Fujitsu Services Network Banking Management of Prosecution SupportRef:
COMMERCIAL IN-CONFIDENCE
Version:
Date:
FUJ00152205
FUJ00152205
NB/PRO/003
1.0
26-Nov-2002
Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Internal Distribution:
External Distribution:
Approval Authorities:
NETWORK BANKING MANAGEMENT OF PROSECUTION
SUPPORT
Procedure
N/A
This document outlines the end to end procedures required to
manage and deliver the Network Banking Prosecution Support
Service.
APPROVED
Jane Bailey (CS Security)
Graham Hooper, Jan Holmes, Richard Laking
Review List
Review List
(See PA/PRO/010 for Approval roles)
ame
Position
Signature
iDate
(Martin Riddell
(CS Director
IGraham Hooper
ICS Security Manager
jan Holmes
Quality Manager
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0.0 Document Control
0.1 Document History
\Version No. Date IReason for Issue [Associated
(CP/PinICL
0.1 11/02/02 Initial Draft
0.2 24/10/02 Incorporation of comments afier initial review]
Amendment to signed contract.
0.3 15/11/02 Incorporate comments after review
1.0 26/11/02 ersion for approval
0.2 Review Details
[Review Comments by :
Review Comments to :
Mandatory Review Authority
Name
IAudit Manager
jan Holmes
ICS Security Manager
(Graham Hooper
[PDU
Richard Laking
Principle Consultant
Tony Haywood
Commercial and Contract Manager
Hilary Forrest
(Optional Review / Issued for Information
Post Office Ltd.
(Graham Ward*
( * ) = Reviewers that returned comments
0.3 Associated Documents
Reference Version [Date Title Source
IPA/TEM/001 17.0 2" April 2002 Fujitsu Services © DocumentPVCS
(Template
ICR/FSP/006 ‘Audit Trail Functional
‘Specification
B/SDS/004 ‘System Design Specification for
etwork Banking Reconciliation
IA/PRO/004 Audit Data Extractions Process
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Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
0.4 Abbreviations/Definitions
[Abbreviation
Definition
IAudit Record Queries
‘A Record Query that is not a Banking Transaction Record Query and
‘hich relates to Transactions.
ICS ‘Customer Services
[Banking TransactionIA Record Query in respect of a Banking Transaction which the Dat
[Record Query [Reconciliation Service has reconciled or has reported as an exception,
he result or records of which are subsequently queried or disputed b
Post Office Ltd or a third party
FAD IA Post Office outlet unique identifier.
IHSH (Horizon System Helpdesk
[Prosecution (Civil or criminal court or statutory tribunal proceedings related to
[Banking Transactions
B etwork Banking
(Old Format Queries
(The extraction of records created before commencement of Networl
[Banking Pilot (Soft Launch) relating to Transactions (other than)
Banking Transactions) meeting the Search Criteria, such extractio
being limited to the following specific types of information/data fields:
he ID for the user logged-on, Counter Position ID, stock uni
reference, Transaction ID, Transaction start time and date, Customer
Session ID, mode (e.g. serve customer), product number and quantity,
ind sales value;
IPO Ltd. Post Office Limited
IPSS Pathway Prosecution Support Section
IPSS Day [Between 09:00 and 17:30 Monday to Friday excluding English Bank
Holidays.
[Record Query (The extraction of records created after commencement of Networ!
[Banking Pilot (Soft Launch) in accordance with the terms paragraphl
7.3 of NOI relating to Banking Transactions (and, in the case of Audit
Record Queries relating to all Transactions) meeting the Searc!
(Criteria, such extraction being limited to specific types of
information/data fields.
[Audit Record Query}
[Form
‘Audit Record Query Form (ARQ). A single Audit Record Query,
[Form must relate to a single outlet.
IRFI
[Request for Information. Record Query for the Existing service. See
Old Format Record Query
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Rolling Year
‘Any Record Queries received over the yearly limit shall be seen as the
following years requests and as such will not be processed until the
following year. In other words it will be rolled over in to the following
ears requests.
Search Criteria
leans either of:
(a) date range (not exceeding 31 consecutive days), time)
range, Outlet and PAN(or equivalent identifier); or
(b) date range(not exceeding 31 consecutive days), time)
range and Outlet,
hich may be specified for a Record Query.
B this is different from the criteria used for Banking Transaction:
Record Queries
0.5 Changes in
this Version
\Version
‘Changes
1.0
inor typo errors.
0.6 Changes Expected
(Changes
[Removal of Old Format Queries, 18 calendar months after Network Banking Pilot (Soft Launch).
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0.7 Table of Contents
1.0 INTRODUCTION...
2.0 SCOPE.
3.0 AUDIT RECORD QUERIES...
3.1 SCOPE
3.2 Limits ON AUDIT RECORD QUERIES.
3.2.1 Increases in Limits
3.2.2 Decreases in Limit
3.3 SEARCH CRITERIA...
3.4. FORMAT FOR AUDIT Ri
3.5 EXCLUSIONS. sessestensennenntnntentente
3.6 AUDIT RECORD QUERY RESOLUTION TIME SCAL
3.6.1 Record Query Resolution Time Scales.
2 Old Format Query Resolution Time Scales.
3.6.3. Contention and Court Appearance.
4,0 PROSECUTION SUPPORT.
4.1 SCOPE...
4.2. EXCLUSION
5.0 NOTIFICATION PROCESG.......
5.1 CONTACT POINTS.
5.1.1 Post Office Ltd.
5.1.2 Pathway...
5.2 REQUEST PROCESS.
6.0 MANAGEMENT PROCESS...
6.1 ALLOCATION OF AUDIT RECORD QUERIES.
6.1.1 Continuity of Evidence.
6.2 PROSECUTION SUPPORT DATABASE.
6.3 PROCESS FOR CANCELLATIONS
7.0 PROSECUTION SUPPORT PROCESG...........
7.1 AupIT RECORD QUERY.
1 Identify Search Criteria...
2 Create Audit trail of request. - 7
3 Search for files required to complete reques' . 21
4 Select and retrieve files...
5
6
“ORD QUERY REQUEST!
5 Generate message store.
.6 Rquery to spreadsheet.
Burn closed CD.
Virus check.......
7.1.9 Despateh......
7.2 PROSECUTION SUPPORT.
7.2.1 Check Horizon System Helpdesk Logs....
7.2.2 Analysis Non-polling reports.
7.2.3. Analysis of Fault logs..
7.2.4 Complete Witness Statement of Fact.
7.2.4.1 Witness Statement of Fact.
7.2.4.2 Court attendance in support of Witness Statement of Fact
7.2.5 Provision of exhibits.
7.2.6 Exhibit Labels...
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7.2.7 Despatch
7.3 PROSECUTION SUPPORT RESOLUTION TIME SCALE 24
8.0 ADDITIONAL PROSECUTION SUPPORT.
8.1 AUDIT RECORD QUERIES... 25
8.2. EXPERT WITNESS STATEMENT.......... soosstastestnsistnsstnsee 25
8.3. COURT ATTENDANCE IN SUPPORT OF EXPERT WITNESS STATEMENT. 26
9.0 APPENDICES.....
APPENDIX 1..
APPENDIX 2 WITNESS STATEMENT OF FACT.
Template for Witness Statement of Fat
Contents of Witness Statement of Fact
Side B Witness Statement of Fact originators details.
APPENDIX 3 — EXHIBIT LABEL...
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1.0 Introduction
The Network Banking Prosecution Support Service has been introduced in response to
Network Banking Requirements 260 and 315. The scope of the Service is outlined in Schedule
NOI of the Codified Agreement in the Section entitled “/nformation Retrieval and Audit”.
This document is intended to assist the management and delivery of the service necessary to
support Post Office Ltd in respect of criminal prosecution or civil litigation for the Horizon
solution.
It is intended that the management of prosecution support process is generic for all services.
Audit Record Query requests are received, documented, extracted from the Audit Archive and
progressed to resolution in the same manner. The production of evidence and witness
statements in support of prosecution also utilises the same processes.
This document is without prejudice to any of the parties and nothing contained herein shall be
deemed or construed as affecting contractual obligations or creating new contractual
obligations between any of the parties.
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2.0 Scope
This document sets out the procedures to be adopted by Pathway’s Prosecution Support
Section (PSS) for managing and dealing with Audit Record Queries for Investigation and
Prosecution support purposes including the:
¢ undertaking of Audit Record Queries;
© presentation of Transaction records extracted by Audit Record Queries;
¢ analysis of appropriate records and logs;
© preparation of witness statements of fact in relation to Audit Record Queries;
e attendance at Court by relevant employees to give evidence in respect of witness
statements;
¢ undertaking of additional litigation/prosecution support activities as may be requested on a
case-by-case basis on the instruction of Legal Counsel.
It is recognised that it is not possible to deliver a standardised response to all prosecution
related Audit Record Queries. The type of information requested for an Audit Record Query
is heavily dependent upon the requirements of the particular case in question and the demands
of the Legal System. These procedures therefore provide a flexible approach to the provision
of prosecution support.
ARQs in support of potential prosecution will be obtained solely from the Horizon System
Audit Archive / Server. The method by which the integrity of this data is protected is
described in the Audit Trail Functional Specification. Evidence in support of data integrity will
be sourced from Audit Archive / Server and Pathway Business logs. All access to audit data is
restricted to named individuals via dedicated workstations located in a secure environment
This is consistent with the security controls employed for the existing service. Supporting
evidence is sourced from relevant business records and logs.
Requests for Information will fall into two general categories:
a Audit Record Query only.
This involves the extraction from the audit archive of records relating to data for a
particular outlet.
a Audit Record Query plus associated witness statement.
This involves the extraction for the audit archive of records relating to data for a particular
outlet plus the provision of a witness statement of fact in support of the data extracted.
This document and the limits on Audit Record Queries and Search Criteria it contains relate to
information retrievals and audit for the Network Banking System and the Existing Service.
The Existing Service ceases to be applicable 18 calendar months after Network Banking Pilot
(Soft Launch). This document and the limits set out in this document will be updated at this
time to reflect the removal of the Existing Service.
Provision of prosecution support for the existing service has been agreed under contract.
Prior to Network Banking contract signing this provision was supported under a CR received
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to request such a facility. Provision of the old format data retrieval support service before
contract signing was based upon an informal agreement between the Director of Horizon
Commercial and the Director of Pathway Quality. CCN 759, submitted to formalise this
agreement was not subsequently ratified. The agreement provided for the provision of up to
50 audit data extractions per annum for audit and security purposes, with a maximum of 7 in
any calendar month. The annual target measured over a rolling 12 month period. Additional
extractions were catered for on the basis of Time and Material costs equivalent to 1.5 days at
senior consultant rate.
The provision of prosecution support (specifically the provision of witness statements of fact)
was similarly not formalised and was provided on a “without prejudice subject to contract”
basis pending the receipt of the aforementioned Change Request. Prosecution support for the
existing system is now provided as part of the Prosecution Support Service. This document
outlines the operational approach to this service.
This document does not cover the requirements or procedures for the Data Reconciliation
Service i.e. Banking Transaction Record Queries which are handled by BSU.
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3.0 Audit Record Queries
3.1 Scope
An Audit Record Query is an extraction from the Audit Archive of records relating to
Transactions, which meet specific search criteria. Audit Record Queries may be undertaken to
provide transaction and other details required to facilitate an investigation or in support of
prosecution.
Through out this document the generic term to Audit Record Query is used collectively to
refer to an extraction of data from the Audit Archive. There are three types of Audit Record
Query as defined under contract:
“Audit Record Query” means a Record Query which is not a Banking Transaction Record
Query and which relates to Transactions.
“Record Query” the extraction of records created after commencement of Network Banking
Pilot (Soft Launch) in accordance with the terms of paragraph 7.3 in NOI relating to Banking
Transactions (and, in the case of Audit Record Queries relating to all Transactions) meeting
the Search Criteria, such extraction being limited to specific types of information/data fields.
“Old Format Query” the extraction of records created before commencement of Network
Banking Pilot (Soft Launch) relating to Transactions (other than Banking Transactions)
meeting the Search Criteria, such extraction being limited to the following specific types of
information/data fields.
3.2 Limits on Audit Record Queries.
The number of Audit Record Queries requested by Post Office Ltd in connection with
investigation or prosecution shall be the first to be met per year of;
e no more than 550 queries or
e 7700 query days on a rolling year basis
With no more than the first to be met in any calendar month of
© 77 queries or
e 1078 query days.
Any Audit Record Queries over and above the 550 maximum will be rolled-over to the next
12-month period and count towards the total for the next year.
3.2.1 Increases in Limits.
With three months notice these limits can be extended either;
The first to be met per year of;
* no more than 800 queries or
e 11200 query days on a rolling year basis
With no more than the first to be met in any calendar month of
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e 112 queries or
e 1568 query days.
Or;
The first to be met per year of;
* no more than 1050 queries or
e 14700 query days on a rolling year basis
With no more than the first to be met in any calendar month of
e 147 queries or
e 2058 query days.
Increases in requests from Post Office Ltd. are subject to increased charge and shall be
forwarded to Pathway Commercial to adjust invoices as per schedule NO1
3.2.2 Decreases in Limits.
With three months notice limits may be decreased to the previous limits. Decreases in
requests from Post Office Ltd are subject to decreased charge and shall be forwarded to
Pathway Commercial to adjust invoices as per schedule N01.
3.3. Search Criteria
The search criteria for Audit Record Queries in support of prosecution are either:
(a) Date or dates (not exceeding 31 consecutive days), time-range, Outlet and PAN (or
equivalent identifier)
Or;
(b) Date or dates (not exceeding 31 consecutive days), time-range, and Outlet.
which may be specified for an Audit Record Query.
Each Audit Record Query shall cover a date range of up to and including 31 consecutive days.
Individual dates or multiple date ranges can be accommodated provided that the maximum
number of days requested does not exceed 31 consecutive days for each Audit Record Query.
If a request is received for a date range greater than 31 consecutive days then an additional
Audit Record Query or Audit Record Queries from the agreed annual maximum will be
required to facilitate the request. Additional Audit Record Queries will be required for each
subsequent period of 31 consecutive days or part thereof. Multiple Audit Record Queries for
prosecution will equate to faster consumption of the maximum Audit Record Queries per year.
Each Audit Record Query shall relate only to an individual Outlet.
Audit Record Queries are limited to specific types of information/data fields these are:
a the ID for the user logged-on,
a Counter Position ID,
Q- stock unit reference,
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Transaction ID,
Transaction start time and date,
Customer Session ID,
a
=)
a
a mode (e.g. serve customer),
a product number,
a product quantity,
a sales value.
Pathway will consider reasonable requests from Post Office Ltd. for a variation to the
requested information/data fields. Such variation requests should be specified in the relevant
ARQ form.
3.4 Format for Audit Record Query Requests
Audit Record Queries in connection with prosecution shall be made via the Audit Record
Query Form.
Post Office Ltd will specify the following details for each Audit Record Query:
a Date of request;
a Outlet FAD and address to which the Audit Record Query relates. Each Audit Record
Query shall relate to a single FAD;
a Date range/times. The maximum date range for each Audit Record Query is 31
consecutive days.
a General requirements. This includes the required attributes associated with the Audit
Record Query.
a Output Format required. This is normally a standard Excel 95 version with separate
columns for each attribute requested.
Alternatively Pathway will provide information in native format if requested. Pathway will
provide details in other formats on receipt of an appropriate Change Request.
Each Audit Record Query shall be allocated a unique identifier to facilitate the logging and
monitoring of work carried out. The identifier shall be “ARQ” followed by a sequential
number starting from 1 (1 to nnnn). This will provide the audit trail information necessary to
ensure continuity of evidence if required later at a court or tribunal.
The agreed Audit Record Query (ARQ) Form is at Appendix I
3.5 Exclusions
Audit Record Queries in connection with Disputed Banking Transactions are not covered in
this document. Refer to NB/PRO/002.
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3.6 Audit Record Query Resolution Time Scales
The time scales are measured from the time and date that the Audit Record Query is received
by PSS from Post Office Ltd. Casework Manager as outlined in section 5.2. Completion is
defined as the work identified at 7.1.1 to 7.1.9.
3.6.1 Record Query Resolution Time Scales
The time-scale for completion of each Record Query is seven working days for queries of
fourteen or less days duration and fourteen for queries of greater than fourteen days duration.
3.6.2 Old Format Query Resolution Time Scales
Time-scales for completion of old format queries shall be fourteen working days for queries of
fourteen or less days duration and twenty-eight working days for queries greater than fourteen
days duration.
3.6.3 Contention and Court Appearance
Resolution time scales specified in 3.6.1 and 3.6.2 shall not apply to Audit Record Query in
the following situations;
(a) anew Audit Record Query or Old Format Query is received by the PSS or Post Office
Ltd require analysis of an existing Audit Record Query or Old Format Query; and
(b) I amember of the PSS is needed to deal with that new or existing Audit Record Query
or Old Format Query; but
(c) that person is unavailable due to his or her attendance at court or other proceedings in
connection with an Audit Record Query or Old Format Query.
The PSS shall instead deal with such Audit Record Queries as soon as reasonably practicable.
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4.0 Prosecution Support
In addition to the details at 3.4 above, Post Office Ltd shall wherever possible, advise on the
relevant section of the Audit Record Query Form whether an associated witness statement is
required. (See Appendix 1.)
4.1 Scope
Pathway shall, in relation to an Audit Record Query, at the request of Post Office Ltd:
a Analyse appropriate Horizon Help Desk and Non-polling reports for the specific search
criteria on the Audit Record Query in order to check the integrity of Transactions
extracted for that Audit Record Query;
a Analyse fault logs for the devices from which the records of transactions were obtained to
check the integrity of Transactions extracted by that Audit Record Query;
a Provide witness statements of fact in relation to that Audit Record Query. This will be
based on the above analysis and be prepared by the relevant member PSS.
a The above analyses and witness statements will be undertaken in respect of a maximum of
250 Audit Record Queries per year;
a Provide for the attendance at Court by the person who has provided a witness statement as
identified above in order to give evidence in support of that witness statement. Pathway
shall provide a maximum of 100 days attendance in court per year.
The work undertaken as part of prosecution support is further detailed in section 7.2
Prosecution Support.
4.2 Exclusions
The provision of additional prosecution support is excluded from the service detailed above.
Additional prosecution support is covered in Section 8 (Additional Prosecution Support).
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5.0 Notification Process
5.1 Contact Points
5.1.1 Post Office Ltd
All Audit Record Queries in conjunction with investigation and or prosecution must be
authorised by the Post Office Ltd Security and Network Audit Team.
Requests will be accepted only from the Post Office Ltd.’s Casework Manager.
The Post Office Ltd. Casework Manager will advise the Pathway Prosecution Support
Manager of one named deputy, who is authorised to request record queries in his absence.
Other parts of the Post Office (e.g. Security and Network Audit Team) requiring Queries must
channel these requests through this single point of contact. All Queries from these sources
shall count toward the maximum for the year.
5.1.2 Pathway
The Post Office Ltd. Casework Manager shall submit all requests for Audit Record Queries in
connection with investigation and prosecution to:
Customer Service Prosecution Support Section,
Fujitsu Services
Forest Road,
Feltham
Middlesex TW13 7EJ
The Audit Record Query will be sent via email to both Pathway’s Prosecution Support
Manager and also to one named deputy who shall be advised to the Post Office Ltd. Casework
Manager.
Pathway and Post Office Ltd will agree the e-mail address of the operational single point of
contact within both organisations.
5.2 Request Process
Post Office Ltd Casework Manager shall receive audit Record Query requests using an
internal process of the Post Office Ltd. The Casework Manager or deputy shall complete an
Audit Record Query form and email it to both the Pathway Prosecution Support Manager and
to one nominated individual from PSS. This will provide the contingency arrangements. The
details of the request and the date and time of the request shall be recorded in the Prosecution
Support Database. The PSS Manager shall determine which member of the PSS shall carry
out the request from analysis of current workloads per team member.
Post Office Ltd Casework Manager shall also keep a log of all requests made to the PSS.
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6.0 Management Process
6.1 Allocation of Audit Record Queries
Pathway Prosecution Support Manager shall allocate and monitor all requests within PSS.
Allocation will be determined on current workloads of each member of PSS. Each individual
in the section has the responsibility for updating their log daily. This will ensure an even spread
of workload across PSS, making sure all requests are completed in accordance with agreed
time scales. Status of Audit Record Queries shall be maintained in the Prosecution Support
Database
6.1.1 Continuity of Evidence
One member of PSS will generally undertake the entire end to end prosecution support
process (as detailed in section 7.0). This enables one individual to attest to all elements of the
retrieval process and facilitate provision of a single witness statement thereby minimising
service impact.
6.2 Prosecution Support Database
The Database shall track all work carried out, by date and time, on every Audit Record Query.
The database shall be used for allocating requests and tracking the request through the audit
extraction process. An audit trail of date and time of processes carried out on the Horizon
Audit System is recorded by Audit Record Query unique identifier on the Extractor Client
GUL. Date and time of exporting messages to excel, details of anti virus checks used, date and
time of burning to CD and posting shall not be recorded on the Extractor Client GUI. These
shall be recorded in the Prosecution Support Database.
6.3 Process for Cancellations
Once an identifier has been attached to a request it shall not be reused even if the request is
later withdrawn. This ensures the integrity of the request log for requests that require
prosecution support at the time of request or at a future date. The log shall also ensure that
Post Office Ltd and Pathway meet contractual requirements on the number of requests and the
turn around of requests.
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Version:
‘Audit record Query
COMMERCIAL IN-CONFIDENCE Date:. teceived by PO Ltd.
Casework Managers
Cancellation,
An Audit Record “ I
a .
eth at any ee Mati sget receives I___Confirmation _y)]_ PO Ltd fill in Audit Record
tHese “Record Query a Form
Cancelled Audit I Form emailed
Record Query will :
net be Logged on Prosecution
from thé ere
Prosecution
Suppordatabase
They will be Databi
marked Allocated to PSS sia
Cancelled
Work carried out and recorde
ifan Audit Record : Danae
Query has started,
ean be cancelled
will still count
the aninual CD Processed and posted to
- ce Ltd
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7.0 Prosecution Support Process
Identify Search Criteria
I
Create Audit Trail of Request.
Form
Audit Record Query
Check Horizon system Helpdesk
Logs
I
I
Search for files required to complete
request
System automatically
logs date and time of
each process to an
“Audit Trail”
Analysis Non-polling reports
I
Select and retrieve files
i
Generate Message Store
I
Rauery to spreadsheet
Bum ‘closed’ CD
I
Anti Virus check CD.
I
Despatch of CD
7.1 Audit Record Query
TAA Identify Search Criteria
The team member allocated to the request shall identify the search criteria from the Audit
Record Query
712 Create Audit trail of request
The Horizon Audit System provides an audit trail. The audit trail records the date and time of
every process carried out on the Horizon Audit System to complete each Audit Record Query.
The search criteria and Audit Record Query identifier shall be used to create the directory
structure of each audit trail. An audit trail is produced only when an Audit Record Query is
Analysis appropriate PinICL logs.
Complete witness statement of fact
‘Complete Exhibit Labels
I
Despateh to PO Ltd
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marked as completed on the Extractor Client. (The audit trail is not the Prosecution Support
Database). The Prosecution Support Database holds information on when the Audit Record
Query is received, the search criteria and whether any Audit Record Queries are cancelled.
The Prosecution Support Database is used to monitor workloads and ensure Audit Record
Queries are completed in a timely fashion. The audit trail is used to attest to the integrity of
data held on the Horizon Audit System and data extracted for Audit Record Queries.
713 Search for files required to complete request
A search for files required to complete the request shall then be initiated using the audit
extractor GUI.
714 Select and retrieve files
Once the search has completed and returned the results each required file shall be marked for
selection and then selection will be initiated. Files extracted to the server shall be seal checked
as they are extracted. This check is intended to confirm that the data has not been altered
from the time the transaction first originated to the time it was stored. After the files have been
extracted the operator shall check the seal status and ensure all seals match.
TAS Generate message store
A message store of the selected files shall be initiated on the operator’s local machine using
the files extracted to the audit server.
71.6 Rquery to spreadsheet
Once the message store has been successfully generated, the Rquery tool shall be used to
select the files as per the search criteria set out in the Audit Record Query. (VB: Banking
Transaction details are still in refinement and until documentation is prepared on Network
Banking Transaction data, data attributes available cannot be identified. When
documentation is available Post Office Ltd. Casework Manager and Pathway PSS Manager
shall agree requirements).
The Transaction records extracted for the Audit Record Query shall be exported by the
Rquery tool to an Excel 95 Format or native format if requested
Sensitive Data included in records of Banking transactions are held in encrypted form by the
Network Banking System. Therefore, sensitive data included in a Audit Record Query will be
provided to Post Office Ltd. Casework Manager in its encrypted form. Pathway will not be
supplying any decryption routes.
71.7 Burn closed CD
Once the data is complete and formatted it shall be burnt to ‘closed’ CD-W along with a word
document that shall provide an explanation of the format in which the data is provided. The
CD-W will be labelled with the Audit Record Query reference number, using a special pen for
writing on CDs. The audit trail will complete date and times of access and events and record
seal check values. The audit trail is saved as a text file to the user directory on the audit server.
This file shall only be accessible by the PSS Manager.
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718 Virus check
The word document that is attached to the CD shall also contain reference to the anti virus
software used to check the CD. It shall state the engine and virus definition files used. The
CD-W shall be passed to CS Security and checked for viruses after the data has been written
to it and before sending it to Post Office Ltd.
719 Despatch
The CD shall be sent to Casework Manager by Special Delivery. Appropriate packaging for
the CD will be used to help protect against damage in transit.
Files extracted to the audit server shall then be deleted in order for the next Audit Record
Query to be undertaken. The message store on the operators local workstation shall be cleared
of messages
7.2 Prosecution Support
721 Check Horizon System Helpdesk Logs
Problems or faults at a Post Office outlet logged with the Horizon System Helpdesk will be
examined using the search criteria specified in an Audit Record Query to assess whether the
outlet was functioning effectively.
The logs are accessed through the web-based program, Powerhelp. All PSS members shall
have access to Powerhelp. They shall use the specified outlet and date range as requested in
the Audit Record Query search criteria to search Powerhelp for any calls logged for the outlet
in the date range required. The log of calls to the Horizon System Helpdesk detail incidents of
error, inaccuracy or malfunction pertaining to the sites, equipment, services and individuals
concerned
7.2.2 Analysis Non-polling reports
Non polling reports shall be reviewed for the outlet in question, for all days within the date
range specified, to identify if the outlet in question had any problems receiving polls. Non-
polled reports are stored by date. The file consists of all non-polls for a particular day. For
the date range in question, the reports with the corresponding date shall be retrieved and
searched through, by outlet. This will ensure whether during the date range in question the
outlet received all polls.
7.23 Analysis of Fault logs
Any relevant PinICLs identified in Powerhelp logs will be reviewed through PinICL Client to
identify any recorded faults, that might affect the integrity or admissibility of the audit archive
from which the Audit Record Queries are extracted.
The PinICL log will detail the error relating to the site, equipment and or service in question.
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7A Complete Witness Statement of Fact
PSS will provide a witness statement of fact in respect of 250 Audit Record Queries per
annum. This will as far as possible be undertaken by the person responsible for the actioning
of the work at 7.1 so as to retain continuity of evidence and obviate the need for additional
statements.
7.2.4.1 Witness Statement of Fact
Any material or otherwise pertinent information shall be recorded and included in the relevant
witness statement of fact.
Requirements for witness statements explaining the extraction of audit data from Horizon in
response to an Audit Record Query shall be completed by the individual from PSS who
completed the request.
The statement shall follow the standard format and layout for witness statements of fact
provided in evidence. Contents of witness statements of fact are flexible depending on specific
requirements of cach case and the knowledge of the witness giving the statement. An example
of a witness statement of fact is provided in Appendix 2. For each request, Post Office Ltd
and PSS will agree relevant matters (such as those listed below) which should be covered in
the witness statement of fact (based on the knowledge of the witness):
Identification information about the author of the witness statement of fact.
A summary of the previous manual system used by the Post Office before Horizon.
A summary of Horizon and what information is recorded.
How consistent time is recorded within the Horizon system.
The types of reports that can be generated on a counter by a clerk.
The transfer of accounts information to Post Offices main accounts department.
A brief overview of all applications, OBCS, EPOSS, APS, LFS, NBS.
How data is passed from the counter to archive media.
ooooococoao.o 3G
The process for extracting information for Audit Record Queries and the controls in place
to protect and ensure the integrity of that data.
a An analysis of the Audit Record Query, when the Audit Record Query form was received
and the dates when the audit data extraction took place. This shall be taken from the
Prosecution Support Database and audit trail file.
a A summary of the evidence provided for the request
Any Network Banking specific witness statement of fact requirements shall be incorporated as
agreed by Post Office Ltd. Casework Manager and Pathway CS Security Manager.
7.2.4.2 Court attendance in support of Witness Statement of Fact
The author of a witness statement of fact may be required to attend Court in order to bear
testimony to the facts. A maximum of 100 days has been anticipated for Court attendance
Any days over this maximum shall be subject to a Change Request.
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7.25 Provision of exhibits.
Evidence provided in support of prosecutions will generally compromise of one or more of the
following:
a CD of transaction data,
a HSH logs,
a Non-polling reports,
a fault logs.
7.2.6 Exhibit Labels
All evidence referred to in the witness statement of fact will require an Exhibit Label. This
allows for the evidence to be clearly identified.
7.2.7 Despatch
Evidence from HSH logs, Non-polling reports, fault and event logs shall be given an exhibit
number and along with the witness statements of fact, shall be posted to Post Office Ltd.
Casework Manager by first class post. Appropriate packaging of the statements, reports etc.
will be used to help protect against damage in transit.
7.3 Prosecution Support Resolution Time Scales
Prosecution support is not subject to resolution times but Pathway shall use reasonable
endeavours to meet dates notified by Post Office for the production of this material.
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8.0 Additional Prosecution Support
There may be occasions when information is requested which exceeds that provided for as
part of the standard Prosecution Support Service. This shall be dealt with on a case by case
basis and in accordance with the Change Control Procedure.
8.1 Audit Record Queries
ARQ retrievals beyond that specified under contract shall be agreed on a case-by-case basis
and shall be dealt with in accordance with Change Control Procedures.
8.2 Expert Witness Statement
To offer all the available evidence without it being requested would only serve to flood the
courtroom with documentation. For this reason expert in depth analysis and detailed “expert”
witness statements (as opposed to witness statements of fact) are rarely required.
It is however conceivable that, given the size and complexity of the Horizon system, the
integrity of the witness statements of fact may be challenged by Defence Counsel in order to
discredit a prosecution. In these cases additional, granular detail about the technical working
and integrity of various systems that constitute the Horizon system may be required if only for
“unused material”.
Expert witnesses could comprise anyone within Pathway or its approved contractors who
could be called upon to provide and testify to this additional evidence.
Expert witnesses could be called upon to provide for example:
a Operational logs and shift hand over documentation to demonstrate consistent operation
and availability of the service;
a Secure NT, Dynix and SecurID definitions;
a Details of information flows throughout the system;
a Details of cryptographic key controls and other confidentiality, integrity and availability
issues;
a Provision of specific Tivoli and other system security event files;
a Subsequent analysis of this data.
Whilst this type of detail is specifically excluded from the standard evidential requirements
included at paragraphs 7.2.1 to 7.2.4, Pathway will endeavour to provide support of this
granular level of evidence on an agreed case by case basis and shall be dealt with in
accordance with the Change Control Procedure. The production of this evidence shall not be
subject to the time-scales at 7.3 but Pathway shall use reasonable endeavours to meet dates
notified by Post Office for the production of this material.
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8.3 Court Attendance in support of Expert Witness Statement
Support provided for attendance at Court in support of expert witness shall also be considered
on production of an appropriate Change Request. Pathway’s charges for assistance in this
respect shall be calculated on the basis of the rates set out in Schedule A12.
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9.0 Appendices
Appendix I Audit Record Query
Appendix 2 Witness Statement of Fact
Appendix 3 Exhibit Labels
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Appendix 1
AUDIT RECORD QUERY
(Originator: [Post Office Ltd Date: Idd/mm/ccyy
Casework Manager
[The 4" Floor,
[Impact House,
IEdridge Road,
(Croydon CR9 IPJ
IWitness Statement YES/NO IREF NO. IARQ ####/00
(delete as applicable)
[Information Requested
Date range:
[Post Office — [Name and FAD
(GENERAL
[DESCRIPTION
FORMAT
IREQUIREMENTS:
Specific Details: (PAN or equivalent identifier)
Signed
[Date
\dd/mm/ccyy
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Appendix 2 Witness Statement of Fact
Template for Witness Statement of Fact
Witness Statement
ICJ Act 1967, s.9: MC Act 1980, ss.SA(3)(a) and 5B: MC Rules 1981,r.70)
Statement of:
Age ifunder 18: (if over 18 insert ‘Over 18’)
(Occupation: __
[This statement (consisting of n pages, each signed by me) is true to the best of my knowledge
shall be liable to
land belief and I make it knowing that, if it is tendered in evidence, I
prosecution if I have wilfully stated in it anything I know to be false or do not believe to be
true.
Dated the NNth day of MMM CCYY
Signature:
Sigmature.........csscsecsessseeeeeeeeeses Signature witnessed Dy...........0seeeseeeee
(Continuation sheet No.
(Continuation of Statement of:
Sigmature..........sccccsceseeceeeeeeeeees Signature witnessed by.............000000
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Contents of Witness Statement of Fact
A
I have been employed by Fujitsu Services, Pathway, formally ICL Pathway Ltd., for ?? year
and ?? months as an Information Technology (IT) Security Analyst responsible for audit
data extraction’s 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, Pathway to undertake extraction’s of audit data held on the
Horizon system and to obtain information regarding system transaction information processed
on the Horizon system.
B
Within 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.
Cc
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 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.
D
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.
E
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
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service on which it runs provides various common functions for transaction recording and
settlement as well as user access control and session management.
F
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, Pathway 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
various support services including the Pathway Data Warehouse where an historic record of
all data is stored.
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.
G
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, Pathway 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.
H
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. This has been the situation at
name & fad code since ? when the Horizon system was introduced at that particular
Post Office.
J
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 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
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Offices also involves receiving details of order book movements and encashments at Post
Offices, centrally within Horizon, for onward transmission to the DWP.
K
I have access to reports that monitor faults, polling failures, equipment failures and calls for
advice and guidance logged by the Horizon System Helpdesk. During the ??? to ??? , there
were ?? calls from name & fad code to the Helpdesk. None of these calls relate to faults
which would have had an effect on the integrity of the information held on the system.
L
When information relating to individual transactions is requested, the tapes are loaded onto
Audit Servers and the data extracted via 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 extraction’s the following controls apply:
1. Extractions can only be made through the AWs, which exist at Fujitsu Services, Pathway,
Forest Road, Feltham, Middlesex and two at the Fujitsu Services, Pathway Data Centres.
These are all subject to rigorous physical security controls appropriate to that location.
Specifically, the Feltham AWs — where most extraction’s take place — is located in a secure
room subject to proximity pass access within a secured Fujitsu Services, Pathway site.
2. Logical access to the AWs and its functionality is controlled by dedicated Logins, password
control and utilises the Microsoft Windows NT and Pathway security features defined in
the overall Horizon security policy.
3. All extractions are logged on the AWs and supported by documented Requests for
Information (RFI’s), authorised by nominated persons within Post Office Ltd. This log can
be scrutinised on the AWs.
4. Extractions are only made by authorised individuals.
wn
. Upon receipt of an RFI from Post Office Ltd they are interpreted by Fujitsu Services,
Pathway Customer Services, Security. The details are checked and the printed request filed.
. The required files are identified and marked using the dedicated audit tools.
. Using the above information the relevant archive media are identified.
. A request to load required tapes at the Fujitsu Services, Pathway Data Centre is made.
od
. Checksum seals are calculated for audit data files when they are written to electronic
archive media and re-calculated when the files are retrieved.
10.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 archive media. The result is
maintained in a Check Seal Table.
11.The specific RFI details are used to obtain the specific data.
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12.The files are copied to the AW where they are checked and converted into the file type
required by Post Office Ltd.
13.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 Limited Casework Manager using Royal Mail Special Delivery. This ensures that a
receipt is provided to Pathway confirming delivery.
M
RFI ?? was received on date and asked for information in connection with the Post Office at
name & fad code. I produce a copy of RFI ?? as Exhibit 22/1. On various dates and at
various times between ?? to ??, I undertook extraction’s of data held on the Horizon system
in accordance with the requirements of RFI ?? and followed the procedure outlined above. I
produce the resultant CD as Exhibit ??/2.
N
The report is formatted with the following headings:
ID — relates to counter position
User — Person Logged on to System
SU — Stock Unit
Start.Date — Date of transaction
Start. Time — Time of transaction
SessionId — 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 and 1 =
manually keyed)
P
The CD (Exhibit ??/2) was sent to the Post Office Investigation section by Recorded Delivery
on date ??
Q
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. [hold a
responsible position in relation to the working of the computer.
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Any records to which I refer in my statement form part of the records relating to the business
of Fujitsu Services, Pathway. 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 information or cannot be traced. As part of my duties, I have
access to these records.
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Side B Witness Statement of Fact originators details
NOTE: This side B to be completed only when the original statement is overleaf.
When this form is used to make a copy of a statement, side B is to be left blank
Address
Home telephone No:
Occupation:
Maiden Name:
Business Telephone No:
Date and place of birth:
Dates to be avoided. Delete dates of non availability of witness
Identity code:
lonth of: lonth of: lonth of:
i 2 2B #4 IS 7 1 2 6B 4H fs 6 I7 1 2 6B HH § 7
gs 10 Ill j12 /13 Il4 8B 10 fll I12 I13 fl4 B&B Pp 10 fll I12) [13 fla
1S fl6 I17 [18 19 2O Pl f1S [6 I17 18 [19 2O Pl IS [16 I17 18 19 RO PI
22 23 p4 BS 26 27 28 22 23 24 RS 26 P27 P& 22 3 P4 25 6 7 ps
29 BO Bl 29 BO Bl 29 BO BI
[Month of: onth of: onth of:
i 2 B #4 IS 7 1 2 B 4H fs 6 I7 1 2 B H SS 7
gs 10 Ill I12 13 [14 8B 10 fll {12 {13° fl4 8 10 fll I12 [13 [l4
15 fl6 I17 [18 [19 RO Pl [1S foe I17 18 I19 2O Pl WS [16 I17 [18 19 pO pI
22 23 24 25 26 27 28 2 23 24 R25 R26 7 2&8 22 3 P4 P25 6 7 ps
bo Bo BI bo BO BI bo BO BI
Contact point, if different from above:
Address:
Telephone No:
STATEMENT TAKEN BY (print name)
Office:
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Appendix 3 — Exhibit Label
Fujitsu Services
Identifying Mark: ..............0e cece eeeeeeeeeeeeeeeeeeee
Signature of Witness:
Description of Item:
Lab Ref:
Version 2.0 04/02
. Exhibit No
Fujitsu Services, Registered in England no 96056,
Registered Office 26, Finsbury Square, London, EC2A 11
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