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«-. ‘Thomas Penny
From: graham.c.war¢é GRO I
Sent: — Thursday, April 15, 2004 4:23
To: Thomas Penny
Subject: Re: Urmston Witness Statement
Penny
as discussed
Pa Y
¥PT/O1 - ARQ 320 & 32
/02 - ARQ 455-460
w¥/03-- Copy of CD for ARQ 320 & 321 sent PO 15/04/04 —
P£/04-~-ED for ARQ's 456-458 sent 16/03/04e-—",
PF/05--CD-for ARQ 455 sent 29/03/04 ao
PF/06-~CD for ARQ.459 & 460 sent 15/04/04 7“
Please send direct to : Graham Foster
Room 321
1 exchange street
STOCKPORT
SK1 1AA
RUSCOTE ARCADE Trial at Oxford CC
as for. next weeks trial, please pass on Jane's mobile number to our Investigator John Longman on
GRO __ Ihave informed John that Neneh has and.is unable to travel at
préSéiit. 1His Will be passed onto our prosecution barrister and I am sure that she will not be needed,
particularly as Jane will be attending and could answer any questions relating to data extraction. That
said, there is always the possibility that the defence could insist on Neneh's attendance (unlikely I'm
sure), we will know on Monday.
Regards
Graham
[- Thomas Penny <Penny. Thomas ~
Thomas Penny __ To: "graham.c.ware
<Penny.Thomag <graham.c.war¢
ue ce: t
15/04/2004 13:22 Subject: Urmston Witness Statement
Hi Graham
Good to see you today.
4/15/04
FUJ00121995
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Page 2 of 2
Please find attached draft witness statement for Urmston. The CD will be
ready to go in the post tomorrow.
<<F. Urmston.doc>>
Have a good weekend!
Kind regards
Penny
Penny Thomas
> Customer Services - Post Office Account- Security
>
> Fujitsu Services, Forest Road, Feltham, Middlesex, TW13 7HJ
>
>* Tel:
>* Fax
>
>* penny. thoma.
>
Web: <http://services. fujitsu.com>
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>>>> F. Urmston.doc attachment was removed from this email <<<<
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FUJ00121995
FUJ00121995
Witness Statement I
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) I
‘and 5B, MC Rules 1981,r70) I
Statement of Penelope Anne Thomas
Age if under 18 Over 18 (if over 18 insert ‘over 18") *
This statement (consisting of seven pages each signed by me) is true to the best of my knowledge and
belief and I make it knowing that, if it is tendered in evidence, I shall be liable to prosecution if I have
wilfully stated in it anything which I know to be false or do not believe true.
Datedthe 15 day of April 2004
Signature
I have been employed by Fujitsu Services, Post Office Account, formally ICL Pathway Ltd., for
two months as an Information Technology (IT) Security Analyst responsible for audit data
extractions and IT Security. I have working knowledge of the computer system known as
Horizon, which is a computerised accounting system used by Post Office Ltd. I am authorised
by Fujitsu Services to undertake extractions of audit data held on the Horizon system and to
obtain information regarding system transaction information processed on the Horizon system.
Horizon’s documented processes relate to each Post Office outlet. They state that at each Post
Office, there are counter positions which each have a computer terminal, a visual display unit
and a keyboard and printer. This individual system records all transactions input by the counter
clerk working at that counter position. Each clerk logs on to the system by using their own
unique password. The transactions performed by each clerk, and the associated cash and
stock level information are recorded by the computer system in a stock unit. Once logged on,
any transactions performed by the clerk must be recorded and entered on the computer and
are accounted for within the user's allocated stock unit.
The Horizon system provides a number of daily and weekly records of all transactions input into
it. It enables Post Office users to obtain computer summaries for individual clients of Post
Office Limited e.g. National Savings Bank, Girobank, Driving Vehicle Licence Agency and the
Signature: G RO fi 7
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Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
Department of Working Pensions (DWP). The Horizon system also enables the clerk to
produce a weekly balance of cash and stock on hand combined with the other transactions
performed in that accounting period. ”
Where local reports are required these are accessed from an icon on the desktop menu. The
user is presented with a parameter driven menu, which enables the report to be customised to
requirements. The report is then populated from transaction data that is held in the local
database and is printed out on the tally roll printer. The system also allows for information to be
transferred to the main accounting department at Chesterfield in order for the office accounts to
be balanced.
The Post Office counter processing functions are provided through a series of counter
applications: the Order Book Control Service (OBCS) that ascertains the validity of DWP order
books before payment is made; the Electronic Point of Sale Service (EPOSS) that enables
Postmasters to conduct general retail trade at the counter and sell products on behalf of their
clients; the Automated Payments Service (APS) provides support for utility companies and
others who provide incremental in-payment mechanisms based on the use of cards and other
tokens and the Logistics Feeder Service (LFS) which supports the management of cash and
value stock movements to and from the outlet, principally to minimise cash held overnight in
outlets. The counter desktop service and the office platform service on which it runs provides
various common functions for transaction recording and settlement as well as user access
control and session management.
Information from counter transactions is written into a local database ‘and then replicated
automatically to databases on all other counters within a Post Office outlet. The information is
then forwarded over ISDN (or other communication service) to databases on a set of central
Correspondence Servers at the Fujitsu Services data centres. This is undertaken by a
messaging transport system within the Transaction Management Service (TMS). Various
systems then transfer information to Central Servers that control the flow of information to
Signature Signature witnessed by...
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(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
various support services. Details of outlet transactions are normally sent at least daily via the
system. Details relating to the outlet's stock holding and cash account are sent weekly. Details
are then forwarded daily via a file transfer service to the Post Office accounting department at
Chesterfield and also, where appropriate, to other Post Office Clients.
An audit of all information handled by the TMS is taken daily by copying all new messages to
archive media. This creates a record of all original outlet transaction details including its origin -
outlet and counter, when it happened, who caused it to happen and the outcome. The TMS
journal is maintained at each of the Fujitsu Services Data Centre sites and is created by
securely replicating all transaction records that occurred in every Outlet. They therefore provide
the ability to compare the audit track record of the same transaction recorded in two places to
verify that systems were operating correctly. All exceptions are investigated and reconciled.
Records of all transactions are written to audit archive media.
The Horizon system consistently records time in GMT and therefore takes no account of Civil
Time Displacements. The clock incorporated into the desktop application on the counter visual
display units is however configured to indicate local time. Tésis has been the situation at
Urmston, FAD 060422, since 29 November 2000 when the Horizon system was introduced at
that particular Post Office.
The Order Book Control System (OBCS) software, linked to the Horizon system was developed
in conjunction with the DWP. OBCS provides details of DWP order books on the national stop
payment list, and, enables data regarding the movement of order books, and,encashments to
be captured on their behalf. Each Horizon terminal at a Post Office counter has access to the
national stop list through OBCS, when a barcoded DWP order book is scanned at the Post
Office counter, or the order book details are manually keyed into Horizon at the Post Office
counter. Each night, the national stop payment list is updated from information supplied
electronically from the DWP computer centre. National stop payment list data is held centrally
Signature I G R O / Sipeaturn.witnancod.bitenny
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(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
within the Horizon system, and is available to all Post Offices. However, certain information from
the national stop payment list is also downloaded to individual Post Offices for faster access; this
download process is called polling. The polling of individual Post Offices also involves receiving
details of order book movements and encashments at Post Offices; centrally within Horizon, for
onward transmission to the DWP. °
When information relating to individual transactions is requested, the data is extracted from the
audit archive media via the Audit Workstations (AW's). Information is presented in exactly the
same way as the data held in the archive although it can be filtered depending upon the type of
information requested. The integrity of audit data is guaranteed at all times from its origination,
storage and retrieval to subsequent despatch to the requester. Controls have been established
that provide assurances to Post Office Internal Audit (POIA) that this integrity is maintained.
During audit data extractions the following controls apply :
1. Extractions can only be made through the AWs, which exist at Fujitsu Services, Forest
Road, Feltham, Middlesex, Fujitsu Services, Lovelace Lane, Bracknell, Berkshire and the
two Fujitsu Services Data Centres. These are all subject to rigorous physical security
controls appropriate to that location. Specifically, the Feltham and Bracknell AWs — where
most extractions take place — are located in a secure room subject to proximity pass access
within a secured Fujitsu Services site.
2. Logical access to the AW and its functionality is managed in accordance with the Fujitsu
Services, Post Office Account Security Policy and the principles of ISO 17799. This includes
dedicated Logins, password control and the use of Microsoft Windows NT security features.
3. All extraction’s are logged on the AW and supported by documented Audit Record Queries
(ARQ’s), authorised by nominated persons within Post Office Ltd. This log can be scrutinised
on the AW.
Signature i G R O i Sinnature.witnessad. hv...
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{CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
4. Extractions are only made by authorised individuals.
5. Upon receipt of an ARQ from Post Office Ltd they are interpreted by CS Security. The details
are checked and the printed request filed.
6. The required files are identified and marked using the dedicated audit tools.
7. Chécksum seals are calculated for audit data files when they are written to audit archive
media and re-calculated when the files are retrieved.
8. To assure the integrity of the audit data while on the audit archive media the checksum seal
for the file is re-calculated by the Audit Track Sealer and compared to the original value
calculated when the file was originally written to the audit archive media. The result is
maintained in a Check Seal Table.
9. The specific ARQ details are used to obtain the specific data.
10. The files are copied-to the AW where they are checked and converted into the file type
required by Post Office Ltd.
11. The requested information is copied onto removal CD media, sealed to prevent modification
and virus checked using the latest software. It is then despatched to the Post Office Ltd
Casework Manager using Royal Mail Special Delivery. This ensures that a receipt is
provided to Fujitsu Services confirming delivery.
ARQs 320 and 321 were received on 1 December 2003 and asked for information in connection
with the Post Office at Urmston (FAD 060422). The data was originally supplied to Post Office
Ltd on 8 December 2003 by Neneh Lowther -
copy of ARQs 320 and 321 as Exhibit PT/01. On various dates and at various times between 10
{I now produce a
March 2003 and 16 April 2004, I undertook extractions of data held on the Horizon system in
accordance with the requirements of ARQs 320 and 321 and followed the procedure outlined
Signature :
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Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
above. I produce the resultant CD as Exhibit PT/03. This CD contains exactly the same
transactional data as was originally supplied in December 2003.
ARQs 455, 456, 457, 458, 459 and 460 were received on 10 March 2004 and asked for”
information in connection with the Post Office at Urmston, FAD 060422. I produce a copy of
ARQs 455, 456, 457, 458, 459 and 460 as Exhibit PT/02. On various dates and at various times
between 10 March 2004 and 16 April 2004 I undertook extractions of data held on the Horizon
system in accordance with the requirements of ARQs 455, 456, 457, 458, 459 and 460 and
followed the procedure outlined above. I produce the resultant CDs as Exhibit PT/05 (ARQ 455),
Exhibit PT/04 (ARQs 456, 457 and 458) Exhibit PT/06 (ARQs 459 and 460).
The report is formatted with the following headings:
ID — relates to counter position
User — Person Logged on to System
SU — Stock Unit
Date — Date of transaction
Time — Time of transaction
Sessionld — A unique string relating to current customer session
Txnid — A unique string relating to current-transaction
Mode - e.g. SC which translates to Serve Customer
ProductNo — Product Item Sold
Qty — Quantity of items sold
SaleValue — Value of items sold
Entry method - Method of data capture for OBCS Transactions (0 = barcode, 1 = manually
keyed)
State — Method of manual keyed Entry Method.
!OP - Order Book Number
Result — Order Book Transaction Result
Foreign Indicator — Indicates whether OBCS payment was made at a local or foreign outlet
(0- Local, 1- Foreign). The foreign indicator defaults to a ‘0’ for all manually entered
Signature ; Sionature.witoessed.by.,
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Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
transactions.
The Event report is formatted with the following headings: »
Groupid — FAD code
ID — relates to counter position
Date — Date of transaction
Time — Time of transaction
User — Person Logged on to System
SU = Stock Unit
EPOSSTransaction.T — Event Description
EPOSSTransaction.Ti — Event Result
The CD (Exhibit PT/03) was sent to the Post Office Investigation Section by Special Delivery on
15 April 2004. The CD (Exhibit PT/04) was sent to the Post Office Investigation Section by
Special Delivery on 16 March 2004. The CD (Exhibit PT/05) was sent to the Post Office
Investigation Section by Special Delivery on 28 March 2004. The CD (Exhibit PT/06) was sent
to the Post Office Investigation Section by Special Delivery on 15 April 2004.
There is no reason to believe that the information in this statement is inaccurate because of the
improper use of the computer. To the best of my knowledge and belief at all material times the
computer was operating properly, or if not, any respect in which it was not operating properly, or
was out of operation was not such as to effect the information held on it. 1 hold a responsible
position in relation to the working of the computer.
Any records to which I refer in my statement form part of the records relating to the business of
Fujitsu Services. These were compiled during the ordinary course of business from information
supplied by persons who have or may reasonably be supposed to have personal knowledge of
the matter dealt with in the information supplied, but are unlikely to have any recollection of the
Signature
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Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
information or cannot be traced. As part of my duties, I have access to these records.
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