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Document Title:
Document Type:
Release:
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TPS Reconciliation & Incident Management
Procedure
NLA
This document outlines the reconciliation and incident
management procedures required to investigate, report
and resolve TPS reconciliation and business incidents.
Draft
John Dicks (Customer Requirements Director, ICL
Pathway)
John Pope (Customer Requirements, ICL Pathway)
Paul Westfield (IS Manager, ICL Pathway)
Peter Burden (Customer Services Manager, ICL
Pathway) Evandro Manolas (ICL Pathway Process
Consultant)
Martin Box (POCL)
David Pye (POCL)
Graeme Seedall (POCL)
Anne Clarke (POCL)
Phil Turnock (POCL)
ICL Pathway CS/MSU
Library
Richard Brunskill (MSU Manager, ICL Pathway)
Author
17/12/99
© 1999 ICL Pathway Ltd
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0 Document Control
0.1 Document History
Version Date Reason
0.1 22/11/99 First draft for review.
0.2 03/12/99 Second issue for review following TIP workshop
01/12/99
0.2. Associated/ Documents
Reference Version Date Title Source
0.3 Abbreviations
APS Automated Payment Service
BIMS Business Incident Management System
CA Cash Account
CAP Cash Account Period
EPOSS __ Electronic Point of Sale Service
HSH Horizon System Help Desk
CS/MSU Customer Service / Management Support Unit — (ICL Pathway)
OPS Outlet Processing System
POCL Post Office Counters Limited
RED Reconciliation Exception Database
SIL System Incident Log
SSC System Support Centre
TIP Transaction Information Processing
TPS Transaction Processing Service
0.4 Standard Terms
0.5 Changes to this Version
Document re-titled and expanded to cover procedures discussed at the POCL
TIP / ICL Pathway workshop held at POCL Chesterfield on 01/12/99
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0.6 Changes Forecast
0.7 Approval authorities
John C.C. Dicks
Paul Westfield
Martin Box
Anne Clarke
Graham Seedall
ICL Pathway Director
Customer Requirements
ICL Pathway IS Manager
POCL TIP
POCL TP
POCL
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0.8 Table of content
1. INTRODUCTION .........cccscscscssscsssssssesssesensusesssesesessssaseseseuseseseseneseseusesaseneneuseseens 5
YA ~I 01 ©) od Se 5
3 TPS RECONCILIATION REPORTE.........cscssscssssssesssesssesssesseseseseteseteeseseeeeneeeenes 5
4 RECONCILIATION AND INCIDENT HANDLING...........cccccsssssesseteeseesereeeneeeeeeee 6
4.1 Incident Classification.
4.2 Incident Originators...
4.3 Generation of Business Incidents.
44 Business Incident Matrix.
4.5 Incident Reporting.
4.6 Incident Management Procedure......
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1 Introduction
The TPS report set has been designed to enable the Electronic Point of Sale
Service (EPOSS) system on the Outlet Processing System (OPS), to be
reconciled with the transaction data which is returned to POCL Transaction
Information Processing (TIP), and also to reconcile the daily transaction data
with the Cash Account (CA) data at the end of the Cash Account Period
(CAP). The reports also identify any exceptions, which occur with Counter
transactions, or during the Harvesting process. In addition to exceptions
highlighted within the EPOSS report set, exceptions may also be discovered
by POCL for non reported errors or client enquiries.
2 Scope
This document sets out the reconciliation and incident management
procedures to be adopted by the Management Support Unit (CS / MSU), for
dealing with the Transaction Processing System (TPS) reconciliation report
exceptions and POCL raised incidents. This includes reconciling the data
contained in the reports and raising Horizon System Help Desk (HSH)
incidents and Business Incident Management System (BIMS) reports where
necessary.
NB: ‘BIMS’ replaces the current Reconciliation Exception Database (RED)
from January 2000 subject to agreement between ICL Pathway and POCL re.
the content and format of the incident management reports. If further work is
required and BIMS cannot be delivered by January 2000, it must be assumed,
within this document that where references are made to BIMS reports, the
existing RED reports will continue.
3. TPS Reconciliation Reports
ICL Pathway will generate five daily TPS exception reports:
1. Host Detected Transaction Control Errors
2. TPS Harvester Exceptions
3. Host Detected Cash Account Control Errors
4. Counter Deleted Reconciliation Errors
5. Counter Transaction Exceptions
NB: It is not intended that this document discuss the format or content of the
individual reconciliation reports
All five reports will be routed to ICL Pathway Customer Service Management
Support Unit (MSU), on a daily basis by 09.00hrs, where they will be checked
for completeness and accuracy of content. In the event that the reports do not
arrive, or after checking appear to be incorrect, MSU will raise an ‘A’ priority
system incident via the HSH.
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It is not intended that MSU will deliver any of the reports to POCL as a matter
of course. An extract from a reconciliation report may however be delivered
as ‘evidence’ as an attachment to the BIMS report if it is considered that this
would aid in the reconciliation process.
4 Reconciliation and Incident Handling
4.1 Incident Classification
4.1.1 Business Incidents
Resolve the ‘Symptom’ of an underlying cause
All exceptions highlighted within the EPOSS report set, and all reconciliation
or settlement issues highlighted by POCL TIP or TP are classified as
‘Business Incidents’. The incident classification determines the resolution
detail required to bring the incident to a satisfactory conclusion. In the case of
Business Incidents, MSU will ensure sufficient data is supplied to POCL to:
e enable a complete and accurate reconciliation to occur within the POCL
central systems
Or;
e enable a complete and accurate settlement to take place between POCL
and their client(s).
4.1.2 System Incidents
Resolve the underlying ‘Cause’
System incidents can be raised initially to cover file rejections or non delivery,
where there is no associated Business Incident. However, following the
creation of a Business Incident, it may be deemed necessary to raise an
associated ‘System Incident’. This can be routed to the appropriate area
within ICL Pathway, i.e. Development or Reference Date, if it is felt that there
is a fault within the Horizon System software or reference data that requires
attention.
Where there are associated ‘System’ and ‘Business’ incidents, their
relationship can be either:
¢ one to one
Or;
¢ one to many
4.2 Incident Originators
It is envisaged that ‘Business’ incidents will only be generated by the
following areas within ICL Pathway and POCL:
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¢ CS/ MSU for exceptions reported via the EPOSS report set and the Non
Polled outlets report
e POCL TIP/ TP for any other reconciliation or settlement issue that has not
been reported by ICL Pathway.
It is not expected at this point that Outlet calls to the HSH will generate
‘Business’ incidents. However calls from Outlets will be monitored and if it is
felt there is a need to route any incident to CS / MSU for action the procedure
can be easily adapted to cater for this occurrence
4.3. Generation of Business Incidents.
In line with the generic incident management policy agreed between ICL
Pathway and POCL, cross-domain incidents will only be recognised if routed
via the HSH. This is the only way into BIMS and therefore the only way to
ensure that corrective information can be supplied and any underlying system
fault can be rectified.
It is important that enough information is supplied to the HSH when raising an
incident to ensure that the incident is routed to the correct area within ICL
Pathway and therefore guarantee a speedy resolution. The following
information must ALWAYS be quoted when raising an incident via the HSH:
A valid ‘PATH’ code must be quoted, e.g. ‘PATH040’ etc.
Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
Where ever possible, always quote a valid incident type (from the Business
Incident Matrix, see below) together with any other relevant detail, e.g.
product id, CA lines etc.
4.4 Business Incident Matrix
The following table identifies Business incident classes provisionally agreed
between ICL Pathway and POCL at the joint workshop held on 02/11/99 for
EPOSS / TPS related exceptions. It is an initial attempt to identify as many of
the incident classes as possible but is not meant to be exhaustive as new
incident classes can be added at any time according to requirements.
Incident Class Reported I Incident Raised
By
\Outlet paper CA does not agree with electronic CA CS / MSU
Signed re-printed paper CA does not agree with electronic CA ICS / MSU
ITransaction has null mode (CS / MSU
\Transaction posts to a null product ICS / MSU
\Transaction has no primary mapping CS / MSU
ITransaction mode for new reversal — should be SC (CS / MSU
\Transaction start date is null (CS / MSU
[Transaction end date is null (CS / MSU
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[Transaction for an unknown mode as per mode parameters (CS / MSU
ITransaction product has no CA mapping object (CS / MSU
Incident Class Reported I Incident Raised
By
\CA node does not exist for CA mapping node specified ICS / MSU
Double negative in quantity field ICS / MSU
Double negative in sale value field ICS / MSU
Missing EPOSS transaction CS / MSU
Non polled office CS / MSU
ITransaction reversed with incorrect details IN POCL TIP / TP
Invalid reference data IN POCL TIP / TP
(Customer / Client enquiry IN POCL TIP / TP
Receipts and Payments do not balance (migration) Will not be specifically
Receipts and Payments do not balance (post migration) eerie omer Ne a
errors causing the
misbalance will be reported.
\Transaction cannot be reversed following End of Day IN POCL TIP / TP
4.5
4.5.1
Incident Reporting
BIMS reports
BIMS has been designed to report the progress to resolution of a ‘Business’
incident to allow POCL to complete an accurate reconciliation or settlement
with their clients. For ease of identification and associating with the
corresponding HSH call, BIMS report references will mimic the HSH
reference however they will be prefixed with a letter ‘B’, e.g. HSH ref:
E9912120011 = BIMS ref: BE9912120011.
A BIMS report will be issued for each individual exception raised via the HSH
to generate a ‘Business’ incident. However it has been agreed between ICL
Pathway and POCL that in certain circumstances, the reconciliation and
settlement detail will not be supplied via the BIMS route, as POCL would wish
to see corrected transaction detail supplied electronically across the ICL
Pathway / TIP interface — the ‘50+’ ruling. In this case, a BIMS report would
merely advise the file details in which the corrected transactions have been
supplied. The rules and assumptions used for the generation of electronic
data are described in section 4.6.2 ‘Correction File Required’
BIMS reports are only designed to advise any detail required to assist in this
reconciliation or settlement process within POCL. They communicate only the
resolution of the ‘Symptom’ of any underlying cause.
BIMS reports will not advise any detail as to the underlying ‘Cause’ of the
problem if this is a result of a software error etc. This information is supplied
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4.5.2
4.5.3
via the ‘System Incident Log’, (SIL). Where an associated ‘System’ incident
is raised to eradicate the cause of a particular problem, leading to one or a
series of ‘Business’ incidents, cross references will be supplied on the
‘Business’ incident BIMS report to allow tracking of the ‘System’ incident.
System Incident Log
The SIL is intended to track the progress to resolution of a ‘System’ incident
raised to eradicate an underlying system fault. In practice, one system fault
could lead to a number of ‘Symptoms’ generating ‘Business’ incidents. The
SIL has been developed to remove the need to annotate each BIMS report
associated with a particular system fault, with the detail required to ensure
POCL are fully advised as to the nature of this fault and how it is to be
rectified.
An example of a completed SIL is shown in Appendix 1
Reporting Timescales
An initial BIMS report will be issued by CS / MSU on the same working day as
the incident is raised via the HSH. This initial report may or may not have all
the detail required to enable POCL to reconcile or settle with their client(s),
however it will be followed up by subsequent versions as more information is
acquired by CS / MSU.
The final BIMS report advising full reconciliation and settlement information
must be completed within five working days from the date the ‘Business’
incident was raised via the HSH.
Where a correction file is required, this must also be delivered to TIP within
five working days from the date the ‘Business’ incident was raised via the
HSH.
There is no strict timescale for the resolution of an associated ‘System’
incident as the time taken to develop a fix or correct erroneous reference data
cannot be determined. Obviously however, ICL Pathway will give every
incident the priority it deserves in conjunction with POCL’s requirement. The
SIL, advising the current status of this ‘System’ incident will be delivered to
POCL TIP / TP at the end of each week. POCL may telephone CS / MSU at
any time to receive an update as to the status of any incident documented on
the SIL.
4.6 Incident Management Procedures
The following flowcharts have been prepared to describe the processes
required to bring each ‘Business’ and ‘System’ incident to a successful
conclusion within ICL Pathway and POCL.
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4.6.1 MSU Raised Business Incident — No Correction File Required
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report
incident
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“}
2
Raise a bus.
incident for
each exception
on the HSH
IMsu}
Same ref. as HSH
v but with a ‘Bin front.
3 4 5 6
Route Log incident Annotate the
incident toMSU FJ] details into f+} exception report PB] File report
incident stack BIMS with BIMS ref. IMsu]
iSH] Imsu} Imsu}
8 7
Update BIMS Investigation to
with investigat’n (€———n} provide settiem't
results Irecon.tn detail
[Msu} [Msu]
Has a system
incident already Underlying
been raised? system fault?
Yes No
yv IMS still open
9 12 13
Update system system Close HSH
incident record incident with eS LP] business
with new details HSH oMSU] incident
IMsu] IMsu] IMsu}
" POCL agree Und
‘Add system nti
}} incident refs to to clear BIMS? agreement
BIMS report reached
IMsu} YesI
14
Clear BMS }g¢——_—J
IMsu}
BIMS linked +8 tose BIMS
tosystem ‘at monthly XX)
incident incident review
IMsU]
Until
system
incident
resolved
4.6.2 MSU Raised Business Incident — Correction File Required
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Do POCL
ICL Pathway. TPS Re
correction file?
16 Raise one
bus. incident
Log incident
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details into
on the HiSH incident stack BIMS
IMsU] [HSH] [MSU]
No
19
Annotate
exception report j_{@———d
with BIMS ref.
IMsu}
Has a system vy
incident already 21 Forward
been raised? 20 Bus. Incident to
i SSC with instructions
Yo Fie eae [> to create a correction
file & send to TIP
No [Msu]
26 27 22 23
Update system Raise system Create Update incident
incident record incident with correction file [43pq with correction
with new details HSH and send to TIP file details
IMsU] [MSU] 1SSC] [ssc]
28 24
‘Add system
L___g) incident ret to Return incident
BIMS report esc}
[MSU]
29 25
L_y} despatch ams Je ith correction
Por file details
[Msu}
¥ POCL agree
30 to clear BIMS? j
Close HSH Until
business agreement
incident No reached
tmsu} Yes
31
ClearBiMs }¢——J
[MSU]
32
sym Close BIMS
ineldent namely EASY
incident review
resolved Tsu
Rules and Assumptions
1. Where there are >=50 exceptions of the same type highlighted on one
exception report, MSU will request a decision from POCL as to whether
they require the corrected transactions to be forwarded electronically to
TIP. If this is the prefered option, one ‘Business’ incident will be raised to
cover all applicable exceptions which will generate one BIMS report.
Where there is an accumulation of 50 or more exceptions of the same
type within a single CAP, designated Thursday to the following
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Wednesday, MSU will request a decision from POCL as to whether they
required the corrected transactions to be forwarded electronically to TIP. If
this is the preferred option, one new ‘Business’ incident will be raised to
cover all applicable exceptions, which will generate a new BIMS report.
Any existing BIMS reports raised throughout the period for the individual
exceptions, which have now accumulated to 50+ will be cleared and then
closed at the following monthly reconciliation review.
4.6.3 POCL TIP Raised Business Incident
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:C:
IC! Hent fyieragemery,- oy
Raise business Route No 20. Update
pears incident incident to MSU PNEIDEY SE— >t Attach details to bea] BIMS report and
ident on the HSH incident stack [MSU ‘send to POCL
[TIPIOSG} [HSH] [1] su)
Yes v
a 38
Should it have
No Seek closure of
Log incident been seen by
details into BIMS Ick Pathway? duplicate incident
MSU} from POCL
IMsu]
Yes
v v yv
42 40 investigate & 39
Investigation to ‘ensure incident Close
rovide settlemen is picked up duplicate incident]
or recon.tn detail in future on POCL's behalf
IMsu] [MsuU] Imsu]
43
Update BIMS
with investigat’n
results
IMsu]
Has a system
incident already POCL agree
44 been raised? 47 to clear BIMS? until
Update system y N nti
incident record fe = A} Despatch BMS >} agreement
with new details I ~ Yes i No reached
[MSU] Underlying IMsu]
system fault? YesI
No
45 46 48
Raise system ‘Add system
incident with J} incident ref.s to ClearBiMS }g¢———_]
HSH BIMS report IMsu]
IMsu] IMsu]
49
Close HSH
BIMS linked Until
to system Yes system
incident? incident
resolved
No
50
Close BIMS at
&\<— monthly incident j¢—__—_J
review
IMsU]
4.6.4 MSU Raised Non Polled Outlet Incident
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Matrix Categories
52 I 53
an} 54
Until office
disappears from
non-polled
report
Raise a Route incident Investigate
Non-polled system incident through to 3rd fee why non-potling
outlet ontheHSH line support ‘occurred
f IMsu} [HSH] [3rd line]
58 55
Log incident Inf Update incident
details into bk nfo. with results of
BIMS investigation
IMsu] [3rd line]
Et) 56
Despatch BIMS ensure
reporasu) action is taken
[3rd line]
87
Send incident
back to the MSU
[3rd line]
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60 61
Close HSH
incident > atti
[Msu}
62
Close BIMS
at monthly
incident review
[MSU]
e THIS IS THE ONLY TIME A BIMS REPORT IS ISSUED FOR A SYSTEM
INCIDENT
4.7
Links to Problem Management
The processes highlighted within this document are not intended to replace
the current agreed Problem Management procedures, which will run side by
side with the incident management process as has always been the case.
Problems will be raised according to the following criteria:
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e Where there is a trend of similar ‘Business’ incidents where there is no
identifiable cause
e Where a ‘System’ incident has been raised to resolve a system problem
Problem management expands the scope of the ‘System’ incident process to
include any wider issues, which are necessary to rectify the issue. Whilst the
‘System’ incident is used within ICL Pathway to ensure the relevant code, fix
etc is developed, tested and delivered to the live estate, the Problem will
cover the specific requirements of POCL re. Counter updates, briefings etc.
and in many cases the authority to proceed with a relevant fix.
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Appendix 1: ‘System Incident Log’
System Incident References Associated Business Incident Resolution Detail
Date Raised HSH Ref PiniCL (1) I PiniCL (2) BIMS / HSH Ref TIP Ref Cause / Rectification of Error Fix Detail Problem Mgt Ref I Closure Date
13/11/99 IE9911030813 32733 vA BE9911020258 99 Narrative text P1234 29/11 [34567 13/12/99
(03/11/99 IE9911030845 32675 32688 JBE9911020259 IN/A Narrative text 34666
Description of Fields
System Incident Referencese
Date Raised: The date the ‘System’ incident was raised by CS / MSU
HSH Ref: The ‘System’ incident HSH reference
PinICL (1): The initial ‘System’ incident PinICL
PinICL (2): Any subsequent ‘System’ incident PinlCL’s raised for the same ‘Business’ incident
Associated Business Incident
BIMS / HSH ref: The HSH and BIMS references which are identical but for the ‘B’ prefixing the BIMS reference
TIP Ref: Any TIP reference quoted against a TIP / TP raised ‘Business’ incident
Resolution Details
Cause Rectification of Error: A non technical description of the fault and the solution to rectify
Fix Detail: The Work Package (WP) detail and associated dates of any fix delivered to the estate
Problem Mat Ref: The associated Problem Management Database reference
Closure Date: The date the ‘System’ incident was closed following successful delivery of fix detail or reference data changes.
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