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18 Noy 1999”
~2026°
Electronic memo
To John Meagher/POCL/POSTOFFICE@POSTOFFICE
cc Keith K Baines/POCL/POSTOFFICE@POSTOFFICE, min@marden:,
Hard Copy To
Hard Copy cc
From Min Burdett/POCL/POSTOFFICE
Date 18/11/99 17:51
Subject Papers for tomorrow
John
lattach:
Updated traffic light report:
November 24 Rollout stats6.doc
Updated Demand Paper:
Rollout Decision 2.doc
Background Paper (you'll need to make some changes as you get some info tomorrow):
Acceptance Meeting 22nd November 1999.doc
BSM reference data analysis which I don't understand but will look at to see if there's anything
we should put in the background paper
@
Reference4.doc
Martin Box's stats updated with John Dick's view over the phone today:
AI3760.61.xIs
You will also have two e-mails from Graeme Seedall - His to Keith Falconer this ‘morning
describing the issue and his reference data one sent this evening.
Give me a call on j tomorrow if you want some more info
Min
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Version 0.6 Roll-out 2000 Criteria - Monitoring Report Update for 22 Nov Checkpoint Meeting
‘Week Commencing 20 I 28/0 [ait 11/11 I Total I Red/Amber/
Green
‘1298/1 I The number of system stability incidents for the four week period 119 201s fii2s [175 I 549 Green
21/10 to 17/11 shall be less than 60.
249- I 3/0- I 7/10- I 14/10- I 21/10- I 28/10- I 4/it- I 11/11- I Total) I Red/Amber/
210 I 6/10 I 1310 I 2010 I 27/10 _I 3/11 to/ii__I 14/11 _I Average I Green
‘AI376/1 I The percentage of cash accounts containing discrepancies shall not 44.92% I 42.97% I 32.04% [2.24% 10.90% I 0.39% 15.97% I Red r)
exceed 0.6%
‘13762 I No cash account discrepancy will be as a result of a cause previously 0 0 0 0 0 0 Green @
reported to POCL as having been remedi k
‘1376/3 I All new causes of cash account will be analysed and have a 3 1 7 2 4 1 20 rl @
rectification plan, submitted to POCL, within 10 days (Number
without analysis/rectification plan)
13764 I The Accounting Integrity Control Release would have identified all e on 3 Red r )
new Cash Account Discrepancies reported prior to 24” November : :
(number not identified)
AI 376/5_ I Those elements of the Rectification Plan for AI 376 which are I On Amber @
scheduled to be complete by 24/11 shall be complete : 8 __I Track
Week Commencing ao I ino fasito I so [at =I 8/1 I Totaly I Red/Amber/
Average I Green
AI408/1 I Service Levels for answering Level 1&2 calls to the Help Desk is
met in at least four of the six weeks as follows
a) 95% of first level calls to be resolved in $ minutes 97% 195% I 96% I 96% I 96% _I 96% Green
b) 100% of first level calls to be resolved in 10 minutes 100% I 100% I 100% I 100% [100% I 100% Green
°) 95% of second level calls to be resolved in 30 minutes 96% 100% [99% [99% I 100% I 100% Green
d) 100% of second level calls to be resolved in 45 minutes 98% 100% I 100% I 100% I 100% I 100% Green
A140822 I Service Levels for answering 80% of calls to the Help Desk within 69% I 82% I 82% I 66% I 72% I 83% Red
20 seconds is met in at least four of the six weeks
‘AI408/3 I Service Levels for cash account calls (no ring backs required) is met Disputed Amber @
in at least four of the six weeks data
1408/4 I Service Levels for Cash Account repeat calls is met in at least four Disputed Araber @
of the six weeks data
1408/5 _ I Service Levels for 95% compliance on Cash Account call scripts is NA [40% INA 36% [70% IN/A
met in at least four of the six weeks 24%
‘A1408/6 I The Contractor's Horizon System Helpdesk Service shall provide Agree I Green @ I
first, second and third level Services as described in Schedule G01
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Roll-out Decision - Demand Position Paper
In anticipation of the criteria due to be met by 24" November not having been met by that date, and
given POCL’s associated concems, POCL is proposing that the existing monitoring activities should
continue and be strengthened, and is also proposing the introduction of some new activities. POCL
proposes the following.
1.
AI 298 - System Stability
Objective:
© to ensure that Pathway continue to reduce the level of instability.
© the current recording at the HSH does not facilitate the analysis and identification of faults
and trends. POCL believe the best way of doing this is for Pathway, at their own expense,
to develop a codified and structured fault recording system that will allow analysis to
support the combined problem management and resolution function
the current monitoring should continue for a further four weeks. The target for this period
should be the same as the current period.
AI376 - Data Integrity
¢ to ensure that the integrity control is capable of detecting all relevant incidents
© tocontinue to monitor error levels so POCL has an appropriate view of the level of
disruption and cause of new incidents
© to increase POCL’s level of understanding of the design and operation of emerging
reconciliation controls:
a) to be ina position for POCL to design complementary operational procedures
b) obtain confidence that the new controls will be effective - given the constrained
level of testing, POCL require greater level of assurance before release into the
live environment. This is necessary in order for POCL to be assured that criteria
376 iii and iv are being met
© The EPOSS/TIP reconciliation feature must be proven to be capable of detecting all data
errors that would be detected by the TIP cash account compare process; for the avoidance
of doubt, this includes an explicit check that receipts are equal to payments. This to be
achieved by :
¢ logical assurance of authorised design documentation
© analysis of all previous root causes to determine that errors would be detected
© testing to a jointly agreed strategy and high level test plan
© dual running of EPOSS/TIP reconciliation and TIP Cash Account processes on
test and live environments, over the periods described in CCN560, and subject to
known stress conditions including outlet migration, reference data changes,
transaction level data corruption
© the current monitoring should continue as defined in the second supplemental agreement
for criteria 376 i-iii with the monitoring period commencing on the 18" November
© Pathway should demonstrate that they have met criterion 376 iv, if necessary by enhancing
their Integrity Control design. This should include faults identified before September 24"
and any faults found in the current monitoring period which would not have been detected
by the current integrity control design
« Pathway should co-operate with POCL to review and revise the Rectification Plan to
include new activities necessary for the successful development and implementation of
operational procedures and any other new activities shown to be necessary by the review
¢ Pathway to extend the Logical Design information that is contractually controlled to cover
those areas that POCL’s experts reasonably say need to be subject to POCL’s agreement,
mainly interface and operational procedures
3.
4.
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© mindful of the short time scales and the desire not to impede progress, the POCL ATM to
be integrated into Pathway’s delivery team so that POCL can gain the appropriate level of
visibility in the design and progress to give POCL confidence in the Release
¢ Pathway’s progress in developing the integrity release to be included in the scope of the
review of readiness for roll-out which has been agreed and will be carried out by PA
Consulting
TIP checking shall continue at Pathway’s expense until both of the following have
occurred:
— four weeks parallel running without faults as in the current contract
— Pathway to have modified their integrity control to detect all error types that have
occurred by that date.
Al 408 - HSH Performance
Objectives:
© to give POCL confidence that HSH can support roll-out especially:
a) to ensure that the HSH is appropriately resourced for the peak periods within a
week
b) to ensure conformance to scripts.
© continue to monitor HSH criteria i, iii and iv for a further four weeks. The six week
monitoring period to be 1* November to 12" December. As per the original criteria, the
aim being to attain the target levels in four out of the six weeks. In addition, 408 ii and v
criteria should be enhanced (sce below)
© to facilitate a detailed analysis of the root cause of the problems and allow POCL to have a
more transparent understanding of ICL Pathway’s performance, criterion 408 ii (calls
answered within 20 seconds) should be reported during the four week extended period on
a daily basis. The target of 80% of all calls answered within 20 seconds should be met
every Wednesday and Thursday for three out of the four weeks and achieved as a weekly
average for the same three out of the four weeks.
© to permit POCL to perform an audit of actual physical resource to the planned resource
levels, Pathway to supply the four week detailed resourcing model broken down into 30
minute slots. POCL should be permitted to undertake an audit of physical resource to this
model at any time during the 4 weck period without prior notice. The actual resource
levels should be within 95% of the planned levels for every audit performed
© paragraph 4,3.2.9 of schedule G10 (as amended by Schedule 5 of CCNS560) to be further
amended so that the compliance with the scripts shall be measured using call recordings
which have been in operation since 1* November. A joint Pathway and POCL team to
review and agree whether the operator has conformed to the scripts. The call logs
detailing the scripts that have been used by the operator can be used as supporting
evidence for the call recordings and can form part of the review to determine compliance.
Pathway must achieve the target for the final three weeks of the audit. For this method of
monitoring compliance to be effective:
a) Pathway to satisfy POCL that Pathway auditors have the expertise to undertake
the review
b) POCL to select the calls at random
¢) all cash account calls to be recorded.
Note that this also has the effect of changing the method of measuring criterion 408v
© Pathway to continue to work with POCL to review the quality of script to improve the
accuracy leading to timely resolution of incidents. Additionally this will allow Pathway to
acquire business knowledge from POCL.
Reference Data
Object
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* to give POCL confidence that Pathway’s service is robust and can accurately'account for
POCL’s transactions during reference data changes
Activities:
¢ The Reference Data interface agreement must be re-introduced, agreed and brought under
contract control.
© Pathway must analyse all possible reference data changes in relation their impact on the
target application(s) and derive a set of rules which protects the applications from all
unintended effects,
« A robust management process is defined, agreed and brought under contract control to
enforce this set of rules.
« A “reference data proving” test environment is created and maintained within the Pathway
domain, on which all reference data releases are subject to formal (jointly agreed) test.
¢ All recommendations emerging from the joint end-to-end reference data process review
Tactical stage which relate directly to accounting integrity are implemented.
« Inprinciple agreement is reached on the deliverables and costs for the joint end-to-end
reference data process review: Strategic stage. To include as a minimum that
© The Pathway owned target applications are reviewed such that they are more resilient to
reference data changes and less reliant on protection mechanisms expressed in the above
tule set.
© The different approaches taken by the two organisations to accounting principles is
reviewed and harmonised where deemed appropriate.
Roll-out 2000 Background version 0.1
Acceptance Meeting 22" November 1999
General Background Information
For the Acceptance meeting on 22™ November between POCL and Pathway to discuss the
continuation of the roll-out in 2000, the following have been prepared:
© Negotiation Brief (Keith Baines)
« Demand Position Paper (John Meagher)
© General Background papers (various contributions).
The general background papers consist of:
© this paper containing descriptions of issues and justifications of POCL’s position on the monitoring
report
* Monitoring Report (traffic lights - Min Burdett)
¢ Supporting data to the monitoring report
© AI 298 graph report (DN awaiting final one)
© 1376 spread sheet analysis for each criterion
e AI 408 Pathway’s report
paper for Keith Falconer describing the shortcomings and risks associated with the Integrity
Control release (Graeme Seedall).
Status of Monitoring Report
1.
AI 298
There are on-going discussions with Pathway to finalise and agree the data.
AI376
1376 - Giro reference data integrity problem (Graeme Scedall - DN awaiting draft)
AI376/1. It should be noted that Pathway have re-classified the Root causes using their own
taxonomy. These and the associated figures have been added to POCL’s detailed AI376
monitoring report (sce attached), Pathway may argue that only their category 4 (Cash
Account Discrepancy (not reference data)) should be used in the monitoring statistics and
therefore they have met the criterion.
1376/3. Pathway’s view is that there are only 4 new causes of cash account discrepancies
which have not been analysed and a rectification plan submitted in 10 days. We don’t accept
this view, and even if we did it would be a fail.
1376/4, Pathway’s view is that there are no Cash Account discrepancies which would not
have been identified by the Accounting Integrity Control Release. This is presumably be
because they consider “Reversal of stock adjustment settlement”, “negative giro records”, and
“Ecco transfer problem” as out of scope of this AI. Pathway will not provide any design
documentation to confirm their analysis.
AI 376/5. Cycles 2 and 3 of System Testing will commence on 23 November. This
represents a slippage of eight calendar days against the original plan.
AI 408
1408/2. Pathway (John Dicks) are reporting this as passed as they are using 81% not 72%
for the week beginning the 1* November. They are excluding calls duc to reference data
problems for this week. POCL do not agree with this exclusion.
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Roll-out 2000 Background version 0.1
AI 408/3 and 4. POCL are disputing the figures provided by Pathway which are generally no
ting backs or repeat calls. POCL and Pathway are meeting Monday 22™ pm to try and resolve
the difference of opinion (DN Adele Henderson should be providing on Friday POCL’s view
of the figures going into the meeting).
AI 408/5. Pathway are disputing POCL’s audit approach which has been used. POCL agree.
This criterion is therefore void.
A1408 - issues with Reference Data (Dave McLauglin - DN analysis provided, but not sure
what it’s saying - probably delete this point)
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Reference data problems
Area where Problem I Problem Title Action Taken Status
resolution lies I Number ,
POCL Head 2 Special Promotion vouchers Authorised Temporary Procedure (ATP) ATP withdrawn
BSM19990916001 7
office (Bunches) were not accountable _I implemented.
on the Horizon System. Ensure that all future instructions are checked I Closed
The account team did not follow _I for Horizon compatibility before they are
OBC procedures to change released.
product.
Software missing for Northern Transaction now on the
BsM19990916002 I Teland MVLs. Offices unable to system. Offices are able
carry out transaction. to carry out transaction.
The account team did not follow Account team aware of
OBC procedures to change OBC procedure.
product. Closed
ae £2 British Gas stamps noton the I Authorised Temporary Procedures (ATP) Stamp icon now on the
system. implemented. Ensure that Account teams are system. Awaiting
Product withdrawn and then aware of the OBC procedures when changing or I Counter News article to
reinstated to sell to exhaustion. introducing new products. inform users.
Account team did not follow OBC
procedure.
Simple Payment Module Trial Should be available on
B5M19991025005 I Was extended and was not the system by 3 Dec at
available on the Horizon system. the earliest.
Account team did not figure
Horizon into their plans so sent
no OBC form.
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Area where Problem I Problem Title Action Taken Status
resolution lies I Number
POCL Head enor SWALEC bar-coded bills not This is a client error as the problem is caused by I Short lived as only
office being recognised by the system the check digits in the bar-code not being affected one batch of
recognised. client bills.
Lancashire homecare stamps not I Authorised Temporary Procedure (ATP) Awaiting conformation
BSM19991105001 I Gn the system. implemented. that stamps are on
Migrated offices in this area could I Ensure account teams check that their OBC system
not put the new value stamps on I forms have been received by OSG
the system.
OBC not processed at OSG,
OSG Users unable to find national Explanations received from both ICL Pathway I Users informed.
BSMi19991105003 savings Girobank transaction and OSG. Awaiting update from
icons, OSG will tighten up their internal processes for I OSG, ,
Offices could not find these icons I verification and change to ensure no more
as they had been prematurely misunderstandings.
moved.
Reference Lack of adequate Reference Data I There have been a number of problems raised I Ongoing
BSM19991029003 -
data Processes which were due to reference data problems and
a lack of management for the reference data
process. There needs to be a complete review of
how the business deals with reference data and
the processes designed to manage reference
data,
Girobank Transcash fee set at 97p. I Change request to RDS, which will stop future I I Awaiting conformation
Bsm19990922001 I Tysers could not alter the fee. occurrences of this incident. of change
Problem in Reference Data front
end system.
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Area where Problem I Problem Title Action Taken Status
resolution lies I Number
ICL Pathway ea Corrupt Correspondence Server at I Technical explanation as to the cause has been I Post implementation
Wigan given by ICL Pathway and agreed by Pathway I review to be held.
The correspondence server at have given assurances that the underlying .
Wigan became corrupt and the software bug has been dealt with and that this
system had to run off the Bootle _I specific bug will not re-occur.
site however ICL Pathway
informed BSM that the reference I Products were sent to counter the following
data for the previous evening day.
would not be run.
12 products not available at
counter.
Missing icons on the Horizon ICL have released necessary Reference Data to _I Icons back on system.
eSinieaavzaeine System (CO-OP banking ) re-instate the missing icon.
Users could not find icon. to do Explanation received.
transaction.
Problem occurred within Icl
Reference data.
Reference Data Scheduling -1 A change has now been made to the Ongoing. Residual
BSM19991001001 I cided Transfers. operational procedures to include an additional I incidents to be
Products could not be remmed or. I level of consistency checking. This includes the I investigated.
transferred out. e.g. cheques. use of a reporting tool which will flag any such I Post Incident Review to
inconsistencies. In the longer term a change will I be held.
be made to the design of the service
Discrepancies in the amount An ICL Pathway CHANGE (NB this is not a fix) I Ongoing
BsM19991013002 I entered in Giro Change giving will be released to being this into line. This
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This showed when offices change is currently with ICL Pathway testing, -
produced their cash account. (WP 5711). The reference data change has not
given rise to any reconciliation occurrences
within the live ICL Pathway system, but has
within Interim TIP. When the ICL Pathway
change is released to the entire estate, this will
synchronise Interim TIP with the entire ICL I
Pathway system.
Duplicate transaction numbers for I A fix was sent down in beginning of August Call closure agreed by all
BSM19991028005 I B A OBCS transactions. and this was monitored. ICL are currently parties,
The BA reported tothe BA awaiting information from BA to see if the
Account Team that they had had a I problem has reoccurred.
number of duplicate transaction
numbers for OBCS.
Girobank Business deposit There appears to be a gap in the ICL pathway —_I Ongoing work to
Bsm19991105002._I account number field missing. testing of a product and OSGs verification. establish gap.
Users could not input the Giro ATP issued to offices as transaction could be i]
account number. accessed on another screen.
Caused by lack of full testing of Problem rectified.
change.
i]
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376 (i)
AI376 - Incident Analysis
Number of outlets affected by cash account week
Boe 13-Oct I 20-Oct -10-Nov I 17-Nov
Root cause i z i 2 .I96'In error,
4 [Negative sign on transactions : ; 2] 0.02%)
2/Reversal of stock adjustment settlement H 2 14 13) fi apphed Pose Peps ie 29) 0.36%
3] Incorrect stock transfer transactions a 32 12) A 44 0.54%!
4IMissing cash account records : 1 3 : 4] 0.05%
5INegative giro change records 12 367I 424 388I °°. 5 Irat data updated {te [te 1186] 14.59%
6} Invalid Item Transaction Mode : A 0 0.00%!
7\ECCO transfer problem : A 3 : 3 0.04%]
8IAP reversal mode failure A 3 1 4 : 0.00%
9]Outlet discrepancies under investigation A 1 28) 8] 24) 14I 7 : 82I 1.01%
Ei HS SHAS si Ex Waeaees “E Totals[ os 2) 402) 48202 (413]" EK) PBR =) Ba d Rea: ]-1]
No.of outlets affected 12 385) 452) 404) 33} 15) 7 H 1298)
INo.of cash accounts received by POCL 24 857] 1052 1261 1472) 1675) 1788} A 8129)
'% of cash accounts in error (all root causes) 8.33%) 44.92%] 42.97%] 32.04%! 2.24%! 0.90% 0,39%I : 15.97%I
% of cash accounts in error (excluding negative giro change) D.00%I 4.08%] __5.51%I 1,98%I 1.90% 0,90%I 0.39% : 2.02% I
: ‘chseevation period stats ‘observation period ends
[___JNotan ineidont TL: I al I [ I [ TT ol ]
Noto:- Week 27 figures only inckide cash accounts received from 3/10
Pathway’s View (given over ‘phone to John Meagher/Min Burdett 18/11)
1IPOCL Reference Data 2 367] 424) 388} 5 0} 0 1186] __14.59%I
2IOther not 376 related (includes 2 of POCL's list) 0 2 15) 18 6 4 0 45 0.55%I
3] Pathway Reference Data 0 32 40! 3 0) 0 0) 75) 0.92%
4ICash Account Discrepancy (not reference data) 0) 1 3 1 22! 0 0} 27 0.33%]
5/Under Investigation 0} 0I 0 3I 2I 11 7 23 0.28%I
SENOS ESTRUS UE Sat Totals ¢ 72) £402) 482) s0 418P i 85) ee ASP sie Zp a? Of 5 1356] 16.68%
NB Pathway analysis does not take into account cash accounts affected by more than one root cause in a week
. Oc period 3/10/99 - 14/11/99 19/11/99 Final Version