FUJ00097223 - Acceptance Report for HNG-X Acceptance Gateway 4

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FUJ00097223

FUJ00097223
oO ACCEPTANCE REPORT FOR HNG-X ACCEPTANCE GATEWAY 4
FUJITSU COMMERCIAL IN CONFIDENCE
Document Title: ACCEPTANCE REPORT FOR HNG-X ACCEPTANCE GATEWAY 4
Document Reference: REQ/GEN/ACS/0003
Release: Release specific
Abstract: This document comprises the Acceptance Report for HNG-X

Acceptance Gateway 4. It provides details of the Acceptance status
of all POL requirements associated with this Acceptance Gateway
together with the rectification details of the Acceptance Incidents
arising from previous Acceptance Gateways. It is for submission to
the HNG-X AG4 Acceptance Board.

Document Status: APPROVED
Author & Dept: Dave Cooke

HNG-X Acceptance Manager

External Distribution: Noel Beaton, Phil Norton, Mark Burley

Liz Tuddenham, lan Trundell, Will Russell

Security Risk No
Assessment Confirmed

Approval Authorities:

Name Role Signature

Phil Norton POL Requirements and
Acceptance Manager

Date

See Dimensions for record

Dave Cooke FS HNG-X Acceptance Manager

See Dimensions for record

See HNG-X Reviewers/Approvers Matrix (PGM/DCM/ION/0001) for guidance on who should approve.

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0 Document Control

0.1 Table of Contents

DOCUMENT CONTROL

Table of Contents
Document History
Review Details .
Associated Documents (Internal & External).
Abbreviations

Glossary
Changes Exp .
Accuracy ....
Security Risk Assessment ..

INTRODUCTION...

ie Io

fe = ISIEISISIFIEISISI
a [e0 Foo Na Jos Leon} feo Lo

12 HNG-X Rectification Plans

1.3 Acceptance Board assessment checklist for AG4

2 REVIEW OF STATUS OF ACCEPTANCE CRITERIA .......ccsssseseeseeseee 12

2.1 Criteria for assessment at Acceptance Gateway 4....

2.2 Overall status of all POL Requirements / Use Cases at AG4.. 13
2.2.1 Functional Requirements — Use Cases 13

2.2.2 Non-Functional Requirement: 14
2.3 Delayed (Deferred) Test status .. 15
2.3.1 Delayed Test Status — remaining from . 15
2.3.2 Delayed Test Status — introduced at AG4 .
2.4 ~~ Failed Status...
2.4.1 Use Case Fails from AG3
2.4.2 Non-Testable Fails from AG3 ...
2.4.3 Testable Non-Functional Fails from AG:
2.4.4 Testable Non-Functional Fails introduced at AG4
3 REVIEW OF STATUS OF ACCEPTANCE INCIDENTS
3.1. Acceptance Incidents summary at AG3.
3.1.4 Individual Acceptance Incidents summary at AG:
3.2 Acceptance Incidents — additions / closures at AG4.
3.2.1 Als raised during Live Pilot Stage
3.2.2 Alclosures......

3.2.3 Al change of severity

3.3 Acceptance Incident total - Individual.
3.4 Acceptance Incident Aggregation...
3.4.1 Aggregated Als from Agreed Deferrals...
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3.4.2 Aggregated Als from non-testable criteria ..
3.4.3 Aggregated Als from testable criteria .
3.5 Acceptance Incident — overall total...

4 HNG-X RECTIFICATION PLANS & TARGET TIMESCALES
4.4 Rectification Plans for Medium Severity Als...

4.1.1 Al-TS-1001 — Patch and Vulnerability Management.
4.1.2 Al-TS-019 - Arising from Portcullis Pen Test report.
4.2 Rectification Target timescales for Low Severity Als

4.21 Target Rectification timescales for Al-AD incidents ..
4.2.2 Target Rectification timescales for Al-NT incidents ..
4.2.3 Target Rectification timescales for Al-TS incidents .

APPLICABLE POL REQUIREMENTS AND ACCEPTANCE CRITERIA............ 42

A

A.2 AG4 requirements ..

A.2 All POL requirements to AG4..
B

DEFINITION OF ACCEPTANCE METHODS

C DEFINITION OF ACCEPTANCE INCIDENT SEVERITY............::c0000

D ACCEPTANCE BOARD RECOMMENDATION OPTIONS ...........000+

0.2 Document History

Version No. Date immary of Changes n for Issue Associated Change -

CP/PEAK/PPRR
Reference

04 19-Feb-2010 Initial version

02 01-Mar-2010 I Updates following joint review. Updates to the following
sections: -

+ General updates to include previous Requirements
and Al status

03 45-Mar-2010 I Updates following joint review. Updates to the following
sections: -

+ General updates to include previous Requirements
and Al status

04 22-Mar-2010 —_I Updates following joint review. Updates to the following
sections: -

General updates to include previous Requirements and Al

status
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Version No.

Summary of Changes and Reason for Issue

Associated Change -
CP/PEAK/PPRR
Reference

30-Mar-2010 I Updates following joint review. Updates to the following
sections: -
+ General updates to include previous Requirements
and Al status
* Section 1.3 completed
06 07-May-2010 I Updates following joint review. Updates to the following
sections: -
* — General updates to include revisions to defects and
Al status
07 08-June-2010 I Updates following joint review. Updates to the following
sections: -
+ General updates to include revisions to defects and
Al status
* — Various POS-NFRs now moved to section 2.4.4.1
following closure of defect 11403
+ AL-TS-019 changed severity from Low to Medium —
see SEC-3154 (section 2.4.3) and section 4.1.2
* New Low Alls added to SEC-3204 (section 2.4.3)
* New Low Al added to SEC-3354 (section 2.4.3)
* New Low Alls added to SEC-3212 (section 2.4.3)
+ ALAD-104 (Medium —Postal services message)
Closed
+ AL-TS-1001 (High - Patch Management) reduced to
Medium severity
* — ALNT-1001 (Security Risk Management) Closed
* Appendix E and F updated to record additional Al
closures
08 21-June-2010 I Revisions following POL review as follows :~
+ Review and distribution personnel amended
+ Appendix E and totals revised to include further
closed defects / Als
1.0 23-June-2010 I Issued to AG4 Acceptance Board
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VersionNo. Date Summary of Changes and Reason for Issue Associated Change -
CP/PEAK/PPRR
Reference

07-July-2010 I Revised to reflect changes presented to AG4 Board arising
from new Als and completion of Delayed tests: -

+ AL-TS-058 (Low) and Al-TS-059 (medium)
introduced

*  MIG-3071 moved from Delayed to Failed

*  SVC-848 moved from Delayed to failed (no POL
impact)

* — SVC-839, 850, 856, 858, 817, 818, 816, 846
removed from Delayed Test as they have now
passed

* Figures in sections 3 and 4 revised

Decision of AG4 Board to proceed through AG4 Gateway
recorded in section 1.4

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0.3 Review Details

See HNG-X Reviewers/Approvers Matrix (PGM/DCM/ION/0001) for guidance on completing the lists below. You
may include additional reviewers if necessary, but you should generally not exclude any of the mandatory reviewers
shown in the matrix for the document type you are authoring.

Review Comments by

Review Comments to

Mandatory Review

Role

david.cooke@t GRO 8 RMGADocumentManagement@

GRO

Name

HNG-X Programme Manager

Alan D'Alvarez

HNG-X Solution Architect

Pete Jobson

POL HNG-X Programme Manager Will Russell
POL HNG-X Requirements Manager Phil Norton

POL HNG-X Acceptance Manager Noel Beaton

POL HNG-X Design Authority lan Trundell
HNG-X Testing Manager Debbie Richardson
POL HNG-X Testing Manager Lee Farman

POL Head of information Security Sue Lowther

Optional Review

Role Name

Head of Programmes — Private Sector Business Unit Mike Wood
HNG-X Release 1 Manager Geoff Butts
RMGA Commercial Director Guy Wilkerson

POL HNG-x Senior Contracts and Service Manager

Liz Tuddenham

sued for Information — Please restrict this
distribution list to a minimum

Position/Role

Name

POL Head of Projects

Mark Burley

(* ) = Reviewers that returned comments.

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0.4 Associated Documents (Internal & External)
Reference Version Date Title Source
PGM/DCM/TEM/0001 I 5.0 03 June 2009 RMGA HNG-X Generic Document Dimensions
(DO NOT REMOVE) Template
Schedule B6.3 —- HNG-X Acceptance Dimensions
Process
REQ/GEN/ACS/0001 1.0 01-Mar-2010 Acceptance Report for HNG-X Dimensions
Acceptance Gateway 1 & 2
REQ/GEN/ACS/0003 I 2.0 Acceptance Report for HNG-X Dimensions
Acceptance Gateway 3

Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.

0.5 Abbreviations

Abbreviation Definition

0.6 Glossary

Term Definition

0.7 Changes Expected

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0.8 Accuracy
Fujitsu Services endeavours to ensure that the information contained in this document is correct but, whilst every

effort is made to ensure the accuracy of such information, it accepts no liability for any loss (however caused)
sustained as a result of any error or omission in the same.

0.9 Security Risk Assessment

Security risks have been assessed and it is considered that there are no security risks relating specifically to this
document.

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1. Introduction

This document comprises the HNG-X Acceptance Report to the HNG-X Acceptance Board for the
assessment of the progression through Acceptance Gateway 4 (AG4) — Readiness for Branch Migration
and as consequence to have achieved HNG-x Initial Acceptance.

The basis for HNG-X Acceptance is defined in Schedule B6.3 and some sections are reproduced within
this report.

The HNG-X Requirements and HNG-X Acceptance Criteria are contained in the HNG-X Requirements
Catalogue and represent POL DOORS archive v2.00

Those HNG-X Acceptance Criteria allocated (in the HNG-X Acceptance Plan) to the Live Pilot Stage
(ending at AG4) are contained in Appendix A.1.

Those HNG-X Acceptance Criteria allocated (in the HNG-X Acceptance Plan) to the preceding Test and
Validation Stage (ending at AG3), including those allocated to achieving progression through Acceptance
Gateways AG1 & AG2, are contained in Appendix A.2.

The definition of the HNG-X Acceptance Methods is contained in Appendix B.
The definition of the Acceptance Incident Severity is contained in Appendix C.

1.1. Scope
The purpose of this Acceptance Board is: -

‘To agree the Acceptance status of the relevant Release (HNG-X Release 1 for AG4) and provide a
recommendation to the ‘Joint Release Authorisation Board’.' The proposed options that this Board can
select from are described in Appendix D.

This recommendation is based on an assessment of the status of the applicable POL Requirements and
Acceptance Criteria and of the stage progression criteria for AG4 as described in Schedule B6.3.

The primary assessment concerns the status of all Acceptance Incidents, the workarounds required and
all applicable HNG-X Rectification Plans or target rectification timescales as follows:-

Progression through HNG-X Acceptance Gateway 4 shall occur once all of the following have
been satisfied for the HNG-X Acceptance Criteria allocated to achieving progression through the
respective HNG-X Acceptance Gateway:

(a) subject to paragraph 4.6 (of Schedule B6.3 which refers to dispute handling, defect
aggregation and deferred tests), all such HNG-X Acceptance Criteria have been achieved;

(b) there are no outstanding HNG-X High Severity Acceptance Incidents;

(c) the number of outstanding HNG-X Medium Severity Acceptance Incidents is five or fewer
and:-

i. an agreed workaround exists for each of them

ii. an agreed HNG-X Rectification Plan exists for each of them unless, exceptionally, the
parties agree that this is not required

(d) there is an agreed workaround for all outstanding HNG-X Low Severity Acceptance
Incidents except for those which the Parties agree do not require a workaround, and:-

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i. there exists a target timescale for rectification except where the parties agree that this
is not required

(e) details of all Non Incidents are recorded, although they shall have no impact upon
Acceptance Gateway progression

Progression through AG4 is also dependant upon the achievement of those HNG-X Acceptance Criteria
that were allocated (in the HNG-X Acceptance Plan) to the preceding Test and Validation Stage (ending
at AG3) and:-

(a) were found to be defective and were agreed to be Deferred Fix Status on the understanding that a fix
would be effected during the Live Pilot Stage or

(b) it was impossible for a test to be carried out when scheduled in the HNG-X Acceptance Plan and that
test was agreed to be a "Deferred Test" on the understanding that the test would be carried out during
the Live Pilot Stage.

These together with other supporting factors are summarised in the following checklists for AG4.

It should be noted that there are also defects that are not linked to POL Requirements and which are not
the subject of Acceptance Incidents. A separate assessment of the status and significance of these has
been undertaken and this will be available for consideration at the Release Authorisation Board.

1.2 HNG-X Rectification Plans

All Acceptance Incidents will have an agreed workaround except those for which the Parties agree such a
workaround is not required.

Each Low Severity Acceptance Incident will have a target timescale for rectification except those for
which the Parties agree such a target timescale is not required.

Each Medium Severity Acceptance Incident will have an HNG-X Rectification Plan except where the
Parties agree that a rectification plan is not required. Each rectification plan will include:-

(a) A statement of the operational impact and any necessary temporary procedures to be
adopted by the users

(b) A description of how the rectification is to be achieved; and

(c) A timetable for the rectification

The rectification plans for each of the Medium Severity Acceptance Incidents are contained in section
41

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1.3. Acceptance Board assessment checklist for AG4
References in this table refer to the HNG-X Acceptance Schedule B6.3.

Passage through AG3 is implicit. v

yay do so is given in

With the exception of those tests
agreed to be Delayed Tests, all
tests have been carried out when v
scheduled in the HNG-X
Acceptance Plan.

confirmation th

writing to Fujitsu Services by the Post Office Release Authorisation Board (RAB).

The total number of Requirements

with one or more Delayed Tests 4

(but no Acceptance Incidents)
equals:

Live Monitoring shall not commence ut

With the exception of those
Requirements with Delayed Tests.
and those that are the subject of
Acceptance Incidents (noted v
below), all AG 4 Acceptance
Criteria have been achieved

(4.5.2.1(a)).
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None allowed 0
(4.5.2.1 (b)).
Five or fewer allowed (4.5.2.1 3
(b)) and -
each has an agreed v
workaround and -
an agreed Rectification Plan. v
Contract does not specify a 429
limit on the number but -
each has an
agreed workaround (unless v
agreed otherwise) and -
a target timescale for v
rectification.
Need not be counted for
Acceptance but resolution will 15
be managed in QC & Peak.
There are no unresolved v
Acceptance Disputes.

1.4 Acceptance Decision

The AG4 Acceptance Board was held on 29/06/10 and approval to proceed through AG4 was granted.

The Board agreed that:

“Approval is given to proceed through AG4. This approval is given without prejudice to any claims for loss
or damages arising out of the delays to the date of planned completion of end May 2010 up to the date
hereof and in respect of any additional delay arising out of the default of Fujitsu”

This decision was discussed at the corresponding Release Authorisation Board and recorded in the

minutes of these meetings.

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2 Review of status of Acceptance Criteria

This section shows the status of the POL requirements for Acceptance Gateway 4 (all of which are Non-
Functional requirements) together with the overall position for all Acceptance Criteria to date — i.e. from
Acceptance Gateways 1,2,3 and 4. Details for the previous Acceptance Gateways can be found in the
relevant report.

2.1 Criteria for assessment at Acceptance Gateway 4

The non functional Acceptance Criteria associated with Acceptance Gateway 4 and their status is as
follows: -

Document Review 1 1
Design Walkthrough 1 1
Monitoring 1 5 6
Statement of Fact 12 12
Solution Test 1 18 19
Release Validation 1 2 3
Test

Grand Total 2 ie) 4 39 42

Note: It has been agreed that the 7 AG4 Security Monitoring criteria are re-assigned to AG6. This is due
to the limited assessment time available in Pilot. These criteria together with the existing AG6 Security
Monitoring criteria will be subject to joint review as part of the Information Security Management Forum.

In addition MIG-3100 (MO) concerning the completion of the provision of system performance statistics
has been agreed to be moved toAG6.

Key to Status

Delayed / Deferred Test - This identifies the number of criteria that are subject to ‘deferred test’ status.
See section 2.3.

Failed (Deferred Fix) — Each Failed Criteria that is subject to a deferred fix is shown in section 2.4.
Applicable defects are represented by an Acceptance Incident in section 3

Failed (No POL impact) - This status indicates that a criterion has one or more defects associated with it
that has not yet been resolved, but the defect does not have any POL Business Impact and does not
result in an Al. These defects are described in section 2.4.4.1.

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2.2 Overall status of all POL Requirements / Use Cases at
AG4

The summary position of the current status of all Acceptance Criteria and Use Cases from Acceptance
Gateways 1,2,3 and 4 is shown below:-

2.2.1. Functional Requirements — Use Cases

There are 143 Use Cases which constitute the POL functional requirements. Their status was reported in
the AG3 Acceptance Report and the current status is as follows:

Banking 8 10 18
Branch Accounting 1 17 18
Branch Admin 2 8 10
Branch Support & 17 17
Control

Bureau de Change 7 7
ETU 3 1 4
lop 8 11 19
Postal Services 1 8 9
Retail & Stock Sales 1 1
Shared 4 5 13 19
Cash & = Stock 3 18 21
Management

Grand Total 28 5 110 143

Key to Status

Failed (Deferred Fix) — This indicates that a Use Case has one or more defects associated with it, but
that the resolution of these defects have been agreed to be deferred to beyond start of Pilot.

Failed - This status indicates that a Use Case has a defect associated with it that has not yet been
resolved. See section 2.4.1. (Note that in this case this relates to test reference data issues and are
classed as Non-Incidents).

Applicable defects are represented as Acceptance Incidents in section 3.

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2.2.2. Non-Functional Requirements

The status of the non functional Acceptance Criteria associated with Acceptance Gateways 1, 2 and 3.
was reported in the associated Acceptance Reports (see section 0.4). The overall status including AG4
is as follows: -

Document Review 2 8 263 273

(22 with concession)

Design Walkthrough 146 146

(13 with concession)

Monitoring 1 7 8

Statement of Fact 56 56

(2 with concession)

Statement of 94 94

Obligation
(4 with concession)

Solution Test 13 13 159 185

(22 with concession)

Release Validation 4 3 2 60 66
Test

(6 with concession)
Grand Total 4 24 15 785 828

(69 with concession)

Key to Status
Delayed / Deferred Test — This identifies the number of criteria that are subject to ‘deferred test’ status.
See section 2.1.

Failed (Deferred Fix) — Each Failed Criteria that is subject to a deferred fix is shown in section 2.3.
Applicable defects are represented by an Acceptance Incident in section 3

Failed (No POL impact) - This status indicates that a criterion has one or more defects associated with it
that has not yet been resolved, but the defect does not have any POL Business Impact and does not
result in an Al. These defects are described in section 2.4.4.1.

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2.3 Delayed (Deferred) Test status

The Schedule B6.3 acknowledges that there may be circumstances when previously scheduled testing
that was targeted for completion by this Acceptance Gateway cannot now take place. Providing that this
is not due to a contractual default by Fujitsu, and the parties agree, then the tests associated with a POL
requirement may be delayed — this is known in the contract as a ‘Deferred Test’. Fujitsu are still obliged
to carry out these ‘Deferred Tests’.

For this Acceptance Gateway, Either Fujitsu or Joint Test Team has requested that tests associated with
the following requirements are given this ‘Deferred Test’ status. Quality Centre does not record this
status and so the current QC status is shown for each criterion.

2.3.1 Delayed Test Status — remaining from AG3

2.3.1.1

The following HNG-X Acceptance Criteria were identified as having delayed test status at AG3 but it was
not expected that the test would be carried out during the Live Pilot Stage: They retain this status at
AG4.

Non-testable delayed test criteria —- remaining from AG3

Original
Object Id

Original Object text Verification

Method

Acceptance Criteria Status / Impact

SEC-3061 By provision of an
appropriate architecture
for HNG-X and
associated service
operation, Fujitsu
Services shall protect I requirements have
Post Office from liability I either been accepted
for information security I or, where not,
threats to a similar I waivers have been
extent that Post Office is I agreed by Post Office
protected by Baseline I Information Security.
Horizon unless
otherwise agreed with
Post Office Information
Security.

Review of I DR
documentation and
agreed waivers prior
to going live shows
that all other security

The assessment of _ this
criterion cannot conclude until
all other Security criteria have
been assessed.

(QC status = No Run)

SEC-3060 Review of I DR
documentation and
agreed waivers on
completion of ST
tests shows that all

other security

The assessment of this
criterion cannot conclude until
all other Security criteria have
been assessed.

By provision of an
appropriate architecture
for HNG-X and
associated service
operation, Fujitsu
Services shall protect (QC status = No Run)
have

Post Office from liability
for information security
threats to a similar
extent that Post Office is
protected by Baseline
Horizon unless
otherwise agreed with
Post Office Information
Security.

requirements
either been accepted
or, where not,
waivers have been
agreed by Post Office
Information Security.

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2.3.2

Delayed Test Status — introduced at AG4

The Joint Test Team has advised that testing of the following criteria will not complete before the AG3
Acceptance Board. Accordingly they are to be given ‘Deferred Test' status.

Original Original Object text Acceptance Criteria I Verification I Status / Impact
Object Id Method
SER-2201 Fujitsu Services shall Business Continuity RV It has not been possible to
report Major Business Tests are defined verify this live operational
Continuity incidents to and contained within process within a test
the Post Office promptly I a detailed test plan, environment. The next
in accordance with the the successful opportunity for assessment will
timescales and through completion of which be the scheduled disaster
contact point described shall determine the recovery failover tests whose
in POA Customer acceptance of this schedule is described in
Service Incident requirement. To SVM/SDM/PLA/0035
Management Process clarify 'successful
Details (CS/PRD/074). completion’, success [Current QC status is No Run]
criteria will be
identified in advance
of test execution.
HLP-76 Fujitsu shall provide the I PO Ltd to witness I MO Awaiting feedback on status of
capability to enable POL I during Pilot that new recent Help data distributions.
Ltd to successfully andj or revised help
efficiently upload revised I material can be Further assessment may take
Help material into the I uploaded sucessfully place after AG4.
Help Facility on an
emergency basis

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2.4 Failed Status

This status identifies those Use Cases or non-functional criteria where one or more applicable defects
have been identified. Details of each of these requirements are shown below. Applicable defects
associated with these failed Requirements are shown as Acceptance Incidents and contained in
section 3.

2.4.1 Use Case Fails from AG3

Section 2.1 identifies that some Use Cases had the status of failed at AG3, and his status remains at
AG4. Successful testing has already taken place on these Use Cases however there is one remaining
defect that is causing some remaining tests to be shown as ‘failed’.

The defect is: -

« Defect 10738 relates to test reference data for Network Banking and concerns the completion of
tests of reference data combinations that do not exist in live. The affected Use Cases are: -

o GLB-2221 - Settlement by Debit Credit Card

o GLB-438 — Receive Reconciled Transaction Data

o GLB-494 - Receive Payment File

o GLB-578 — Obtain MID / TID Details

o GLB-2299 — Obtain Card Transaction or Reversal Authorisation

For Acceptance purposes this defect is classed as ‘Non-Incident' and does not contribute to
progression through AG4.

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2.4.2 Non-Testable Fails from AG3

Section 2.2.2 identifies that a number of non-testable POL requirements had the status of failed at AG3
and this status remains at AG4 — details are shown below.

Original I Original Object text Acceptance Criteria I Verification I Status
Object Method
Id
ARC- Fujitsu Services shall The Solution Baseline I DR Some documentation not yet
422 make available to POL I documentation shall baselined.
an accurate and be provided to POL in
technically complete accordance with the This is an Acceptance Incident -
set of documentation timetable stated in AI-NT-015 (Low) / defect 12505.
describing the Solution I B6.2 and shall
Baseline comprise the Latest status of SBDS is here:-
Documentation Set, documents or other
excluding legacy artefacts that are fa
components where agreed between Post en
existing Horizon Office and Fujitsu D:\PROFILES\cooked
documentation may be I Services according to My Documents\My Dc
retained Schedule B6.2.
Note that a revised set of
contractual and design limit
volumes have been agreed and
are found here.
D:\PROFILES\coo!
My Documents\My Dc
These will be incorporated into :-
« ARC/PER/ARC/0001 —
Systems Qualities
Architecture (SBDS)
e¢ PA/PER/033 (or HNG-X
equivalent) — Capacity
Management and
Business Volumes
(CCD)
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Original I Original Object text Acceptance Criteria I Verification I Status

Object Method

Id

MIG- Physical security of Evidence of joint DR This is awaiting assessment of

3017 any infrastructure agreement to the the migration decommissioning
components, including I migration processes plan and is being progressed via
Branch base units, affecting the security the regular joint security forum.
which contain any of physical .
business or security infrastructure and the Fee teen ee ein.
sensitive information, risks to business or ™~ (Low) .
shall not be security sensitive
compromised by information.

processes developed
and implemented for
the migration from
Baseline Horizon to

HNG-X

SEC- {CISP 8.5.19} Data Evidence of the DR This defect requests clarification

3167 over Wide Area Requirement in the on which network security
Networks shall be Design. protocols apply to each of the
encrypted unless relevant WAN connections. The
specifically agreed in existing details in the Technical
the relevant Technical Network Architecture will be
Interface Specification updated to provide these details.

or where otherwise
specifically agreed by
Post Office Limited
Information Security.
The Fibre Optic link
between Data Centres
is not considered to be
a Wide Area Network.
The requirement
applies to transaction
data between
branches and the data

This is an Acceptance Incident -
AI-NT-004 (Low) / defect 7307.

centre(s).
SEC- Logon to Counter Review of Report DR The Comsec report identified a
3201 Terminals must prepared by an number of defects that are being
provide equivalent independent security progressed and reviewed via the
security to that expert (appointed by joint security forum.
provided by logon via FS) confirms that the
native operating design of this critical The PEAKs are :-
systems. Security mechanism is PC0188679 (which incorporates
. PC0188681),
PC0188685,
PC0188107.
This is an Acceptance Incident —
AI-NT-003 (Low) / defect 12315.
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Original I Original Object text Acceptance Criteria I Verification I Status
Object Method
Id
SEC- The security measures I Evidence to support DR This is awaiting assessment of
3083 appropriate for HNG- the determination of the migration decommissioning
X, including those what security plan and is being progressed via
appropriate during the I measures are the regular joint security forum.
migration from considered as being This is subject to Acceptance
Baseline Horizon, appropriate for HNG- Incident AI-NT-011 (Low) / defect
shall be determined by I X 12384
Fujitsu Services by
means of a HNG-X
System Risk
Assessment which
covers the HNG-X
Service Domain. It is
recognised this may
increase costs if the
scope of the contract
is extended.
SEC- Fujitsu Services shall Periodic evidence that I DR This defect comprises one of a
3314 establish, operate and I FS are (via an agreed set relating to the completion and
maintain an forum) reviewing with establishment of the Security
Information Security POL the progress and Risk Management process and
Management System I status of the the validation of the associated
compliant with milestones that relate controls. This is due for
1$027001 that covers I to the implementation resolution by end July 2010 and
all aspects of HNG-X of the IS027001 is being progressed via the
under their control. programme in FS. regular joint security forum.
This is subject to Acceptance
Incident Al-NT-013 (Low) / defect
12387.
MIG- Fujitsu shall agree Evidence of joint DR This is awaiting assessment of
3015 with Post Office Ltd agreement to the the migration decommissioning
any security provisions I migration processes plan and is being progressed via
employed during the affecting data storage the regular joint security forum.
migration process for I and data transmission
This is subject to Acceptance
interim data storage I paths. Incident AI-NT-010 (Low) / defect
areas and/or data 12382
transmission paths
across the Horizon
Network. Details of
how this Security
requirement will be
met, shall be jointly
agreed and shall be
included in the
Migration Plan.
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Original I Original Object text Acceptance Criteria I Verification I Status

Object Method

Id

SEC- Cases requiring Approval of the DR This defect identifies that the

3172 encrypted data to pass I authorisations authorisation process will
through any HNG-X process become part of the overall BAU

firewall layer shall only
be authorised by Post
Office where a risk
assessment has
identified that the
requirement for
confidentiality

joint security forum / ISMF, once
the Risk management processes
are established.

This is subject to Acceptance
Incident Al-NT-016 (Low) / defect

outweighs the 12873
requirement for
system availability and
integrity
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2.4.3

Testable Non-Functional Fails from AG3

This section comprises those POL non-functional requirements that had the status of failed at AG3 and
where this status remains at AG4. The equivalent set that has been introduced at AG4 is shown in
section 2.4.4.

The AG3 fails that remain as fails at AG4 are as follows:

e 10 are subject to Acceptance Incidents and are shown in the table below. (The total of non-
functional fails for AG3 and AG4 is 16).

e 6 have failed but where the associated defect has been assessed by POL as not having any
business impact. These are contained section 2.4.4.1. (The total of non-functional fails for AG3
and AG4 with no POL business impact is 15.)

Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
HLP-110 I The Search Facility within I Evidence that the I ST Subject to Acceptance
Help shall allow the use of I search facility allows Incident Al-AD-102
key words, sentences, I users to type in search (Low) / defect 11747.
wildcard and match all I criteria and returns the
characters correct details
MIG- For any services thatI Tests to demonstrate I RV Subject to Acceptance
2994 support serving customers I disaster recovery are Incidents Al-AD-005
in Post Office branches: I defined and contained (Low)
full resilience, failover I within a detailed test
capability and a means of I plan, the successful 41 tests have passed,
providing Disaster I completion of which 15 are no Run and 2
Recovery (for example by I shall determine the have failed.
reversion to an alternative I acceptance of _ this
Data Centre) shall be I requirement. To clarify This criterion is also
supported Monday to I ‘successful completion’, linked to many other
Friday 08.00 to 18.00 and I success criteria will be defects all of which have
Saturday 08.00 to 14.00. I identified in advance of been assessed by POL
Outside these times, I test execution as having no Business
resilience and immediate Impact.
DR may be removed
(during migration)
providing it can be
restored as documented in
Migration Strategy
SEC- All passwords transmitted I Evidence of no reported I ST Subject to Al-TS-018
3141 across any internal or I incidence of passwords (Low) / defect 12827,
external network shall be I being compromised in Al-TS-012 (Low) / defect
encoded such that it is I this way during the 12820.
infeasible for an I testing phase.
interceptor to deduce the This criterion is also
password. linked to defects 1746,
1749 — both have been
assessed by POL as
having no Business
Impact.
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Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
SEC- {CISP 8.5.1b} I Demonstration of I RV This is subject to
3154 Unauthorised logical I protection (either by Acceptance Incident: -
access from non-HNG-X I simulation of attempts of
systems and networks I unauthorised access or Al-TS-019 (Medium) /
shall be prevented. This I by other means). The defect 12828
shall include but shall not I exact timing and
be limited to, unauthorised I environment for the
access from any of the I tests shall be agreed in
following: I Any public I the test plan but shall in
networks used. Networks I any case be prior to live.
connecting to Third
Parties. Networks
connecting HNG-X to PO
Ltd and/or Royal Mail
Group. Other systems
operated by the domain
supplier on behalf of itself
or other clients.
SEC- {CISP 8.5.1c} Controls I Demonstration of I RV This is subject to
3158 shall protect against I protection (either by Acceptance Incidents: -
denial-of-service attacks I simulation of attack or
originating from non-HNG- I by other means) Al-TS-018 (Low) / defect
X systems including those 12827
listed in Requirement Al-TS-023 (Low) / defect
SEC-3152 12835
SEC- {CISP 8.5.1e} Network I Demonstration of alert I ST Subject to Acceptance
3164 management staff within I signal (either by Incident Al-AD-136
each domain shall be I simulation of attack or (Low) / defect 11932
alerted to any attempt to I by other means)
reach the HNG-X systems
in their domain from
unauthorised network
addresses.
SEC- Logon to Counter I Tests show logon is as I ST Subject to Acceptance
3202 Terminals must provide I per design reviewed in Incident AIl-NT-003
equivalent security to that I SEC-3201 but with any (Low) / defect 12315
provided by logon via I recommendations
native operating systems. I resulting from the review The PEAKs are
applied. PC0188679
(which incorporates
PC0188681),
PC0188685,
PC0188686,
PC0188107.
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Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
SEC- The Horizon Access I As per the Requirement I ST Subject to Acceptance
3204 Control Policy Incidents: -
RS/POL/003 shall apply
but shall be updated to Al-TS-045 (Low) / defect
reflect the change in policy 13781
due to HNG-X or other
agreed security Al-TS-046 (Low) / defect
requirements. Such 13077
update shall include at
least the following Al-TS-047 (Low) / defect
password requirements: 13431
Minimum password length
of 7Minimum password Al-TS-048 (Low) / defect
history length of 4. 13432
Al-TS-049 (Low) / defect
13019
This criterion is linked to
other defects, all of
which have been
assessed by POL as
having no Business
Impact.
SEC- The logical security I Tests to demonstrate I ST This is subject to
3257 perimeter of the HNG-X I the security perimeter Acceptance Incidents: -
system shall be defined I are defined and
and agreed with Post I contained within a Al-TS-012 (Low) / defect
Office Information I detailed test plan, the 12820
Security. successful completion of Al-TS-014 (Low) / defect
which shall determine 12822
the acceptance of this Al-TS-015 (Low) / defect
requirement. To clarify 12823
‘successful completion’,
success criteria will be
identified in advance of
test execution.
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Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
SEC- All cryptographic key I Tests to demonstrate I ST Subject to Acceptance
3354 lengths shall be at least I compliance are defined Incident Al-TS-050
128 bits for symmetric I and contained within a (Low) / defect 13078.
keys and at least 1024 bits I detailed test plan, the
for asymmetric keys where I successful completion of This criterion is linked to
the associated I which shall determine other defects including
cryptographic control I the acceptance of this 12306, all of which have
protects the integrity or I requirement. To clarify been assessed by POL
confidentiality of HNG-X I 'successful completion’, as having no Business
Business Data, Reference I success criteria will be Impact.
Data or Application I identified in advance of
Software unless otherwise I test execution.
agreed with Post Office
Information Security.
Note: Post Office is highly
unlikely to agree to any
shorter keys lengths (even
for COTS products). For
the avoidance of doubt,
access to the TES Query
service is not covered by
this requirement but by
requirement SEC-3310.
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2.4.4 Testable Non-Functional Fails introduced at AG4

Section 2.1 identifies any AG4 criteria that have failed. In addition some of the ‘Delayed Test’ AG3
criteria are now classed as ‘Failed’. These break down as follows:-

e 6AG3 delayed test criteria are now classed as ‘Failed / Deferred Fix’ and are subject to
Acceptance Incidents and are shown in the table below. (The total of non-functional fails for AG3
and AG4 is 16).

e 9 are classed as Failed but the associated defect has been assessed by POL as not having any
business impact. These are not subject to any Acceptance incidents and are contained section
2.4.4.1. (The total of non-functional fails for AG3 and AG4 with no POL business impact is 15.)

Original I Original Object text Acceptance Criteria Verification I Status

Object Method

Id

SEC- All new developments will I Demonstration of I ST This is subject to

3135 protect databases from I protection (either by Acceptance Incident:-
SQL injection attacks I simulation of attack or
mounted through data I by other means) e AI-TS-034 (Low) /
centre perimeter controls defect 13108

such as firewalls.
(QC Status = Failed)

SEC- A risk assessment will be I Demonstration of I ST This is subject to
3348 undertaken for retained I protection (either by Acceptance incident:-
functionality in the area of I simulation of attack or
SQL injection attacks I by other means) e AI-TS-035 (Low) /
under HNG-X. defect 13112

(QC Status = Failed)

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Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
SEC- It shall not be possible to I As per the Requirement I ST This is subject to
3212 install any application or Acceptance Incidents:-
operating system
extension except under e AlLTS-040 / defect
the control of properly 13141
authorised and e Al-TS-041 / defect
authenticated systems 13147
administrators carrying out
authorised and audited which are aggregated into
changes. a single Al, Al-TS-1001
(Medium)
Also,
* Ab-TS-042 (Low) /
defect 13148
e AITS-051 (Low) /
defect 13142
e Al-TS-052 (Low) /
defect 13143
« AL-TS-053 (Low) /
defect 13144
* AL-TS-054 (Low) /
defect 13145
* ALTS-055 (Low) /
defect 13146
« ALTS-056 (Low) /
defect 13150
« AL-TS-057 (Low) /
defect 13151
(QC Status = Failed)
ARC-468 I Provision of the backup I Tests to demonstrate I ST 51 Branch Router tests
network shall not increase I network connectivity for have passed with 14
the end to end timescales I portable office failed due Acceptance
for branch _ installations I configurations are Incident Al-TS-031 (Low)
(i.e. it should not be on the I defined and contained / defect 12795.
critical path) unless I within a detailed test
agreed otherwise with PO I plan, the successful
Ltd. The in branch I completion of which (QC status = Failed)
installation time may be I shall determine the
higher. acceptance of this

requirement. To clarify
‘successful completion’,
success criteria will be
identified in advance of
test execution

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Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
SEC- Fujitsu Services — shall I Evidence that all I ST This is subject to
3113 provide a list of measures I measures achieve the Acceptance Incidents-
that will be taken to I requirement
mitigate the risk of e AI-TS-043 (Low) /
unauthorised devices defect 13539
being connected to any e° AITS-044 (Low) /
component of the HNG-X defect 13430
system, with the exception
of passive devices within (QC Status = Failed)
the Branch. A "passive
device" is one which takes
no active part in the
communications or
processing e.g. a LAN
sniffer.
MIG- Both Horizon counters and I As per the Requirement I ST This is subject
3071 HNG-x counters shall be Acceptance incident Al-
capable of receiving and TS-039 (Low) / 12964.
applying all forms of
reference data driven (QC status = Failed)
changes (including both
OBC and ADC) during the
migration period.
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2.4.4.1 Failed POL Requirements / not subject to Acceptance incidents

Details of those failed HNG-X Acceptance Criteria that are not subject to an Al are listed below and
contained in the embedded spreadsheet below. This is due to POL’s assessment that the associated
defects do not have any POL Business Impact.

From AG3

MIG-2983 (ST), SER-2140 (ST), SEC-3101 (ST), ARC-464 (ST),
ARC-476 (RV).

MIG-3045 (RV) — Remaining tests will not be run.

From AG4
SEC-3309 (ST), POS-NFR-213(ST), POS-NFR-253(ST), POS-NFR-259(ST), POS-NFR-285(ST),
POS-NFR-292(ST), POS-NFR-293(ST), POS-NFR-295(ST), SVC-848

D:\PROFILES\cooked

My Documents\My Dc

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3 Review of status of Acceptance Incidents

The Acceptance Incidents listed below have been raised because the acceptance evidence has failed to
demonstrate that the HNG-X Acceptance Criteria have been achieved. They have been classified into
four groups: -

e Those arising from testable HNG-X Acceptance Criteria with defects whose resolution
has been agreed to be deferred until after Initial Acceptance. These have an identifier of
AI-AD-nnn

e Those arising from non-testable HNG-X Acceptance Criteria with defects whose
resolution has been agreed to be deferred until after Initial Acceptance. These have an
identifier of AI-NT-nnn.

e Those arising from HNG-X Acceptance Criteria with defects where no formal deferral
discussions have taken place. All AG4 Acceptance incidents are in this group. These
have an identifier of Al-TS-nnn.

e Those raised by POL in accordance with the provisions described at paragraphs 6.1.2 of
contract schedule B6.3.

3.1 Acceptance Incidents summary at AG3

The status of the Acceptance Incidents at AG3 was as follows: -

Severity AI-AD - Agreed AI-NT - Non AI-TS - Test Total
Deferred Testable

Low 116 5 25 146

Medium 0 1 1 2

High (e) (e) (e) 0

The Medium severity Als at AG3 were:-

e Medium Al = AI-NT-1001 - This Al comprises those defects that relate to the completion and
establishment of the Security Risk Management process and the validation of the associated
controls. Defects are - 2309, 2312, 3503, 11295, 11299, 12384, 12489, 12386, 12382 — all now
closed.

e Medium — Al-TS-030 — Packet size over Orange WWAN — now Closed.

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3.1.1. Individual Acceptance Incidents summary at AG3

The number of Acceptance Incidents at AG3 included a number of aggregated Als - the total of individual
Als is shown below. These figures will be used as the starting position against which the number of new
Als and closed Als will be tracked.

Al-AD — Agreed AlI-NT - Non AI-TS - Test Total
Deferred Testable

148 15 26 189

3.2 Acceptance Incidents — additions / closures at AG4

This section identifies the changes to Al status that have occurred since AG3 comprising Al closures,
changes to Al severity and newly introduced Als.

3.2.1 Als raised during Live Pilot Stage

These Als have been raised during Live Pilot stage and remain at AG4. They are detailed in sections
4.2.1,4.2.2 & 4.2.3. Their severity ratings are: -

Acceptance Incident Severity I Al-AD AI-NT AL-TS
Low 5 4 24
Medium 2

(see Note)
High
Total 5 4 27

(see Note)
Note:

The Medium Als comprise:-

e Al-TS-1001 - concerns Patch Management and is made up of two individual Als — Al-TS-040 /
defect 13141 and Al-TS-041 / defect 13148

« Al-TS-058 — concerns Cash Declarations

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3.2.2 Al closures
The Als that have been closed since AG3 are summarised here and detailed in Appendix E and F.
Severity Al-AD — Agreed AI-NT - Non AI-TS - Test Total Closed
Deferred Testable
Low 42 7 16 65
Medium 1 te) 1 2
High (e) (e) (e)

The Medium Als that have been closed since AG3 are:-
e Al-AD-104 (defect 11403 / PC0186775) — Postal Services warning message
o Note that this changed severity from Low to Medium between AG3 and AG4.
e Al-TS-030 (defect 12774 / PC0191739) — Packet size over Orange WWAN

3.2.3. Al change of severity
The following Als have changed their severity since AG3:-

a) AI-TS-019 (Defect 12828 / Peak PC0191931) — This defect concerns firewall settings and has
been discussed and risk assessed in the joint security forum.

This was a Low severity and is now changed to Medium —see section 4.1.

Reason — firewall rule changes to prevent any-any connections on particular firewalls have not
yet been applied.

In addition:-

e AI-NT-1001 — Risk Management was raised to a High severity in the period between AG3 and
AG4 but has now been resolved and all associated defects / Als have either been closed or will
be progressed on an individual basis. These comprise three migration criteria (see section 2.4.2)
where acceptance evidence has been submitted to POL.

e AI-TS-1001 - Patch Management was raised to a High severity in the period between AG3 and
AG4 but has now been reduced to a Medium severity — see section 4.1. This is subject to
regular review via the joint security forum.

3.3. Acceptance Incident total - Individual

The overall status of all individual Acceptance Incidents is as follows: -

Severity AI-AD — Agreed AI-NT - Non AI-TS - Test Total
Deferred Testable

Low 110 9 34 153
Medium 2 2
High

110 9 36 155
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3.4 Acceptance Incident Aggregation

Schedule B6.3 (4.6.3) recognises that HNG-X Acceptance Incidents that are agreed to result from the
same failure or deficiency, or to affect the same operational process or business function and will be
addressed by one fix or a combination of fixes, may be aggregated into a single HNG-X Acceptance
Incident for the purposes of the thresholds identified in section 1.2. The following sections contain details
of all of the individual Acceptance Incidents and then identifies where aggregation has occurred.

3.4.1 Aggregated Als from Agreed Deferrals

At AG3 there were 44 individual Als that were aggregated into 12 Low Severity Als. At AG4 various Als
have been closed and the net figure is now 32 individual Als that are aggregated into 10 Low severity
Als.

3.4.2 Aggregated Als from non-testable criteria

At AG3 there were 10 individual Als that were aggregated into 1 Medium Severity Al (Risk Management).
At AG4 one Al has been split away to facilitate separate management and the remaining 9 individual Als
have now been closed, removing the aggregated Medium severity Al.

3.4.3 Aggregated Als from testable criteria

At AG4 there are two individual Als — Al-TS-040 / defect 13141 and Al-TS-041 / defect 13148 concerning
Patch Management that have been aggregated into a single Medium Al (Al-TS-1001).

3.5 Acceptance Incident — overall total

The overall status of all Acceptance Incidents is as follows: -

Severity AI-AD — Agreed AI-NT - Non AI-TS - Test Total
Deferred Testable

Low 110-32+10 9 34-2 =32 129

= 88
Medium 2+1=3 3
High

88 9 35 132
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4 HNG-X Rectification Plans & Target timescales

The rectification planned for the Medium severity Als are described below.
4.1 Rectification Plans for Medium Severity Als

4.1.1 Al-TS-1001 - Patch and Vulnerability Management

Al Summary

These defects arose from findings in the Portcullis report and identify that the patch status (including anti-
virus) of HNG-X platforms is not up to date.

These are defects 13141 / Peak PC0194037 and 13147 / PC0194043. The affected requirement is SEC-
3212.

Operational Impact

The Portcullis review identified that the patch state of HNG-X was not up to date and that there was no
process in place to rectify this situation. As a consequence there was a greater risk exposure due to out
of date patches and virus signatures. Urgent attention and commitment from senior FS management is
required to re-establish patch and virus management as a matter of priority.

Workaround

An initial remedial plan was established and has been implemented. This focussed on deploying IDS and
AV signature updates and on identifying critical patches on PCI and Tier 1 platforms. These have been
deployed.

Approach to rectification

A plan to review the current process and then to identify and manage the application of necessary
patches, virus engines and signatures has been agreed and shared with POL. Key deliverables include
an updated process document, the identification of necessary patches etc by platform and the
establishment of a Patch Management Board to oversee the on-going process. A firm commitment from
FS senior management has also been provided.

The plan deliverables and progress have been discussed with POL, together with details of recently
deployed patches and AV signatures. POL now attends the Patch Management Board.

Timetable for Rectification

The Patch Management process and AV process are progressing towards a business as usual operation.
The target deployment times have been shared with POL and will operate to a regular cycle,
supplemented by an emergency process as needed.

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4.1.2 Al-TS-019 - Arising from Portcullis Pen Test report

Al Summary

This defect relates to an issue raised in the Portcullis Pen test report referenced in paras 9.2, 9.3,9.4 &
9.8. This defect concerns firewall settings and has been assessed for severity and impact by the joint
security forum who will oversee the resolution of this issue.

This is defect 12828 / Peak PC0191931

Operational Impact

This defect arises from the Portcullis Penetration Report and concerns the need to update various firewall
configurations to remove the ‘any-to-any' rule settings on specific firewalls. In particular the settings on
the Branch to Data Centre firewalls have to be revised.

Other security controls are in place to mitigate the risk but it is recognised that these config changes are
required.

This issue is being managed and monitored via the joint security forum.
Workaround

No workaround is required since the rectification plan covers all the required actions.

Approach to rectification

Configuration changes have already been applied to various firewalls and actions are in place to
complete the task. There is no release dependency on this task, although scheduling the update will take
account of the current operational status of HNG-X

Timetable for Rectification

This is expected to be resolved by end of July 2010.

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4.1.3 Al-TS-058 - Obtain Daily Cash on Hand

Al Summary

This defect relates to a Business Equivalence exception concerning the timing of when the Overnight
Cash Holdings (ONCH) declaration is done by a branch.

This is defect 13922 / Peak PC0200577

Operational Impact

Under Horizon a Branch can carry out the ONCH cash declaration at any time of the day and with no
restrictions on any subsequent trading. The latest cash declaration in a Branch is sent to SAPADS each
night to support Cash replenishment.

This defect identifies that HNG-X will not send the ONCH to SAPADS if any transactions have been
performed on the stock unit after the cash declaration has been made. In practice this means branches
have to carry out this declaration as the last transaction on each stock unit. This is operationally
inconvenient as is contrary to the way in which Horizon operates. Branches who are unaware of this
restriction will now not received accurate cash replenishments.

Workaround

The workaround requires Branches to carry out the ONCH as the last transaction of the day on each
stock unit.

Approach to rectification
Code changes will be applied to the BRDB to remove the limitations described above.
Timetable for Rectification

This is scheduled for resolution in July 2010.

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4.2 Rectification Target timescales for Low Severity Als

Post Office and Fujitsu have assessed all of the Low Severity Als arising from AG3 and newly introduced
at AG4. Agreements have been reached on the target timescale for rectification and this is expressed
either in the form a time period or as target release. In some cases a target rectification time is not
required, either because the defect is now closed, is for progression by POL or it is agreed that no
rectification is required.

The target timescales are:-

1. Specific time period — mainly associated with non-functional defects (typically establishment of
processes or document provision)

Security Forum — rectification tasks and timescales are agreed via the joint security forum
Functional Release 2 — target timescale is August 2010
Release 2 Maintenance or Release 3 — target timescale is October / November 2010

aR ON

Future — this is used for any defects that are agreed as requiring rectification after the releases
named above. The rectification status and target timescale will be reviewed again at AG6.

Indicative timescales for these releases are shown above however these are subject to change and will
be formally agreed via the joint programme reviews (for the Functional releases) and via the Release
Management Form (for the maintenance releases).

The total number of individual Low Severity Als associated with these Target Releases / timescales is
summarised below and detailed in the embedded document below.

Target Release / Timescales Totals
Specific time period 18
Security Forum 2
Functional Release 2 27
Release 2 Maintenance / Release 3 96
(See Note)
Future 9
POL to Action 3
Rectification timescales not required 77 (Includes 10 Als raised and closed before AG3)
(Defects / Als closed)

Total I 232

Note:

This set of defects has been assessed by POL as having a low business impact and accordingly they
have been prioritised to these later releases. POL and FS will jointly review this set to establish a more
precise prioritisation and target rectification timescale, taking into account operational experience and the
priorities of other changes that are occurring in these releases.

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4.2.1 Target Rectification timescales for Al-AD incidents

The specific target rectification timescales for each of the Al-AD Acceptance Incidents is recorded in the
embedded WORD document here.

D:\PROFILES\cooked
My Documents\My Dc

4.2.2 Target Rectification timescales for AI-NT incidents

The specific target rectification timescales for each of the Al-NT Acceptance Incidents is recorded in the
embedded WORD document here.

D:\PROFILES\coo!
My Documents\My Dc

4.2.3. Target Rectification timescales for AI-TS incidents

The specific target rectification timescales for each of the Al-TS Acceptance Incidents is recorded in the
embedded WORD document here.

D:\PROFILES\cooked

My Documents\My Dc
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A Applicable POL Requirements and Acceptance
Criteria

A.2. AG4 requirements

The POL Requirements and Criteria, contained in the HNG-X Requirements Catalogue - POL DOORS
archive v2.00, and associated with AG4 are contained in the embedded spreadsheet.

This contains references to any Concessions.

D:\PROFILES\cooked
My Documents\My Dc

A.2. All POL requirements to AG4

The POL Requirements and Criteria, contained in the HNG-X Requirements Catalogue - POL DOORS.
archive v2.00, and associated with Acceptance gateways 1,2,3 and 4 are contained in the embedded
spreadsheet.

This contains references to any Concessions.

DAPROFILES\ cooked

My Documents\My Dc
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B_ Definition of Acceptance Methods

The set of HNG-X Acceptance methods are defined in Appendix D of Schedule B6.3 HNG-X Acceptance
Process and reproduced below.

Type Desc:

HNG-X HNG-X Acceptance Criteria that cannot be objectively verified by a test of HNG-X
Document may be satisfied by Post Office undertaking a HNG-X Document Review. The
Review outcome of any such review will be documented by Post Office in the HNG-X

Acceptance Tracking Document. Fujitsu Services will supply a list of documents.
(and any specific references within such documents) for Post Office review,
which may satisfy the agreed HNG-X Acceptance Criteria.

HNG-X HNG-X Acceptance Criteria may be satisfied by Post Office participating in an
Design HNG-X Design Walkthrough led by Fujitsu Services of the Fujitsu Services’
Walkthrough I design. The outcome of any such HNG-X Design Walkthrough will be
documented by Post Office in the HNG-X Acceptance Tracking Document.

HNG-X Tests that are owned and managed by Fujitsu Services with significant
Solution Test I Collaborative support from Post Office, for the purpose of verifying that the Fujitsu
Services’ solution for the HNG-X System satisfies the relevant HNG-X
Acceptance Criteria. The collaborative team will produce a joint test report
presenting the results of the tests.

HNG-X Tests that are run and managed by Post Office with significant collaborative
Release support from Fujitsu Services, for the purpose of verifying that the HNG-X
Validation Release satisfies the relevant HNG-X Acceptance Criteria. The combined team

will produce a joint test report presenting the results of the tests and provide
evidence on any areas of non conformance.

Post Office shall specify any need beyond the level of support that Fujitsu
Services are required to provide under normal operational practice (such as a
report etc). Duration, nature and characteristics to be agreed in advance between
Post Office and Fujitsu Services and will take place during Live Pilot or
exceptionally during Live Monitoring. The total duration of HNG-X Monitoring and
the obligations on Fujitsu Services to produce data/reports to support Post Office
monitoring to be agreed between Post Office and Fujitsu Services (each acting
reasonably and in good faith) for a particular HNG-X Requirement.

HNG-X Where the solution to an HNG-X Acceptance Criterion is self-evident and does

Statement of I "0t lend itself to formal proving.

Fact

HNG-X Relates to HNG-X Acceptance Criterion that represents an ongoing contractual

Statement of I obligation for HNG-X.

Obligation

Other Used by exception, to be agreed between the Parties.
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C Definition of Acceptance Incident Severity

The definition of the severity of an HNG-X Acceptance Incident is defined in Appendix A of Schedule
B6.3 HNG-X Acceptance Process and reproduced below.

High The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that would render a key element of
one or more of the Business Capabilities and Support Facilities or a key element of the
Infrastructure unfit for operational use, which could include:

a) not allowing Post Office to undertake one or more Transaction types;

b) not allowing Post Office to undertake one or more Transaction types using the
required business inputs or generating the required business outcome;

c) creating system performance issues which are in, or are likely to cause a, breach
of Service Level Targets.

Medium The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that would not prevent operation of
one or more of the Business Capabilities and Support Facilities or elements of the
Infrastructure, but would cause problems in the operational use of one or more
Transaction types.

Low The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that does not cause any adverse
operational impact in the use of the Business Capabilities and Support Facilities or an
element of the Infrastructure, or the HNG-X Acceptance Incident can be addressed by
a workaround without any adverse operational impact for Post Office.

Non An incident raised by either Party which, following investigation is found:

Incident

> not to be a defect;

> not to have resulted from the introduction of changes arising from Project HNG-X
and/or the Associated Change Activities that are subject to the HNG-X
Acceptance Process; or

» not to fall within the high, medium or low categories set out in this column.

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D Acceptance Board recommendation options

It is proposed that the decision of the HNG-X Acceptance Board should comprise one of the following
options: -

1. Proceed through Acceptance Gateway.
i. Acceptance Gateway criteria have all been met.
ii. There no Acceptance Incidents that would prevent progression through this Acceptance
Gateway

2. Proceed through Acceptance Gateway
i. Not all Acceptance Criteria have been met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents is within the limits for progression through this
Acceptance Gateway.
iii. Each Acceptance Incident has an agreed workaround
iv. Where required by the contract, all Acceptance Incidents have an agreed rectification plan or a
target timescale for rectification

3. Proceed at risk through Acceptance Gateway
i. Not all Acceptance Criteria have met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents is within the limits for progression through this
Acceptance Gateway.
iii. One or more workaround, rectification plan or target timescale, is not yet agreed.

4. Do not proceed through Acceptance Gateway
i. Not all Acceptance Criteria have been met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents exceeds the limits for progression through this
Acceptance Gateway
iii. Remedial actions are required to address the Acceptance Incidents and / or workarounds.

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E Closed Acceptance Incidents
The following tables contain summary details of Acceptance Incidents that have been raised as part of Acceptance Gateway 3 but have
now been closed. In addition there are some Als that are to be resolved by POL or where it has been agreed that no rectification is
required. These are shown in a separate table
Closed prior to AG3
Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-AD-103 (Low) Message display during rollover 11802 PC0187803 BAC-3737 Duplicate of
Al-AD-071
AI-AD-148 (Medium) I Date offset and ADC datatypes 12540 PCO0190965 MIG-3155 Defect resolved.
AI-AD-151 (High) Card misread 12568 PC0191093 No specific reqt. Defect resolved.
AI-NT-002 (Low) Details required of CTO / PHU 5835 PC0174745 TR574 Plans provided
rollout plans
AI-TS-001 (Medium) I Incorrect priority of ref data 12224 PC0189554 ARC-476, MIG-3071 Defect resolved
downloads between Sysman and
BRDB
Al-TS-002 (Low) Distribution of single Help file 12164 PC0189280 HLP-131, HLP-93, Defect resolved
MIG-3071, MIG-3075

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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-TS-003 (Low) Incorrect VPN Policy file on 11701 PC0187523 MIG-2994 Defect resolved
counters
Al-TS-005 (Medium) I Basket settlement of Transaction 12338 PC0189900 SEC-3202 Defect resolved
Corrections
AI-TS-028 (Medium) I Distribution of Help files 12845 None HLP-131, HLP-93 Defect resolved
AI-TS-029 (High) Reference data distribution 12888, PC0192201, MIG-3045, MIG-3078, I Defect now
MIG-3164 resolved and a
12850 Pco192011 successful Branch
migration has

been achieved.

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Closed after AG3 and prior to AG4

Al reference Al summary Defect Peak Affected Reason for
requirements closure
Al-AD-002 (Low) Zero entries on Travellers Cheque I 6419 PC0174351 Closed as no fault.
declaration slip Functionality is the
same as Horizon.
Al-AD-010 (Low) Receipt reprint for ADC. 5300 PC0171091 Duplicate of 1779 /
transactions AI-AD-105
Al-AD-015 (Low) APS Office harvesting Report 7525 PC0177037 Agreed to close as
the ‘APS Daily
Office Harvesting
Report’ is no
longer used.
Al-AD-020 (Low) Office daily rem-out by day / 8390 No Peak CSM-628 Defect resolved in
multiple entries R1.
Al-AD-025 (Low) Bureau de change / limited size of I 8532 PC0192142 BDC-213 Defect resolved in
input field R11.
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Al reference

Al summary

Defect

Peak

Affected
requirements

Reason for
closure

AL-AD-032 (Low)

Ul usability / use of editable tables

8779

PC0180088

Closed as a
duplicate of defect
6649 / PCO174865
— Al-AD-011

AI-AD-057 (Low)

CTO login error responses

PC0186110

Agreed to close as
reported defect is
agreed not to be a
fault.

AI-AD-075 (Low)

AP receipt layout issues

5979

PC0173208

Defect resolved

Al-AD-076 (Low)

APS datatype AlphaPlus

10160

PC0183323

Agreed to close on
the basis that this
issue will be
resolved if POL
ever require to use
this datatype for
entry of the Euro
symbol.

AL-AD-078 (Low)

Welsh receipt layouts

8388

None

GLB-298

Defect resolved in
R1.

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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-AD-085 (Low) Navigation to End of Session 9476 PC0175060 Agreed to close as
prompts menu reported defect is
agreed not to be a
fault.
Al-AD-108 (Low) Cut off Despatch Report 11535 PC0187105 Defect resolved in
R1.
Al-AD-109 (Low) Multiple displays of transaction 11530 PC0188571 Defect resolved in
prompt R1.
Al-AD-122 (Low) ETU transaction failure prompt 11946 PC0188418 Defect resolved in
R1.
Al-AD-123 (Low) DCS response code 11944 PC0188415 Defect resolved in
R1.
AI-AD-124 (Low) BNK / ETU response code 11945 PC0188417 Defect resolved in
R1.
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-TS-008 (Low) IT health-check / Portcullis report 11934 No Peak Closed and
defect replaced with
specific defects
12826, 12838,
12839 and 13111.
AI-TS-025 (Low) IT health-check / Portcullis report 12838 PC0191937 Defect agreed as
defect resolved at joint
security forum of
29/01/10.
Al-TS-026 (Low) IT health-check / Portcullis report 12839 PC0191938 Defect agreed as
defect resolved at joint
security forum of
29/01/10.
Al-AD-129 (Low) IT health-check / Portcullis report 4567 PC0169567 SEC-3204 Defect agreed as
defect resolved at joint
security forum of
22/01/10.
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-AD-131 (Low) IT health-check / Portcullis report 4636 PC0169735 SEC-3204 Defect agreed as
defect resolved at joint
security forum of
29/01/10.
AI-AD-132 (Low) IT health-check / Portcullis report 4945 PCO0170546 SEC-3204 Defect agreed as
defect resolved at joint
security forum of
29/01/10.
Al-TS-027 (Low) Implementation of Vulnerability I 12875 SEC-3154 Defect agreed as
scans resolved at joint
security forum of
26/02/10.
Al-TS-009 (Low) IT health-check / Portcullis report 11935 SEC-3230 Closed / Defect
defect resolved
AI-AD-130 (Low) IT health-check / Portcullis report 4776 PC0170549 SEC-3204 Defect agreed as
defect resolved at joint
security forum of
22/01/10.
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-TS-020 (Low) IT health-check / Portcullis report 12830 PC0191932 SEC-3154 Defect agreed as
defect resolved at joint
security forum of
19/02/10.
AI-AD-033 (Low) Test tally printer 6366 PC0174243 BSC-250 Defect resolved
AI-TS-030 (Medium) I Packet size over Orange WWAN 12774 PC0191739 Defect resolved
AI-TS-011 (Low) IT health-check / Portcullis report I 12819 None SEC-3257 & SEC- I Defect agreed as
defect 3204 resolved at joint
security forum of
05/03/10.
AI-TS-013 (Low) IT health-check / Portcullis report I 12821 None SEC-3257 & SEC- I Defect agreed as
defect 3141 resolved at joint
security forum of
05/03/10.
Al-TS-017 (Low) IT health-check / Portcullis report I 12826 None SEC-3257  & SEC-I Defect agreed as
defect 3210 resolved at joint
security forum of
05/03/10.
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-TS-022 (Low) IT health-check / Portcullis report I 12833 None SEC-3154 Defect agreed as
defect resolved at joint
security forum of
26/02/10.
Al-AD-063 (Low) Green giros report transactions I 8608 PC0193744 BAC-270 Defect resolved in
are not correctly ordered 1.08
AI-NT-005 (Low) Secure filestore tidy 12414 SEC-3118 Defect resolved
AI-AD-128 (Low) Validate product Mode 12343 PC0189918 nla Duplicate of 12938
AI-AD-119 (Low) Busy Wait at ‘configure rates I 9484 PC0195552 na Defect resolved in
board’. R1
AI-AD-044 (Low) Postal Services receipt layout 9680 PC0195476 nla Defect resolved in
R1
AI-AD-022 (Low) Default currencies on rates board I 7668 PCO0179066 BDC-241 Defect resolved in
R1
AI-AD-070 (Low) Postal Services receipt layout 11357 PC0191874 na Duplicate of defect
12702
AI-AD-117 (Low) Transaction reversal 11813 PC0187824 BAD-3112 Defect resolved in
1.08
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-AD-152 (Low) Welsh Bureau receipt layout 12922 PC0192489 na Duplicate of 12871
AI-TS-036 (Low) IT health-check / Portcullis report I 13113 PC0193919 SEC-3348 Defect agreed as
defect resolved at joint
security forum of
08/04/10.
Al-TS-021 (Low) IT health-check / Portcullis report I 12832 PC0191933 SEC-3154 Defect agreed as
defect resolved at joint
security forum of
16/04/10.
AI-TS-024 (Low) IT health-check / Portcullis report I 12836 PC0191936 SEC-3158 Defect agreed as
defect resolved at joint
security forum of
16/04/10.
Al-TS-006 (Low) TESQA Access 12251 PC0189661 Defect agreed as
resolved at joint
security forum of
14/05/10.
AI-NT-009 (Low I Risk management — unauthorised I 11299 SEC-3111 Closed / defect
aggregated) device connection resolved
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Al reference Al summary Defect Peak Affected Reason for
requirements closure
AI-NT-001 (Low I Risk management — unauthorised I 2309 SEC-3110 Closed / defect
aggregated) device connection resolved
AI-NT-007 (Low I Risk management - agreement to I 3503 SEC-3086 Closed / defect
aggregated) countermeasures resolved
AI-NT-006 (Low) Risk Treatment Plan 2312 PC0159541 SEC-3082 Closed / defect
resolved
AI-NT-008 (Low) Risk Treatment Plan 11295 SEC-3082 Closed / defect
resolved
AI-NT-012 (Low) Risk Assessment — SQL injection I 12386 SEC-3137 Closed / defect
attack resolved
AI-TS-016 (Low) IT health-check / Portcullis report I 12824 PC0191928 SEC-3257 Closed / defect
defect resolved — see
Concession
CNO69
AI-TS-010 (Low) IT health-check / Portcullis report I 12818 PC0191923 SEC-3257 Closed / defect
defect resolved -— see
Concession
CNO69
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Al reference Al summary Defect Peak Affected Reason for
requirements closure

Al-AD-104 (Medium) I Postal Services warning message I 11403 PC0186775 PS-1815 Closed / defect

resolved
POS-NFR-213

AI-AD-041 (Low) Message text 9536 PC0195475 Agreed to close as
reported defect is
agreed not to be a
fault.

AI-AD-036 (Low) Bureau pre-order ADC script 8932 PC0195473 Agreed to close as
reported defect is
agreed not to be a
fault.

Al-AD-154 (Low) Product Mode check 12938 PC0192670 Closed / defect
resolved

AI-AD-155 (Low) Product Mode check 13015 PC0193238 Closed / defect
resolved

AI-AD-102 (Low) Banking System error 11747 PC0193805 Closed / defect
resolved

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F Acceptance Incidents to be progressed by POL

The following tables contain summary details of Acceptance Incidents that were to be progressed by POL or where rectification has been

agreed as not required.

Al reference Al summary Defect Peak Affected Reason
requirements
AI-AD-004 (Low) Postal Order ADC script I 6752 PC0175141 POL have agreed
modification this can be closed
Al-AD-012 (Low) Banking reason codes 7042 PC0175772 POL have agreed
this can be closed
Al-AD-062 (Low) Volume / Value override facility 11208 PC0186246 No fault in HNG-X.
POL have agreed
this can be closed
and considered as
a future
enhancement
Al-AD-126 (Low) Sort order on migration reports. 11755 n/a POL have agreed
that no change is
required
Al-AD-127 (Low) Date range enquiry 11756 n/a POL have agreed

that no change is
required

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Al reference Al summary Defect Peak Affected Reason
requirements

Al-AD-038 (Low) Banking recovery receipt 9326 PCO0181427 POL (IT) agreed to
close on 21/04/10

Al-AD-089 (Low) Log on event records 10997 PC0195482 POL (NB) agreed
to close on
07/05/10.

Al-AD-156 (Low) Welsh accents on receipts 11381 PC0187107 This will be
resolved via the
POL BAU ref data
process.

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