. domain. BIM reports communicate information concerning the resolution of
the symptom of an underlying cause, not the cause itself; this information would be supplied via
the Problem Management route, if escalated to this level.
« Where a System Incident is generated to eradicate the cause of a particular problem and there is
one or more associated Business and Related Services Business Incidents, cross-references will
be supplied on the Business and Related Services Business Incident BIM report and via the
Problem Management process to allow tracking of the System Incident.
4.3.1.1. BIM Report Distribution
e The Reconciliation Service will distribute APS BIM reports to POL Finance, using the Fujitsu
corporate e-mail network. In the event that the Fujitsu or Post Office Ltd corporate email systems
are unavailable, Fujitsu will discuss with POL Finance appropriate means of information transfer.
e BlM reports distributed in accordance with this section will be deemed to have been issued to
POL Finance at the time of transmission by email.
e An example of a BIM report is shown at Section 6.
4.3.1.2 I Clearance Criteria
e The Reconciliation Service provides information concerning APS Business Incidents to POL
Finance on a ‘drip feed’ basis, by issuing updated versions of the initial BIM report.
e ABIM report is ‘Cleared’ when the Reconciliation Service has provided the requisite
reconciliation / settlement information.
e Additionally, the exception is cleared from the appropriate section of NB102 after necessary F99
authorisation has been obtained from POL.
e MER charges are detailed in the Reconciliation Service: Service Description document reference
SVM/SDM/SD/0015.
4.3.2 Reporting Timescales
The Reconciliation Service will use reasonable endeavours to raise an initial BIM report relating to a new
APS Business Incident within 24 hours of the notification of the incident. This will be made available to
POL Finance, on the same working day as the APS Business Incident is generated via the MAC, or in
any event on the morning of the next working day.
In the event of the APS report set not being available to Fujitsu in time to enable any errors to be notified
within this timescale, Fujitsu will contact POL Finance by telephone or email to agree a temporary
extension to the timescale. The Reconciliation Service will use reasonable endeavours to ensure the final
completed BIM report is made available in accordance with section 5.1, and is cleared within five working
days of the date the APS Business Incident was generated via the MAC.
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Where there is a need to correct APS Data Errors Fujitsu will use reasonable endeavours to deliver the
corrected data file to the AP Client(s) within five working days from the date the APS Business Incident
was generated via the MAC. This may however, not always be practical due to the technicalities of
creating a corrected data file if there is a high volume of data.
There is no agreed timescale for the resolution of a System Incident. Fujitsu will give every System
Incident the priority it deserves (including the Problem Management escalation process) taking into
account Post Office Ltd's requirement and will aim to deliver an initial analysis of the root cause within 5
working days and a final analysis and evidence of remedial action, within 10 working days.
If the Problem Management route is taken the issue will be closed by mutual agreement.
4.4 Client File Delivery
4.4.1 Variable File Transfer
Post Office Clients take transaction delivery from Fujitsu in accordance with their own processing
requirements. NB: Specific Client requirements are described elsewhere; this document is not intended to
describe this detail.
APS transactions from Post Office Ltd branches are available for onward transmission each day to Post
Office Clients should they require it. However, some Post Office Clients only require transactions to be
delivered on a five day, or one day per week basis. This has no impact upon the reconciliation between
the actual Post Office Client transmission and the Client Transaction Summaries (CTS).
The CTS accurately identifies the volume and value of the ‘normal’ transactions (not reversed / reversing
transactions) that have been delivered to the Post Office Clients on a particular day, in accordance with
their specific requirements.
4.4.2 Reconciliation in the event of non-delivery of the CTS to Post
Office Ltd
POL Finance will use the CTS as the basis for settlement with Post Office Clients. In the unlikely event
that Fujitsu fails to deliver the CTS file to POL or POL reject the file, it is also possible to send the CTS
file to POL via email if the normal means of delivery is not available.
Settlement is time critical and Fujitsu will ensure all the relevant system derived APS reconciliation
reports are delivered on time to ensure that settlement can be made between Post Office Ltd and its
Clients. In order to satisfy this requirement, Fujitsu has elected to make all reconciliation reports available
by 09.00hrs as stated in section 4.1.1, Monday to Friday, excluding bank holidays.
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5 TPS Reconciliation
5.1 TPS Report Set
At Release 20.35 all remaining TPS functionality was subsumed into the Branch Database. At Release
20.55, the TPS system was decommissioned. There are no remaining TPS Reports and no possible
TPS reconciliation errors as a result.
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6 BIM Report
Tart cece:
ee
‘Stra References
NG Branch
paseo I
seenent bes
tudes amount
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7 Guides for Reconciliation
7.1. Reconciliation Process
7.1.1 Start of Rec process
1. Open Outlook
2. Open Rec Errors Template sheet
REC Errors.xlsx
3. Run Batch file “Reportoutput.bat” from saved location which will open the reports
4. On Outlook (ensure this is only done once previous steps have been completed **(Do
not use when training)*
>» Type date for previous day in date boxes
» Run the macro
5. Open MergedNBS.txt in word
6. Open yesterday’s report from SharePoint - Reconciliation Daily Reports
7. Compare yesterday's report against todays
» Copy any old calls from old report to new ensuring these are highlighted green
» Review new ones that are not Highlighted following the Rec Errors template
from here either highlight Grey for EPAY (States E12 or 006 and yellow (to be
progressed for others)
> For state 004 if not mentioned on previous day mark as Day 1 as these do not
need progressing till 2"? day off showing on report
>» Save the sheet as MergedNbs.docx
8. Open peak look at outstanding calls to find latest on all outstanding issues highlighted
green
9. Confirm you have received the required emails
>» G03_Failed Recov Report for YYYYMMDD
>» BSU_Rec Report for YYYYMMDD
10. Save the first one as GO3_Failed Recov Report.xlsx
11. Open previous day and check against previous day, add days till you get to day 3 unless
this has appeared on NBS for 2 days which will then become a new call
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12. Raise call to Peak call for any unraised calls you have highlighted on NBS / Failed
Recovery, adding references to NBS for each.
13. Check aps_exceptionsyyyymdd in word
Check there is nothing new
Save as aps_exceptionsyyyymdd.docx
14.
15. Open aps_reconciliationyyyymmdd in word
Check that both the Discrepancy columns are both recording zero value
Save as aps_reconciliationyyyymmdd.docx
16. If any instances appear on aps_exceptionsyyyymdd or there is a discrepancy reported
on reconciliationyyyymmdd Raise call to Peak call, add reference next to each
17. Open Merged Section1 in word
Run Macro
Check over volumes
If anything big check by Raising a call to Peak call (please note Epay is regularly
higher than others)
Save as word as MergedSection1.docx
18. Open mergedDCP.txt in word, on a Thursday you will need to send this to POL
Save as word MergedDCP.docx
19. Check you have the 8 files saved, on a Monday this increases to 21 due to weekend
reports
Saved Report Monday Tuesday to Friday Following 1 Bank
Holiday
MergedNBS T Report with T Report with 7 Report with Name
Name Name
MergedSectioni 7 Report with 7 Report with 7 Report with Name
Name Name
MergedDCP 7 Report with T Report with 7 Report with Name
Name Name
G03_Failed Recov Report 3 Report with 7 Report with 4 Report with Name
Name Name
aps_exceptionsyyyymdd 3 Report with T Report with 4 Report with Name
7 Name Name
aps_reconciliationyyyymdd 3 Report with T Report with Report with Name
- Name Name
Total 12 Reports 6 Reports 15 Reports
20. Create next day’s folder
21. File emails away
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7.1.2 Updating Calls
1. Open Peak cail logging system
2. Check outstanding calls logged from previous days reports
3. If response is received send latest BIMS
7.1.3, How to raise a Peak call
1. Open Peak call logging system
2. Log call as per HNGX templates
> Complete as
Call Logger Your Name (should be auto populated)
Team MSU-INDT MGT
Reported in HNG-X Rel.Ind
release
Top Ref SSCKel Type Kel “Ref” from template
Call Type L-Live incidents/Defects (should be auto populated)
Priority As required shown on template
Summary Top line of sheet (see below)
Description Top line of sheet (see below)
Subject Product General/Other/Misc Reconciliation
Manual Routing MSU-Indt-Mgt “Your Name”
Biase“ WBTGE Secon SUNK Sito ETO TE SION Tas Tt SOOT, Baa Can Ba aA Wa FOTO
NETOZ Soc SopSTGF CHS LK RORTAGS FORT ETS GS OF, HORS IS TIT TTT
ranch shows “now Stato E10 oxcopion (and Stale E11 oxcopfon all wth hofoing 1. Procced on date shows a tis in doe
deta 2 Tams: 00 stow a a raneacton
5 Receipt Date Shows ae Recaipt
ant 00 4. Amounts take romeo wth runt samaly
Shares
Recep Date: ha 2015
evant £2"
KEL iongl5121J or KEL DSeddon267L maybe rlevant. Relevant pot atached
Fer charging press, lose coud SSC explain voter ono ie ieee i Fut read
faut). harder or net
Sending fe $36 forinvestgatn,
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» Select Route
3. Add reference to Relevant Report i.e. MergedNBS.docx
4. Add Any additional Kel References from Template using the References Tab
5. Add Evidence as required on Evidence Tab (must include all relevant reports) giving
appropriate name for each to be shown
6. Add Impact to Impact Tab as per template
7. If required add a new change task and add reference to references as TFS Task
CHG******* and also add WI from TFS to references following the template
8. Assign call to EDSC in Peak and select Route
7.1.4 How to update a Peak Call
e¢ Open relevant peak call
e Check for the latest
Note if the SLA is nearing chase for update and if required suspend BIMS.
7.1.5 How to close a Peak Call
1. Click add response
2. Type text “Final BIMS issued to POL, closing call”
3. Select category as “90 Final reconciliation”
4. Select close
7.1.6 Merged DCP Report
1. Open Merged DCP from the mornings report
2. Open a previous weeks email found in the Rec MergedDCP folder
3. Edit email to show correct date and your name
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7.1.7
1.
2.
Attach document
Send
Await response
Once response is received continue to F99 all approved transactions
Creating BIMS
Open BIMS
Select “Incident Maintenance”
Select “Pencil icon” for new call
Put Peak ref in HSH ref missing the PC i.e 01234567
Select 8hr SLA (A Reference) / 5 Days (B Reference)
Branch code = FAD code
Branch name should auto populate, if this fails to find FAD go to How to create new
FAD
8. Subtype Select as appropriate for NBS
Note - fc °§ YK
9. Exception type Select against the State on NBS
10. Originator = MSU
11. Exception Value = Value from Report
12. Date of transaction = Receipt Date
13. Select “action log”
14. Select describe incident under Action Type — Enter BIMS data as per Rec Errors
templates
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15. Select Save “Disk Icon”
16. Save to Word “MS Word Icon”
17. If ready to move on select next tas
18. Send via email to POL using previous emails for this type as a template
Note Y! dd m: fe BEV i us of ea
7.1.8 Creating new FAD code in BIMS
. Open TFS
2. In search box type Branch code and press search
3. Take note off branch name and location
4. If unsure of region search on web
5. From front of BIMS
6. Select Static Data Maintenance
7. Select FAD Code Maintenance
8. Under FAD code type in your 6 digit branch code
9. Under PO region select as appropriate
10. Select Close Form, you should now be able to use the FAD code
7.1.9 Suspending BIMS
1. Open BIMS > Select Incident Management
2. All active BIMS will show
3. Click “Ok”
4. Click in “Branch Code’ field
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5. Search for Incident using the Magnifying Glass icon
6. Select “action log”
7. Select Suspend SLA under Action Type — Paste reason why this is being suspended
8. Select Save “Disk Icon”
9. Save to Word “MS Word Icon”
10. If ready to move on select next tab
11. Send via email to POL using previous emails for this type as a template
7.1.10 Unsuspending BIMS
1. Open BIMS> Select Incident Management
2. All active BIMS will show
3. Click “Ok”
4. Click in “Branch Code” field
5, Search for Incident using the Magnifying Glass icon
6. Select “action log”
7. Select Unsuspend SLA under Action Type — Paste reason why this is being
unsuspended
8. Select Save “Disk Icon”
9. Save to Word “MS Word Icon”
10. If ready to move on select next tab
11. Send via email to POL using previous emails for this type as a template
7.1.11 Closing BIMS
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1. Open BIMS
2. Select Incident Management
3. All active BIM’s will show
4. Click “Ok”
5. Click in “Branch Code’ field
6. Search for Incident usi
the Magnifying Glass icon
7 into th: at” fi
7. Select “action log”
8. Select Clear Incident under Action Type — provide resolving text, this needs to be edited
as this is going to Post Office
9. Select Save “Disk Icon”
10. Save to Word “MS Word Icon”
11. Send via email to POL using previous emails for this type as a template
Note Y
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