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FUJITSU
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Branch Outreach Issue
(Initial Findings)
10" December 2015
This presentation is provided on the condition that it is for Post Office’s internal purposes only to analyse
the branch outreach issue. It is not for disclosure to any third party without our express consent, and is to
be treated confidentially at all times by Post Office.
LWISLP LA
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Branch Outreach Issue - Description FUJITSU
There are actually 2 potential separate issues here, and it is the combination
of the two issues that may lead to the scenario described above:
™ The Forced Log Out
™ Doesn't correctly close down the Post Log On script. This leaves the script on the “stack”
of incomplete processes
™ The Pouch Delivery script thinks it has completed doesn’t explicitly finish
m™ When the Remittance is complete and all the receipts have been printed, the last screen
asks the user to press Enter to complete the Remittance process
™ It relies on a mechanism which checks the stack of incomplete processes to see if it is
complete. Due to the fact that the stack is not empty (following the first problem) it thinks
it has not finished and as a result attempts to repeat the last part of the script, which in
this case is to record the remittance transactions and print the receipts
ZSbebis
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Initial Results of Audit of BLE files FUJITSU
@ Audit found 112 occurrences of Duplicate Pouch Id’s over the
past 5 years
= The audit highlighted 3 issues with Duplicate Pouch Id’s
m™ 47 Outreach Cases identified equivalent to the current item
™ 19 using ‘Prev’ Button after pouch scan - fixed Mar 2010
m™ 46 Pouch remitted at multiple Counters - fixed Jan 2011
™ 108 items corrected at the time either by:
™ Transaction Correction by Post Office
m= Sub Post Master reversal completed at the time
m 4 items still to be confirmed
™ No correction records obvious in database Post Office to advise if any
corrections etc. raised
# No items relate to Mediation Periods
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Data Analysis Method FUjITSU
@ Historical Checking of Data
The following is a breakdown of the initial analysis completed to
date (9"" December 2015).
™ Fujitsu have retrieved and analysed the BLE files (branch
data transfer files to POLSAP) in archive audit storage
™ We then Correlated any outputs against Mediation cases
post 2010 when HNGX was introduced
vISLOL/S
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SISLYL/A
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Branch Outreach Issue — Overview FUJITSU
™ This code was produced for HNGX which went live in 2010
= However this particular problem would not have been present on the
old Riposte-based Horizon system that was running until 2010
™ Receipts were generated for all the remittance transactions
plus
= They are all clearly visible as individual transactions in the Transaction
Log (which is viewable locally) and
@ Also in the Audit Trail (which is used as the basis for any evidence of
the system’s behaviour)
m™FSC and NBSC now have knowledge base for this issue
™ Proposed Change
= The proposal is to issue a hotfix to ensure that a Forced Log Out
correctly clears down the stack of incomplete processes
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9ISLOL/A
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The Core Audit Process - Reminder FUJITSU
The Horizon Application has been designed to ensure that accurate and auditable
records are kept of all sub-postmaster transactions
When a transaction is conducted at a counter, an auditable mechanism has been
built in to ensure these transactions are taken from the counter, stored in the
Horizon main branch database and then copied to an audit database
This mechanism can be considered a ‘closed loop’ where information is securely
exchanged from the counter to the Horizon branch database and then on to the
audit database
Whilst copies of transaction data are provided to numerous external systems from
the main Horizon database, once an audit record is created, it becomes security
sealed and time stamped. Audit records cannot then be accessed or altered
without detection and the creation of further auditable events
The Core Audit Process is designed to provide a definitive log of all transactions.
As such it is the “base” upon which any assessment as to “what was entered at
the counter” should be derived from to the exclusion of all other systems that may
take a feed of data from the Branch Database
A number of ‘assertions’ can be independently examined to test the robustness of
the Core Audit Process
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Detailed Preliminary Findings FUJITSU
m@ 2010/11 — 65 Incidents
m@ 19 PREV Button — February to March 2010
Using the PREV key during / just after the pouch barcode scans
19 Transaction Corrections (TC) reviewed and applied by Post Office Limited
April 2010 Fix applied
No more occurrences found post fix
# 46 Remittances at 2 counters — July 2010 to January 2011
The same pouch could be “remitted” into the same branch at more than one
counter
46 Transaction Corrections (TC) reviewed and applied by Post Office Limited
January 2011 Fix applied
No more occurrences found post fix
= Post Office P&BA (FSC) fully aware at the time of both Incidents
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Detailed Preliminary Findings FUjiTSU
@ 2011 — 6 Incidents
™ 1 Transaction Correction completed by POL
m™ 5 Corresponding Remittance transactions completed by PMs
# O Calls raised with Fujitsu
@ 2012 — 9 Incidents
m™ 5 Transaction Correction completed by POL
™ 3 Corresponding Remittance transactions completed by PMs
m@ 1 Unknown outcome FAD 120004 — value £1.00
#@ 0 Calls raised with Fujitsu
@ 2013 — 7 Incidents
m 4 Transaction Correction completed by POL
m™ 1 Corresponding Remittance transaction completed by PMs
m 2 Unknown outcomes FAD 157242 — value £25,000 and FAD
209311 — value £2,500
# 0 Calls raised with Fujitsu
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6/SLYL/A
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Detailed Preliminary Findings FUITSU
@ 2014 — 9 Incidents
m™ 3 Transaction Correction completed by POL
™ 5 Corresponding Remittance transaction complete by Post Master
m™ 1 Unknown outcome FAD 214420 — value £0.01
@ 0 Calls raised with Fujitsu
@ 2015 — 16 Incidents
™ 8 Transaction Correction completed by POL
™ 8 Corresponding Remittance transaction complete by Post Master
@ 0 Unknown outcome
@ 1 Call raised with Fujitsu
m@ Jan 2016 Fix to be applied (Subject to POL approval)
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Detailed Preliminary Findings — Branch Fujitsu
View
= 88 different Branches had duplicate pouches over the past 5
years
m™ 2 branches have had 5 occurrences
m@ 1 branch has had 4 occurrences
m@ 2 branches have had 3 occurrences
m™ 9 branches have had 2 occurrences
m@ 74 branches have had 1 occurrence
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Detailed Results — Branch FAD Codes
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Branch Date Branch Date Branch Date Branch Date
3937 26-Mar-2010 106444 22-Jun-2015 154205 18-Dec-2010 223238 01-Sep-2010
4230 20-Dec-2010 106444 09-Sep-2015 155116 17-Mar-2010 223238 01-Sep-2010
4552 11-Oct-2010 107444 02-Jun-2015 157242 18-Feb-2013 223238 01-Sep-2010
5207 15-Apr-2010 107444 02-Jun-2015 158033 02-Apr-2014 224843 08-Oct-2015
5320 22-Mar-2010 709013 17-Mar-2010 159242 (04-Aug-2010 225207 15-Apr-2010
7002 15-Nov-2010 110444 14-Sep-2015 159713 12-Apr-2010 233939 16-Sep-2010
7329 19-Jan-2011 112444 04-Aug-2014 165849 27-Oct-2014 234555 29-Jul-2011
7546 12-Aug-2010 115004 22-Aug-2013 167323 18-Jan-2011 236207 30-Jan-2013
7859 14-Oct-2010 115444 04-Jul-2014 183323 22-Apr-2010 240329 08-Feb-2014
10320 31-Dec-2010 118444 19-Aug-2011 187246 16-Apr-2010 240548 19-Nov-2010
11309 10-Dec-2010 118444 25-Nov-2011 188420 28-Jul-2010 260222 19-Jan-2012
11704 17-Sep-2010 118444 04-Jun-2014 192026 24-Dec-2010 276508 23-Mar-2010
13201 06-Sep-2010 120004 10-Jan-2012 202948 12-Aug-2010 294306 16-Apr-2010
20005 06-Sep-2010 121012 26-Oct-2010 202948 12-Aug-2010 294704 24-Mar-2010
22641 13-Aug-2010 125444 07-Jan-2015 202948 12-Aug-2010 302801 26-Apr-2012
22641 13-Aug-2010 125444 13-Aug-2015 205311 21-Jan-2015 334340 29-Oct-2010
57003 09-Aug-2010 126109 16-Aug-2010 206824 05-Aug-2010 337427 29-Nov-2010
60925 14-Apr-2010 126444 19-Nov-2012 207242 16-Dec-2010 367349 16-Jul-2015
66005 05-Oct-2010 126820 02-Apr-2010 207242 16-Dec-2010 383201 05-Mar-2012
69002 24-Feb-2010 128026 20-Aug-2010 207828 12-Oct-2015 390309 31-May-2012
70007 17-Aug-2010 128444 13-Dec-2013 209311 01-Mar-2013 390309 13-Jun-2014
70007 17-Aug-2010 128444 23-Apr-2014 210230 18-Sep-2013 409632 27-Jan-2012
70007 17-Aug-2010 133444 29-Jun-2015 214405 30-Mar-2010 422555, 28-Apr-2015
70007 27-Aug-2010 133444 29-Jun-2015 214420 22-Aug-2014 428611 24-Nov-2010
91939 25-Nov-2010 138444 05-May-2015 214869 15-Sep-2015 436217 15-Apr-2010
106444 16-Sep-2011 142444 19-Nov-2012 221217 09-Mar-2011 506246 23-Feb-2010
106444 25-Oct-2011 144939 04-Nov-2010 223238 01-Sep-2010 506246 16-Mar-2010
106444 16-Sep-2013 154205 18-Dec-2010 223238 01-Sep-2010 530136 26-Nov-2012
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Detailed Preliminary Results — Mediation —yjizsy
m7 Branches match mediation branches
m All have known corrections
m All instances occurred outside of data request periods
™ 6 occurred after the period
™ No branches correlated directly to Mediation dates
™ FAD 005207, ARQ request 1° to 27" March 2010, remittance transaction 15" April 2010 -
Different period
® FAD 060925, 10 ARQ requests — 21° to 27" April 2010, remittance transaction 14" April
2010 - Different period - PSB
=m FAD 187246, ARQ request 19" January 2010, remittance transaction 16" April 2010 -
Different period
™ FAD 020005, 30 ARQ requests for 2006, 2008 2009, remittance transaction 6" Sept
2010 - Different period
® FAD 214405, 6 ARQ requests for 2008 and 2009, remittance transaction 30" March
2010 - Different period
=® FAD 057003, ARQ request 2008, remittance transaction 9° August 2010 - Different
period
® FAD 011704, ARQ requests 2009, remittance transaction 6" Sept 2010 - Different
period
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Detailed Preliminary Results — Branch detail FUfiTSU
= Branch item occurred 1 week before mediation period
™ FAD 060925, Remittance transaction 14th April 2010
m ARQ request — 21st to 27th April 2010
= Use of the Prev key during the remittance process has
caused a duplicate rem. The pouch contents were added to
the basket twice.
= The two identical transactions have different transaction id’s
and each comprises of:
™ Prod ID = 6287 (Rem In Cash from AD); Qty = 1; Amount = £120
m™ The Post office Counter log shows this being made up of:
@ 10p coin £100
@ 2p coin £20
™ They branch received a Transaction Correction
600000744212542010 for £120 and processed it on 21st
April 2010
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Data Analysis - Appendix
List of all BLE files reviewed
31-Mar-10
30-Jun-10
30-Sep-10
31-Dec-10
31-Mar-11
30-Jun-11
30-Sep-11
31-Dec-11
31-Mar-12
30-Jun-12
30-Sep-12
31-Dec-12
31-Mar-13
30-Jun-13
30-Sep-13
31-Dec-13
31-Mar-14
30-Jun-14
30-Sep-14
31-Dec-14
31-Mar-15
30-Jun-15
30-Sep-15
30-Nov-15
90
91
92
92
90
1
92
92
91
91
92
92
90
91
92
92
90
91
92
92
90
91
92
61
POO676B
POO477W
POO677B
POO478W
POO678B
POO479W
POO679B
POO480W
POO680B
POO481W
POO489W
POO482W
POO685B
POO483W
POO490W
POO484W
POO485W
POO486W
POO686B
POO487W
POO687B
POO488W
POO681B
POO491W
5755
5819
5909
5885
5763
5825
5890
5886
5892
5824
5889
5889
5761
5824
5888
5888
5764
5827
5890
5892
5761
5824
6285
3905
4.75
471
4.57
4.42
4.28
4.24
5.00
4.50
4.62
4.67
5.00
4.88
4.69
4.73
4.86
5.25
5.06
4.98
5.17
5.26
4.96
4.93
6.00
3.48
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
BLE1
BLE2
BLE3
BLE4
BLES
BLE6
BLE7
BLE8
BLE9
BLE10
BLE11
BLE12
BLE13
BLE14
BLE15
BLE16
BLE17
BLE18
BLE19
BLE20
BLE21
BLE22
BLE23
BLE24
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Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
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FUJITSU
shaping tomorrow with you
FUJ00083379
FUJ00083379
FUJITSU
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