SLAUGHTER AND MAY
35 Basinghall Street, London EC2V SDB = Telephone I
Telex 883486 and 888926 + LDE and CDE Box No.I I
+ Fax {7
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THIS FACSIMILE IS CONFIDENTIAL AND MAY CONTAIN LEGALLY PRIVILEGED INFORMATION. IF YOU ARE NOT NAMED BELOW AS.
AN ADDRESSEE IT MAY BE UNLAWFUL FOR YOU TO READ, COPY, DISTRIBUTE, DISCLOSE OR OTHERWISE USE THE INFORMATION
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FAX TRANSMISSION
Date 13th January, 2000
Our reference JRT
From Jeff Triggs
To Martin Box, POCL, Chesterfield
75365
THES OF PS2_
Writer's telephone
Receiving fax number
At the request of Keith Baines I attach Schedules 4 and “Sof the draft agreement
relating to suspension of Rollout. Please could you call Graeme Seedall when you have had a
chance to review it. (I am aware that the numbering in Schedule 4 has gone awry.)
Regard
JR Triggs
A list of the partners and their professional qualifications is available for inspection at the above address.
IF YOU DO NOT RECEIVE ALL THE PAGES, PLEASE TELEPHONE!
The partners are either solicitors or registered foreign lawyers.
umber CA003671147
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NOTES
General — Interpretation of the above matrix
The columns headed ‘Incident’ define the incidents which the Defences and AIC
Detection are designed to address.
The columns headed ‘Defences’ summarise the defences which have (or will be) put in
place to deal with the relevant incidents. In some cases it will be seen that there is
more than one category of defence. These are additive layers of system resilience,
and should be interpreted as follows:
If there is a root cause fix, then defensive code, if also present, would not be exercised
unless either the root cause fix was found in some circumstances to be ineffective or
another hitherto undiscovered root cause caused the same symptom. Taking for
another hitherto Und cove e eon ea
example A6, the cause of the missing timestamp underlying the reported incident has
been fixed, and so the second defence (the repair of the defective record by the
harvester) is inactive, but would be activated by some new "bug" which also caused a
missing timestamp.
The harvester rejection is described as a defence because it prevents defective errors
reaching TIP. If there is either a root cause fix or defensive code then the harvester
will not reject the record, as records reaching the harvester will be correct. The
harvester would reject the record if the fix failed (and indeed for most transaction
errors did originally reject the records, which was how the error was detected by TIP).
The columns headed ‘AIC detection’ set out the reaction the AIC would have made to
the various categories of reported errors had it been active at the time. Where these
errors have been either fixed or defended against the AIC will of course not now have
anything to detect. The third defence, harvester rejection, itself causes AIC detection.
as quite apart from anything else which the AIC may have detected it will now also
detect that a record which was present at the counter has not reached the host.
Specific — bracketed numbers in table refer
1 This bug resulted in transactions not being generated. The transactions which
were in the message store were correctly bought to account.
2 Still under investigation.
The missing transactions were a result of manual intervention following file rejection
The missing transactions were a result of manual intervention ToVowing te rejection
by TIP, rather than software error. The code changes made will prevent leading
hyphens in the field, but if such a thing were to happen the harvester would now
Root cause was a migration error. The reported error is the secondary effect of the
centrally introduced migration correction not being harvested to TIP, although the
cash account was corrected as requested by POCL.
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Root cause was incomplete definition of signage agreed between Pathway and TIP,
now complete.
"Defences" - definitions of terms used as column headings.
The intended purpose of each of the defensive measures referred to in the column
headings is described in the definitions below.
Root cause fix means a software fix applied to rectify the cause of the incidents
reported by TIP in the relevant categories.
Preventative Code means code added to the Horizon software either to detect and
prevent an inappropriate user action (such as deletion of an active stock unit) which
would have adverse system consequences, or to detect a system error (such as a null
cash account id) and prevent the effects of that error propagating through the system.
Harvester Record Rejection refers to the action taken by the software agent which
harvests records to be sent to TIP when it detects a record as being in error. In this
circumstance the agent refuses to harvest the record, instead reporting it for
investigation and/or correction.
7 AIC Detection - definition of terms used as column headings:
The checks performed by each part of the AIC software will be as defined in
PI/DES/002, which was re-issued at v0.8 on 22/12/99. This adds to v0.7 a new
section 4.6.5, which describes the test performed by the host AIC software to detect
and report on instances when the cash account payments table total does not equal the
cash account receipts table total.
Daily checks at the counter refers to the error reporting performed daily by the counter
software (by writing error messages in the message store for central recovery and
reporting) as distinct from the daily production of control totals for subsequent use
either by the host or by the weekly counter AIC processes. This reporting is described
in PI/DES/002, particularly within sections 3.2, 4.1.3, and 4.3.4.
Reported by the Harvester refers to the daily error reporting by the harvester agent, for
those outlets where an End of Day marker is present, when records are found which
cannot be harvested for onwards transmission to TIP because they fail validation
checks. This reporting is described in PI/DES/002, particularly within sections 4.4.1,
and 4.3.4.
Daily checks at the Host refers to reporting of errors detected when the host AIC
software checks the data harvested for each outlet with the counter generated control
totals placed in the message store for this purpose. This reporting is described in
PI/DES/002, particularly within sections 3.1 and 4.5.1.
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Weekly checks at the counter refers to the error reporting performed weekly by the
counter software (by writing error messages in the message store for central recovery
and reporting) as distinct from the production of weekly control totals for subsequent
and Teporting) as eee Se aaa oo
use by the host AIC processes. These errors may be detected by comparison of the
cash account to the control figures accumulated daily at the counter. This reporting
cash account tO oe eae ee
occurs every day, for those outlets for which a cash account has been produced and is
described in PI/DES/002, particularly within sections 3.2, 3.4, 4.1.2, 4.1.5, 4.2.3 and
4.3.5.
Weekly checks at the Host refers to reporting of errors detected when the host AIC
software checks the cash account sub-file for an outlet with the counter generated
software checks the cash account So
control totals placed in the message store for this purpose. This reporting occurs every
day, for those outlets for which a cash account has been produced and is described in
PI/DES/002, particularly within sections 3.3 and 4.5.2.
Receipts not equal to Payments check refers to reporting of errors detected when the
host AIC software checks the cash account sub-file for an outlet to ensure that the
host AIC software Cac cKs oe eae
totals for the Payments table and the Receipts table contained within the sub-file are
equal. This reporting is described in PI/DES/002, section 4.6.5.
8) The incidents shown as Pathway incidents Al6, B24 and B25 have been given
those designations for the purpose of this matrix and were not previously designated
by incident number.
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“3.6.1
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Schedule 5
Amendments to Paragraph 3.6 of Schedule GO1
The table contained at Schedule 4 to this letter shall be added as Annex 1 to
Schedule GO1 to the Codified Agreement.
Paragraph 3.6 of Schedule GO1 to the Codified Agreement (as inserted by CCN
562) shall be deleted and replaced by the following:-
Interpretation of Paragraph 3.6
For the purposes of this paragraph 3.6:-
“Cash Account Week” means each-of-th ch. +-periods-set-out i
{document} period of seven days commencing at [__] p.m. on a Wednesday
and ending at [_] p.m. on the following Wednesday;
= “Data-Error”: h t-Imbal (other-th ie d:solel:
by-a Not Data Exror),aGash-A +E T. tion-Error;
“Cash-A tImbal » 1 i h t-which-has-b.
irrevocably. committed-by the Outlet Manager-at any Outlet at the-conclusion of
the-end-of- week p: *¢ that Outlet notwithstanding that-such Outlet
M. -has-been-provided-with indieation-by the POGL-S
Inf 3 : that -h-cash- tii t-in-bal. +
“Cash-A +E: 2 Jeet: h- +-which- t-
rate y-of the-t " d-out-at-the rel. t-Outlet-d
the-rel + CashA + Week and is not. h t-Imbal. for-a-N
Data-Error}.
“Data Error” means:
Gi) an error (other than a Not Data Error) which results in an Inaccurate
Cash Account (without warning) or a Cash Account Error; or
ii) a Transaction Error which is not a Not Data Error;
“Inaccurate Cash Account” means in respect of any Cash Account Week at any
Outlet an electronic cash account which does not properly account for all
Transactions input to the POCL Service Infrastructure by Users at that Outlet in
that Cash Account Wee
“Inaccurate Cash Account (with warning)” means an Inaccurate Cash Account
irrevocably committed by the Outlet Manager at the conclusion of the end of
week process in respect of any Cash Account Week at the relevant Outlet
notwithstanding that, prior to irrevocably committing such Inaccurate Cash
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Account, that Outlet Manager had been provided with an [indication of the
relevant inaccuracy or inaccuracies by the POCL Service Infrastructure]
[indication that there was an inaccuracy which should be investigated and which, if
not addressed, could lead to an unbalanced cash account];
“Inaccurate Cash Account (without warning)” means an Inaccurate Cash
Account which is not an Inaccurate Cash Account (with warning);
“Cash Account Error” means an electronic cash account presented by TMS at
the TIP interface which is not an accurate record of the corresponding cash
account which was irrevocably committed by the Outlet Manager;
“Transaction Error” means an error in one or more transaction data fields in
the electronic record of a transaction presented by TMS at the TIP interface or a
missing, duplicate or spurious additional Transaction record thereinfwhichin
either-case is Rota Not Data Error};
“Not Data Errors” means any of the following:-
(i) am errors caused by invalid data input by Users in Outlets (other than
the input of data which puts a previously balanced cash account into a
state of imbalance);
(ii) an errors caused by the input of erroneous data by a Users during
migration of POCL Data to any Outlet (save where such-erroris-not
capable of-detection-by-the proper-use-of-the-data migration tools have
been provided by the Contractor to detect such error but such error is
not detected despite proper use of those tools by the User in question};
(iii) an errors caused by Reference Data which result in Transactions not
being correctly taken into account in cash accounts where such
Reference Data were correctly applied by the Contractor in compliance
with the CCD entitled “ICL Pathway/POCL Interface Agreement for
Operational Business Change-Product” or, pending the signature
thereof, the draft of that CCD dated [ ], version [ ] (DN:
CCD needs to be agreed] t-at-the date-of this Agrees 35 OF
(iv) _an error which is classified in Annex 1 to this Schedule GO1 as an error
of class “F” or “G”, whether or not it falls within sub-paragraphs (i), (ii)
or (i
above.
Contractor to POCL describing that Data Error and specifying a format
suitable for POCL to key into a POCL data input facility):-
Gi) in the case of a Data Error resulting in an Inaccurate Cash Account
(without warning) or a Cash Account Error, each of the line items in the
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relevant cash account which need to be replaced in order to correct the
Data Error in question; and
(ii) in the case of a Data Error which is a Transaction Error, the relevant
3.6.2
3.6.3
Transaction record as it would have appeared but for the Data Error.
Classification of Incident Types
Each of the incident types listed in the table in Annex 1 to this Schedule GO1 is
classified in the column of that table headed “Incident Classification” by one of
the following designations:-
“A” = a Transaction Error which is also-a-Gash_Account-Habalance an
Inaccurate Cash Account;
“B” = a Transaction Error which is also a Cash Account Error;
“c” = a Transaction Error which is neither a-Gash-Account-Imbalanee
an Inaccurate Cash Account nor a Cash Account Error;
py = a-Gash-AccountImbalanee-an Inaccurate Cash Account which is
not a Transaction Error;
“E” = a Cash Account Error which is not a Transaction Error;
“FR” = a Not Data Error; and
“Gros a-eash tnot-t itted-by-the GontractortoPOCLan
incident which, on the classification adopted by the parties, is
neither a Data Error nor a Not Data Error but which is treated by
th Not Data Error.
Detection of Errors
The Contractor shall duly apply throughout the term of this Codified
Agreement all of the defensive measures and checks described in the Annex to
this Schedule GO1 (ineludingthose-required-by-the-GGD entitled “Logical Design
for EPROSS/TIP R iliation-Gontrols”-(PI/DES/002)-and,-where-appropriate,
the-Accounting-Integrity-Control Release}-in order to detect Data Errors and
Not Data Errors. Such defensive measures and checks will be applied with the
frequency-required-by-that-GGD indicated in the said Annex. All Data Errors
and Not Data Errors detected (by the Contractor or otherwise and whether or
not by application of such defensive measures and checks) shall, subject to
paragraph 3.6.4 below, be dealt with in accordance with the remaining sub-
paragraphs of this paragraph 3.6.
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3.6.4
3.6.5
24
Widespread Errors
As soon as the Contractor discovers, whether through calls received at the Help
Desk or otherwise, that there are or are likely to be Data Errors or Not Data
Errors affecting cash accounts at more than £100} Outlets in any one Cash
Account Week then the Contractor shall immediately:-
3.6.4.1
3.6.4.2
notify POCL in accordance with procedures described in the CCD
entitled” TPS Reconciliation and Incident Management”
(CS/PRO/11); and
comply with those provisions of that CCD which shall be
inserted by reference to this paragraph 3.6.4.
Thereupon-Upon the Contractor’s giving notice in accordance with
paragraph 3.6.4.1 the remaining provisions of this paragraph 3.6 shall cease to
apply in relation to such Data Errors and Not Data Errors.
Data Errors discovered before transmission
3.6.5.1
3.6.5.2,
Subject to paragraph 3.6.5.4 below, if the Contractor discovers a
Transaction Error which is a Data Error prior to the relevant
record being transmitted by the Contractor to POCL over the TIP
interface, then the Contractor shall not transmit the relevant
record but shall retain it and:
(a) correct the Transaction Error in the relevant record (such
corrected record being hereafter referred to as “the
“Repaired Transaction Data”);
(b) transmit the Repaired Transaction Data to POCL over the
TIP interface; and
(c) promptly issue a report to POCL in an agreed format
containing an explanation of the correction made.
If the Contractor discovers any Gash AccountImbalance-Data
Error resulting in an Inaccurate Gash Account (without warning)
prior to the relevant record being transmitted by the Contractor
to POCL over the TIP interface then, notwithstanding the
presence of such error, the Contractor shall transmit the relevant
record to POCL over the TIP interface and promptly issue a
reportto POCL {in-the-sameformatas-a Manual Error Report
referred s0-it parageaps 6-5-5 belew)-eoninining Pret
d ipti £-that-Gash-A t-Imbal: t of that
Data Error.
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3.6.5.3
3.6.5.4
25
Subject to paragraph 3.6.5.4 below, if the Contractor discovers
any Data Error resulting in a Cash Account Error prior to the
relevant record being transmitted by the Contractor to POCL
over the TIP interface, then the Contractor shall not transmit the
relevant record but shall retain it and:
(a) correct the Gash-Account Data Error in the relevant
record-cash account (such corrected-reeord-cash account
as so corrected being hereafter referred to as “the
“Repaired Cash Account”);
(b) transmit the Repaired Cash Account to POCL over the TIP
interface; and
(c) promptly issue a report to POCL in an agreed format
containing an explanation of the correction made.
The Contractor may, instead of retaining and repairing records
in accordance with paragraphs 3.6.5.1 and/or 3.6.5.3 above,
promptly issue to POCL 1 porteomplying with
b-paragraph-3.6.5.5-below-(a“M anual Error Reports”) for up
to a total of 50 TF: tion-E: d-Gash-A *-Data Errors
occurring in a Cash Account Week (or such higher limit as the
parties may agree).
_---3.6-5.5 —-—-Each-_Manual-Error Report shall-include-a full specification of the
rel 7: 3 hy. d-as-thatT. sti
or- 4 1d-appear if it-did-not-contain-a Data Error,in-a
fe +-suitable-for-POGL-to-key-into-a- ROCL-data-input facility.
3.6.6 Data Errors discovered after transmission
3.6.6.1
Where a tion-E GashA *-Data Error shall not
have been discovered before transmission of the relevant record
to POCL over the TIP interface, but is subsequently discovered,
the provisions of paragraphs 3.6.5.1 and 3.6.5.3 above shall not
apply to such-error Data Error. Instead the Contractor shall
either:
(a) with POCL’s agreement (such agreement not to be
unreasonably withheld), correct the Transaction Error or,
as the case may be, the Data Error in the relevant cash -
accountGashAccount-E in-the-rel + a,
transmit the Repaired Transaction Data, corrected
Inaccurate Cash Account (without warning) or (subject to
paragraph 3.6.6.4 below) Repaired Cash Account to
POCL over the TIP interface and promptly issue a report
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3.6.6.2
3.6.6.3
3.6.6.4
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26
to POCL containing an explanation of the correction
made; or
(b) promptly issue to POCL a Manual Error Report in respect
of that Fransaction-E r-Gash- +-Data Error.
If the number of Fransaction-Data Errors;-Gash-Account Errors
and Gash Account-Imbalances which are discovered after the
transmission of the relevant record exceeds twenty in any Cash
Account Week the Contractor shall, in consultation with POCL,
review the process introduced by the Accounting Integrity
Control Release with a view to enhancing such process in order
to detect the relevant Transaction-Errors-or-Gash Aceount Data
Errors prior to transmission of the relevant records and to
identify and correct root causes of such errors. 7
Any & tion-E Gash Data Error processed by _I
the Contractor under paragraph 3.6.6.1(b) above which shall
have been discovered after transmission but before the
conclusion of the Cash Account Week in which it shall have
occurred shall count towards the 50 per Gash Account Week
limit under paragraph 3.6.5.4 above. However, where a
BS tion-Data Error or-Gash-A tE is discovered after
transmission and after the conclusion of the Cash Account Week
in which it shall have occurred the Contractor shall be entitled,
without thereby being in breach of paragraph 3.6.5.4 above, to
submit a Manual Error Report in respect thereof in accordance
with paragraph 3.6.6.1(b).
Where paragraph 3.6.6.1(a) above applies, the Contractor's
3.6.7
obligation to transmit a Repaired Cash Account may be satisfied
by transmitting such part of the Repaired Cash Account as is
necessary to correct the Data Error concerned, provided that
such transmission complies with the requirements of the CCD
entitled “Pathway to TIP Application Interface Specification”.
Not Data Errors
The Contractor shall, promptly following discovery of any Not Data Error, issue
a report to POCL (in the same format as a Manual Error Report) containing a
brief description of the Not Data Error to the extent that it can be identified and
shall co-operate with POCL and, to the extent that is reasonable, assist POCL
(a) to investigate and seek to prevent the recurrence of such Not Data Error
and (b) to prevent the production of Cash Accounts which are incorrect as a
result of such Not Data Error. I
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[Is any action to be taken by the Contractor in respect of Inaccurate Cash
Accounts (with warning)? Should these be treated as Not Data Errors?]
General Provisions
3.6.8
3.6.9
3.6.10
3.6.11
The Contractor undertakes to use all reasonable endeavours, in accordance
with the procedures defined in the CCD entitled {—_} “TPS Reconciliation
and Incident Management” - CS/PRO/11, to notify POCL [(where [Ovhere possible)] of of
the occurrence of a Data Error or Not Data Error on the same day on which
such Data Error or Not Data Error occurs and shall in any event notify POCL
thereof on the morning following the date on which it occurs.
The Contractor undertakes to use all reasonable endeavours to ensure that:
3.6.9.1 the delay between the occurrence of a Data Error (or in the case I
of a Data Error detected after the transmission of the relevant
record, its detection) and (a) the issue of a Manual Error Report
in respect thereof to POCL, (b) transmission of the Repaired I
Transaction Data or (subject to paragraph 3.6.6.4) Repaired
Cash Account to POCL over the TIP interface or (c) (in the case
of a-Gash-Aecount Imbalance Data Error resulting in an I
Inaccurate Cash Account (without warning)) the issue of a
report to POCL pursuant to paragraph 3.6.5.2 above; or
3.6.9.2 the delay between discovery of a Not Data Error and the issue of I
a report to POCL in relation thereto under paragraph 3.6.7 above
shall not in either case exceed five working days.
I Where any such delay as is referred to in paragraph 3.6.8 has exceeded, or the I
“Contractor believes that it is likely to exceed, five days, the Contractor shall
immediately notify POCL’s Head of Service Management and shall procure that
the Contractor’s Customer Service Director (or, in his absence, the senior
manager in-charge-of his-responsibilities his deputy) is made available to meet
with POCL’s Head of Service Management (or his delegate) to discuss the delay
within two working Days of such notification.
Where the Contractor provides Manual Error Reports it shall provide a separate
Manual Error Report for each F tion-B Gash-A €DataError I
discovered. For this purpose, where a single error in a cash account is
manifested in more than one place in that cash account it shall be treated as a
single Gash Account-Data Error, but two or more different errors in the same I
cash account shall be treated as different Gash-Account-Data Errors, each
requiring a separate Manual Error Report.
3.6.12 Where the Contractor is required to make an assumption in order to correct a I
“Data Error and/or present Repaired Data, the Contractor shall make such
207736/10464 c4993400142 JT 120300;1125)20100"15481201001519 I
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assumption and promptly inform POCL; prior-to-tra: ission-of the Repaired
Data; of the assumption made.
3.6.13_The Contractor shall pay to POCL within 30 days after the end of each month a
sum to compensate POCL for its costs in dealing with Manual Error Reports
reports for all-T: tion-Errors-and-GashAccount Data Errors as follows:
3.6.13.1 £150 per Manual Error Report relating to a Transaction Error
discovered after transmission of the relevant-date record;
3.6.13.2 £100 per Manual Error Report relating to a Transaction Error
discovered before transmission of the relevant record; and
3.6.13.3 £100 per Manual Error Report relating to a Cash Account Error
discovered; and
3.6.13.4 £100 per report issued in accordance with paragraph 3.6.5.2
relating to an Inaccurate Cash Account (without warning)
in that month. Clause 802 of the Codified Agreement shall apply to such
payments as though they were liquidated damages for failure to meet Service
Levels.
For the purposes of calculating the sum which may be due to be paid to POCL
under this paragraph 3.6.13 all Data Errors which shall have been corrected by
the Contractor and the relevant Repaired Transaction Data or (subject to
paragraph 3.6.6.4) Repaired Cash Account transmitted to POCL over the TIP
interface within five Working Days of such Data Error occurring shall be
excluded and no payment shall be made to POCL in relation to such Data
Errors. For the avoidance of doubt, no payment shall be made by the
Contractor to POCL in respect of error reports for-Gash-Aceount Imbalances
Inaccurate Cash Accounts (with warning).”
[Is there a mechanism for such reports?]
By This Schedule 5 also modifies Acceptance Resolution Plan 376 (Reference
CR/ACD/376 Version 0.9 Dated 23rd September, 1999); paragraph 5.3.3
thereof shall be amended as appropriate to be consistent with this Schedule to
the intent that the procedures and obligations set out in this Schedule shall
take precedence over, and replace, the procedures and obligations set out in
numbered paragraphs 1 to 5 (inclusive) of the said paragraph 5.3.3.
207738/10464 CA993400142 JRT 130100:1125120100:18451201001519
User ID: ADDRESS1
Nam 75365 MARTIN BOX
Company: POCL
Fax Phone Number
Contact Phone Number:
Info Code 1: 207738/10582
Sent to remote I
Sent at:Thu Jan 13
Sent on channel 14
Elapsed Time: 6 minutes, 56 seconds
Hangup Result:
Transmission Status:
Page Record: 1-17 good (00).
000
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Info Code 2: JRT