FUJ00176267 - ICL Pathway, Audit Data Extractions Process 2002
ICL Pathway Ltd
FUJ00176267
FUJ00176267
AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Reviewed By:
Comments By:
Comments To:
Distribution:
Audit Data Extractions Process
Process
N/A
This document describes the process to be followed by Consignia
Group Internal Audit (CGIA), and other groups external to Pathway
as defined in Schedule A03, when requesting audit data extraction
services from ICL Pathway CS Security. It also describes those
activities carried out within ICL Pathway to handle the request,
manage the data extraction and despatch the results to the original
requester.
APPROVED
Jan Holmes/ Jane Bailey
Brian Mooney/Anthony Brown
Jan Holmes, Richard Laking, Graham Hooper, Chris Billings
10/02/02
Jane Bailey (& Pathway Document Controller)
(Note: Non Contract Controlled Documents — Originator Only, Contract
Controlled Document — Originator & Pathway Document Controller)
ICL Pathway Document Management
Richard Laking Graham Hooper
Rashpal Dhesi (CGIA) Graham Ward (CGIA)
Chris Billings Library
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 1 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
0 Document Control
0.1 Document History
\Version No. Date [Reason for Issue Associated
CP/PinICL
1 31/01/02 Initial draft based on CSR+ version IA/PRO/003
0.2 Approval Authorities
Name Position Signature Date
Jan Holmes Audit Manager
Graham Hooper Security Manager
0.3 Associated Documents
Reference Version Date Title Source
PA/TEM/001 CL Pathway Document Template PVCS
[A/MAN/005 Horizon System Audit Manual (CSR+) PWAY
ITA/REQ/004 Audit Data Retrieval RequirementsPWAY
‘CSR+)
IA/SPE/18 Audit Data Catalogue - ADC (Consignia
SIS)
I[A/SPE/19 Audit Data Catalogue (Consignia AP
lients)
[A/SPE/20 Audit Data Catalogue (System
janagement)
I[A/SPE/21 Audit Data Catalogue (Internal Audit)
IRS/MAN/010 ecurelD Normal Token User Guide PWAY
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 2 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
0.4 Abbreviations/Definitions
Abbreviation Definition
AS Audit Server
AW IAudit Workstation
IAWO. IAudit Workstation Operator
IcD-w Writeable CD
DLT [Digital Linear Tape
FTMS IFile Transfer Management System
JOBCS IOrder Book Control System
PA Pathway Auditor
PIN Personal Identification Number
PLUI Pathway Legato User Interface
ICGIA Consignia Group Internal Audit
iPWAY ICL Pathway
IRFI [Request for Information
ISLUL [Standard Legato User Interface
[TMS [Transaction Management System
0.5 Changes in this Version
Version Changes
0.1 (Change from CSR+ to Non release specific document. With
he inclusion of a new section detailing the action to be taken in)
he event of a TMS Audit Trail tape becoming unreadable.
0.6 Changes Expected
Changes
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE
Page: 3 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
0.6 Table of content
I Introduction 6
2 Scope 6
3 Terminology. 7
4 Audit Data Integrity 8
5 Retrieval Schematic. 9
6 Overview 10
6.1 Request For Information. 10
6.2 Marking Files and Tapes 10
6.3 Audit Track Retriever. aI
6.4 Audit Data Check Seal. iW
6.5 Audit Trail Extractor 11
7 Retrieving & Extracting Audit Data 12
7.1 Receiving the RFL 12
7.2. Interpreting the RFL 12
7.3. Login Audit Workstation. 13
7.4 Preliminary Housekeeping 13
7.5 Cluster Determinant. 13
7.6 Targeting the Data Files 13
7.7 Using the Pathway Legato User Interface. 14
7.8 Using the Standard Legato User Interface 15
7.9 Targeting the DLTs. 16
7.10 Reformatting Retrieved Data 16
7.10.1 Reformatting TMS Journals, 17
7.10.2 Oracle Archive Tables 17
7.11 Checking the Seals. 18
7.12 Despatch of Audit Data 18
8 Introduction to R-Query 20
8.1 Invoking R-Query and Connecting to a Correspondence Server. 20
8.2 Restoring Retrieval Scenarios 21
8.3 Changing Retrieval Parameters 22
8.4 Selecting TMS Fields for Display. 23
8.5 Order By Tab. 24
8.6 Groups Tab. 24
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 4 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
Select Output Medium. 25
8.8 Running the Query 26
9 Failed TMS Tape Procedure 27
9.1 Step 1- Create a new document to record details 27
9.2 Step 2 — Record data content of the failing tape. 27
9.3 Step 3 — Record savesets encompassing period at alternate site. 28
9.4 Step 4— Record Volume Details for the savesets 28
9.5 Step 5—Determine clone tapes required & Volumes to be loaded 29
9.6 Step 6 — Complete a Clone list by Volume. 29
9.7 Step 7 — Validate Clone list 30
9.8 Step 7 — Raise OCP. 31
9.9 Step 8 - File details 31
A Annexes. 32
A. Example (RFI) REQUEST FOR INFORMATION form. 33
B. Example OCP form 34
C. Example Failed TMS Tape Details 35
D. Example TMS Clone OCP form. 38
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 5 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
1 Introduction
The Horizon system generates significant amounts of data that is of interest to Internal
Audit and other groups. The Horizon System Audit Manual (CSR+) [1], and the
supporting <Product> Audit Trail Specifications provide further information on the
structure, form and content of this data, referred to in this document as ‘audit data’.
Subject to certain constraints the audit data must be made available to CGIA or other
authorised groups within timescales established in the Audit Data Retrieval
Requirements (CSR+) [2].
This document establishes the process for requesting audit data extractions and
subsequent activities undertaken to locate, retrieve, extract & filter and prepare for
despatch on behalf of authorised requesters.
2 Scope
Should future releases of Horizon bring about changes to the way that data is extracted
this process will be updated to reflect those changes.
This process applies to ALL audit data extraction requests from outside ICL Pathway.
Requests for audit data extraction from within ICL Pathway will also be subject to this
process although use of the Request For Information (RFI) form is optional.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 6 of 1
ICL Pathway Ltd
FUJ00176267
FUJ00176267
AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
3 Terminology
Within this process certain terms are used which have specific meaning within the
Horizon Audit Solution. They are:
Gatherer :
Sealer
Hoarder
Retriever :
Extractor :
Legato
The module responsible for collecting the audit files from the hosts,
agents, correspondence servers and interface mechanisms. This module
is also responsible for the application of the audit file naming policy.
The module responsible for calculating the checksum seal of each audit
data file before it is written to DLT (tape) by the Hoarder. This value
is recalculated by the Retriever and compared to the original value
when first sealed. Used to ensure data integrity during storage on DLT.
The module responsible for writing audit data files onto DLT at pre-
defined intervals.
The module responsible for retrieving audit data from the buffer file
where it is placed by Legato when requested by the Audit Workstation.
Retriever brings back complete files or groups of files from the DLTs.
Further work may be required to filter out unwanted information,
especially true of the TMS files, using a number of tools available on
the Audit Workstation.
Legato Networker is the storage management application selected by
Pathway to store and manage audit data onto DLTs.
A more complete explanation of these modules can be found in [2].
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 7 of 1
ICL Pathway Ltd
FUJ00176267
FUJ00176267
AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
4 Audit Data Integrity
The integrity of audit data must be guaranteed at all times from its origination, storage
and retrieval to subsequent despatch to the requester. Controls have been established
to provide assurances to Consignia Group Internal Audit that this integrity is
maintained.
During audit data extractions the following controls apply:
a.
Extractions can only be made through the three Audit Workstations, which
exist at Feltham and the 2 Data Centres. These are all subject to rigorous
physical security controls appropriate to that location. Specifically, the Feltham
AW — where most extractions will take place — is located in a secure room
subject to proximity pass access within a secured ICL site.
Logical access to the AW and its functionality is controlled by dedicated
Logins, password control and utilises the NT and Pathway security features
defined in the overall Horizon security policy.
All extractions are logged on the AW and supported by documented RFIs,
authorised by nominated persons within CGIA. This log can be scrutinised on
the AW.
Extractions will only be made by individuals previously notified to CGIA.
Currently this is limited to Pathway Audit and Pathway CS Security personnel.
Any additions will be notified to CGIA.
Agreement has been reached with CGIA regarding their rights to witness
extractions without warning or to request repeat extractions that they can
witness.
Checksum seals are calculated for audit data files when they are written to
DLT and re-calculated when the files are retrieved.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 8 of 1
ICL Pathway Ltd
AUDIT DATA EXTRACTIONS PROCESS
COMMERCIAL IN_CONFIDENCE
Ref:
Version:
Date:
TA/PRO/004
0.1
31-Jan-2002
5 Retrieval Schematic
FUJ00176267
FUJ00176267
AUDIT AUDIT
LEGATO SERVER WORKSTATION
/iew Check I
eal Tal b
‘Seal DB —~ Seal Table] _ intent
— Assurance
iy ——
CHECK SEA TMS JOURNAL <=
Tyr Ful)
Ll (ee)
- wy mace J) a cm) Jol ote
Pere aermever II exeom ar uu —— ue I .
THs coROM Consiga Group
intemal Aut
ORACLE
Taal Sapam
REBUILD ged Or
NIMS Ful)
OPERATIONAL ENVIRONMENT AUDIT EXTRACTOR
Direct ink to
~<
“Tapes
) t
LEGATO TAPE ag _—_l4entity LEGATO USERI I —_laentity & Mark COUNTER “N
CONTROL Tapes INTERFACE Requred Files oe Patway Request For
Internal Audit Information
interpret RFI to
iaman-24.ns Aut Points &
Fine
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 9 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
6 Overview
The process assumes that audit data has been Gathered, Sealed and Hoarded onto
DLTs by the Audit Archive Server. Files will be one of four types :
a. Flattened and compressed TMS Journals from the Correspondence Servers.
b. Flattened Oracle tables output from regular OBCS database purging cycles.
c. Transaction files to and from PO systems and their associated FTMS control
files.
d. AP Client Files
The process is invoked through the receipt of an RFI into Pathway CS Security.
Expressed in business terms, the RFI must be interpreted into its component Audit
Points and Sub-points. This then enables specific files to be identified which, through
the Legato index, targets a specific DLT. Data is retrieved by the Audit Retriever,
formatted as appropriate and then further Extracted against the RFI criteria.
Depending on the extraction method the data can be extracted to standard MSOffice
products before being placed onto CD-W or floppy disc for despatch to the RFI
originator.
The following paragraphs present an overview of each step in the extraction process
and are ordered to reflect the actual processing of a Request For Information (RFI) by
ICL Pathway CS Security.
6.1 Request For Information
All CGIA requests for audit data must be made via the Request For Information form.
This will contain a description, in business terms, of the times, outlets, events, items
activities and required Excel reporting format that the Auditors are interested in. This
request has to be interpreted by Pathway CS Security and mapped onto the Audit
Points and Files described later in this document.
Internal requests (e.g. from Pathway investigations personnel) will typically be in the
form of a PinICL on the ‘Dataextraction’ stack for CS Security.
6.2 Marking Files and Tapes
Based on this interpretation as many files of audit data that are needed to satisfy the
request are ‘marked’ for retrieval. Legato is notified of these files and it in turn
identifies the DLTs containing these files. Legato provides system prompts for
Operators to load tapes and it copies the data into a local buffer area.
6.3 Audit Track Retriever
Polls the Legato buffer area and retrieves any data files found into temporary disk
storage (Export File) on the Archive Server prior to the extraction of relevant data for
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 10 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
use by the auditors. The Retriever provides a second copy of the file which is input to
the Check Seal function.
6.4 Audit Data Check Seal
To assure the integrity of the audit data while on the DLT 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 DLT. The result is maintained in a
Check Seal Table.
6.5 Audit Trail Extractor
This is a facility that uses various tools to extract or reform the retrieved audit data in
accordance with the RFI. It also places the information onto a CD-W, or other
suitable media, for despatch to the RFI originator.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 11 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7 Retrieving & Extracting Audit Data
7.1 Receiving the RFI
a) All CGIA requests for audit data extractions must come to Pathway CS Security in
the form of a Request For Information. An example of this form can be found at Annex
A. The RFI may be mailed, faxed or e-mailed to Pathway.
RFIs will only be accepted from the following named individual :
Graham Ward : CG Internal Audit : Tel f
or one named delegate, to be confirmed in writing by CGIA Internal Audit.
If other parts of the Post Office, or other organisations, require audit data extractions
they must be channelled through CGIA to Pathway CS Security at Feltham.
Contractual turnaround times for the provision of data apply.
b) Internal requests are recorded on the Data extraction Spreadsheet. They
should be logged to record the following information: Requester name, address,
justification (e.g. PINICL no.) and their urgency assessed. Turnaround times are
agreed rather than covered by contract; a reasonable turnaround time will probably be
5-10 days
These requests will be in the form of a PinICL, allowing the requestor’s identity to be
verified. Requestors should state what media are acceptable (e.g. CD-W, email of
WinZipped file up to SOOkB) and are bound by company policy including over the
despatch of confidential data. For TMS files - also referred to as “message store” or
“Correspondence Server”- they should also specify the output file format(s): text, MS-
Excel or MS-Access. (See Section 8 for more information).
7.2 Interpreting the RFI
It is necessary to interpret the RFI by identifying the audit points and sub points that
generated the records that are required and, through the Audit Data Catalogue [3], the
files produced at those audit points and sub points.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 12 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7.3 Login Audit Workstation
(Carry out following procedure to Login and obtain necessary shares
1. Login 1 RR
2. Password iil
3. Domain : PWYDCS
At this point the Secure[D Authentication is invoked. See [4].
Carry out the following procedure to authenticate yourself as an authorised user
[1 Enter passcode : <personal 6 digit PIN and 6 digit SecurelD token display>
The AW will present a blank desktop with a START icon in the bottom left of the
screen. Using pull up <Programs> will reveal the extent of products available for any
subsequent extraction work.
7.4 Preliminary Housekeeping
It is highly likely that an average RFI will need a significant number of files to satisfy it.
To avoid the AW filestore becoming clogged with hundreds of files it is strongly
recommended that a working directory is established on the AW to hold all files
relevant to a particular RFI :
1 Select <Windows_NT_Explorer> from the drop down menu,
2. Set up <New Folder> as D:\audit data\RFI Reference No.
7.5 Cluster Determinant
Note that this step is only required if retrieving TMS Journal files.
It is recommended that this step is carried out BEFORE entering the Retrieval GUI.
Access the Secure Id Admin workstation and use Tivoli Event Console which links in
to the oracle database, to identify the cluster id of a particular FAD.
7.6 Targeting the Data Files
At this stage of the retrieval procedure the AWO can choose to use the Pathway
Legato User Interface (Para 7.7), an ICL Pathway developed intelligent front end, or
the standard Legato User Interface (Para 7.8). While there are no hard and fast rule
around which interface to use the PLUI has obvious benefits when attempting to
identify and mark a large number of files for retrieval.
Note that if you are using the standard Legato User Interface it is still necessary to
register the RFI on the RFI database.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 13 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7.7 Using the Pathway Legato User Interface
The Audit Data Retrieval Service utilises a complex Graphical User Interface (GUI) to
help identify and mark files and also associate those files with the originating RFI.
1. Select <Audit ExtractorClient.CMD> from the main program menu.
2. At dialogue SELECT DATA CENTRE select <Data Centre> required.
3. At dialogue AUDIT EXTRACTOR select <Request> from title menu.
4. Select <New> if new RFI
5. Complete selection fields :
<Requester> Mandatory From drop down menu.
<Date Received> Mandatory Date RFI received in Pathway.
<Date Required> Mandatory Date data required by requester.
<Catalogue Entry> OptionalEnter search criteria into Search Catalogue
<Receipt Reference> Mandatory Original RFI reference
<Access Reason> Mandatory Reason for running retrievals
6. Select <Specify Selection Criteria>.
7. Complete remaining selection fields :
Time Period required <From date> Mandatory Start date of retrieval
<To date> OptionalEnd date of retrieval (assumes today)
File Source required
<Legato Server> Select from drop down Wigan/Bootle
<Tape Pool> Optional
<Filename Template> — Optional
<Update button>
<Audit Point> Optional
<Audit S Point>Optional
<PO FAD> OptionalFAD code for retrieval
8 Tick <Generate volume information with file list> if you wish to see the associated DLT
names
9. Select <Search for Files> or
<Save Selection Criteria> or
<Return to Menu>
10. A list of file names will be displayed in the response part of the dialogue
LL. <Mark> the required files.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 14 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: IA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
[12. Select <Restore Selected Files> I
It is highly unlikely that a single file will hold the information required by the RFT.
Indeed, the broader the date spread or complexity of request the greater the number of
files that will have to be retrieved from DLT.
7.8 Using the Standard Legato User Interface
The RFI must be registered on the RFI database before commencing the retrieval
activity.
1. Select <Audit ExtractorClient.CMD> from the main program menu,
At dialogue SELECT DATA CENTRE select <Data Centre> required.
3. At dialogue AUDIT EXTRACTOR select <Request> from title menu.
4. Select <New> if new RFI
5.
Complete selection fields :
<Requester> Mandatory From drop down menu.
<Date Received> Mandatory Date RFI received in Pathway.
<Date Required> Mandatory Date data required by requester.
<Catalogue Entry> OptionalEnter search criteria into Search Catalogue
<Receipt Reference> Mandatory Original RFI reference
<Access Reason> Mandatory Reason for running retrievals
6. Select <Return to Menu>.
7. <Exit>
The default Legato approach, where the primary search index is the instance of a DLT
hoard, does not allow for quick and easy identification of the required files. If files to
be retrieved are spread across more than I hoarding instance then they have to be
retrieved on a hoard instance basis. For example, if 3 hoarding instances happened in a
day and all 3 contained files of interest to a particular RFI there would have to be 3
separate retrieval runs.
1. Select <Legato_Client_Bootle.CMD> from main program menu
2. Select <Directed Recovery> from <Operations> drop down menu
3. Confirm <mboarc01> as Source Client in dialogue. <OK>
4. Confirm <mboarc01> as Destination Client dialogue. <OK>
Note that Bootle is assumed as the primary retrieval location. There is no difference in the audit data
held at each Data Centre. If Wigan is selected then the <Legato Client Wigan CMD> should be
selected and <mwiarc01> used to confirm Source and Destination dialogues.
5. Select <Change Browse Time> from View drop down menu
6. Select appropriate date button
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 15 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7. Select appropriate Hoard time (note 7:30p)
8. Locate files through Legato directory structure and naming convention [3]
9. <Mark> files using <¥> button on toolbar
10. Select <Recover Options> from Options drop down menu
11. Enter d:\Archiveserver\INTERFACES\RESTORED_AT into dialogue box
12. Select <traffic lights> button on toolbar
Note: The ‘View Versions’ facility on the Legato User Interface can be used to
identify when hoardings took place.
7.9 Targeting the DLTs
Most Retrievals will be made from the TMS18Mnth, NonTMS18Mnth and NON
TMS7Yr tape pools.
In order to achieve next day delivery OSD must be notified before 1200hrs.
Note: The ‘View Versions’ facility on the Legato User Interface can be used to
identify whether the DLTs containing the data are in place.
For example, following the directory tree down as far as the ‘TMS Pool’ branch will
show an entry ‘TMS’. Highlighting this enables ‘View Versions’ to be used.
7.10 Reformatting Retrieved Data
Before detailed extractions can take place using R-Query, Wordpad, Discoverer or
other appropriate tools it is necessary to ‘re-format’ the retrieved data into a format
suitable for access. There are three options :
a. TMS Re-formatter to rebuild a pseudo Correspondence Server.
b. Winzip for flat files that were zipped prior to Hoarding.
c. Oracle Table Re-formatter to rebuild Oracle tables.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 16 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7.10.1 Reformatting TMS Journals
Once the TMS Archive files have been deposited in EXTRACTED_AT they must be
‘built’ into a pseudo Correspondence Server for R-Query to access. Further filtering is
available to restrict the number of Outlet records that are included in the re-build
activity based on the original RFI.
The utility is evoked with the use of the Pathway Audit Extractor GUI
1. Select <Audit Extractor Client> from the programs menu
2. Select <Message store>, <Reset Message Store>
When it has reset successfully
3. Select <Message store>, <Generate Message Store>
4. Enter start date for messages
End date for messages
PO FAD
5. Generate Message Store
Unzipping Zipped Flat Files
It is strongly recommended that files to be unzipped are transferred from the AS to the
AW in their zipped state and unzipped on the AW. This can produce space savings of
the order of 90%.
1. Select <Winzip.CMD> from main program Menu.
Select <Open> and identify zipped file through dialogue screen.
Select <Extract> and establish a new ‘Unzipped’ directory for unzipped datafiles.
Unzipped file will be placed into new Directory
ha ad
Open unzipped files using the <Wordpad.CMD> utility from main program menu
7.10.2 Oracle Archive Tables
These are stored in text format.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 17 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
7.11 Checking the Seals
When Legato recovers a file from DLT a copy is made and subjected to a re-
calculation of the integrity seal. This value is compared to the original value on the
Seal Database and an entry made in the Check Seal table of MatchOK, MatchNOTOK
or MatchFAIL. This activity carries on independently of any further extraction or
filtering activity on the part of the AW Operator.
I. Select <Microsoft_Access.CMD> from main program menu.
2. Using File/Open Database... open the share’d ‘Audit_Seal_DB.mdb’ database that exists on the
mapped drive AS_db on ‘mboarc01” or mwiarc01’
3. A list of 4 database ‘tables’ will be displayed.
4. Position the mouse cursor on the <QUERIES> tab and click.
5. A list of 2 database ‘queries’ will be displayed.
6. Double click on the <Seals Match Check — Normal> icon.
7. You will obtain an extract of the data that is in the <Check Seal Table> of the database.
(Note: only 5 of the available fields from this table, will be displayed. These are:
Request ID Audit Track Match? On At
8. From this point on, all of the ‘Access’ facilities to: sort, filter, export to spread sheet etc. are
available.
9. Should you need to examine the records in the ‘No Initial track table’ i.e. the exceptions, then you
will have to double click on the “Seals Match Check — Exceptions’ icon.
10. You will obtain an extract of the data that is in the ‘No Initial Track Table’ of the database.
(Note: as above, only 5 of the available fields from this table, will be displayed. These are:
Request ID Audit Track Match? On At
11. From this point on, all of the ‘Access’ facilities to: sort, filter, export to spread sheet etc. are
available.
7.12 Despatch of Audit Data
Despatch of the extract data is by the most appropriate means depending on the nature
and volume of the extracted data, and subject to any special requests made on the RFI.
For CGIA requests, the return part of the RFI should be completed with details of the
media used for despatch as well as the date and time of despatch
The Audit Data Extraction Spreadsheet must be updated to record the date that the
extraction activity was completed.
1. Select <CD_Writer_Sofiware.CMD> from main program menu
Maximise dialogue box
Drag & drop to bottom dialogue box
2.
3. Select files required in top dialogue box
4.
5.
When complete select RED dot <Red>
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 18 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
6. Create ‘Closed’ CD
7. Save layout as RFI_id
The media is despatched to the CGIA contact using Royal Mail Special Delivery. This
ensures that a receipt is provided to Pathway confirming delivery.
For internal requests, it will usually be convenient to email the extracted data file to
the recipient, although in the case of large files (>100kB) this is ideally done at the end
of the working day. The alternative is to arrange despatch/collection with the recipient.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 19 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
8 Introduction to R-Query
R-Query is an interrogation tool used to extract data from a Correspondence Server. It
has powerful SQL type features which are used to define the extraction scenarios and
the ability to output the results to standard MS-Office utilities.
It is a vital element in the Audit Workstation toolset and requires that a
Correspondence Server exists on one of the Audit Servers. Details on how to achieve
this pre-requisite can be found earlier in this procedure.
8.1 Invoking R-Query and Connecting to a Correspondence Server
13. Select <Riposte-Query.CMD> from main program menu
'S-Riposte Quoty {UK} V3.3. Not yet connected to a message store Es
i
‘Conmect to Message Sore on
Poste devas
Suggastions for enhancements or Bug fixes to Brian Orzet at Pathway.
ie)
1. Select <Connect to Message Store on>
When asked type <mboarc01> if connecting to Bootle AS or
3. <mwiarc01> if connecting to Wigan AS.
4. When asked to justify the usage of the system type <RFI Reference> See [1].
5. You will be automatically transferred to the <Save and Restore> Tab
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 20 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
8.2 Restoring Retrieval Scenarios
The <Save and Restore> dialogue provides the opportunity to restore scenarios that
have already been scripted for further use.
‘=. Riposte Query (UK} V3.3. Connected to Server MWIARCOT (Group:0 Nod
i
I Sev endetng aves wing LOCAL dikes Save ane ioe tis ng Mestge Ste
I [evAvaestay ease I
Save] Reieve I _Change eran
= Betiove
Queries con be in the Riposte -Ceboxd
store. orn disk files. uel call Grog ipose [999996
Fun vey
Scenarios for re-use exist at two levels :
> Those that are associated with the current Correspondence Server.
> Those that have been saved to an external file or Catalogue.
Scenarios associated with the Correspondence Server exist only while that particular
CS exists. If you believe that an extraction scenario is likely to be re-usable it’s as well
to remember that unless the scenario is saved to an external file it will not be available
if a new CS is built for another retrieval exercise.
Use these steps to re-use scenarios associated with current Correspondence Server.
1. Go to <Message Store> window.
2. Select <Refresh> to list all scenarios associated with the current Correspondence Server.
3. Highlight the required scenario and select <Retrieve Query>.
OR
Use this step if retrieving scenarios from the Catalogue.
1. Locate stored scenario from the Catalogue via the <Retrieve Query from File> button using the
<Change filename> to browse as required.
At this stage you will have retrieved the scenario complete with the parameter setting
used on the last retrieval activity. If you want to change any of the parameters you will
need to go to the <Where> tab.
Enter the required Post Office (FAD) code into the <Group ID:> field if it is not
shown.
8.3 Changing Retrieval Parameters
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 21 of 1
FUJ00176267
FUJ00176267
‘=. Riposte Query (UK) V3.3. Connected to Server MWIARCOI (Group-0 Node: 41) Es]
ICL Pathway Ltd va IE ay oy I a eee se ee 004
-2002
_Aasaiite I
Bc _I
Messages will only be used if they ae these criteria. See the documentation for
bidet eh silanasetd lass (Note for UK: a Group = Post Office FAD code)
un Ques
Note that the current version provides significant amounts of assistance with regard to
the structure of the query statement. An ‘Examples’ button allows search parameters
to be retrieved and tailored (e.g.):
(Date DGE “29-May-2000”) AND (Date DLE “01-Jun-2000”)
for all dates between 29 May-1 June 2000.
Date DEQ “31-May-2000”
for this day only.
Enter the required Post Office (FAD) code into the <Group ID:> field if it is not
shown. If you want to change the TMS fields that will be visible following the retrieval
you will need to go to the <Select Cols> Tab.
Note: Riposte Query can only work with one FAD code (GroupID) at a time. It will
need to be run separately for each Post Office, remembering that by default it may
delete the previous output file (see Section 8.7).
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 22 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
8.4 Selecting TMS Fields for Display
‘=. Riposte Query (UK]V2.3_ Connected to Server’ MWIARCOI (Group: Node:41) E)
a
I BxpartEnie Messages
eee 7 Add CAP and BP Rollover Data
Hlemove <<
Select the columns tor your report. If desired. can also include the entire
contents of all matching records in the spreadsheet. (Double click to edit)
Fun Quay
Note that the current version provides lists of available fields per Horizon application
which can be selected by highlighting and pressing <Add>. Alternatively to reduce the
numbers of fields displayed highlight field in the window and press <Remove>.
If you want to retrieve the entire message for your given selection parameters
<Remove> all entries in the window and put a ‘x’ in the <Export Entire Messages>
field.
Optionally a field “Add CAP and BP rollover data” can also be checked.
You may now want to choose how the results of the retrieval will be presented. To do
this go to the <Automation> Tab.
Note: For TMS extractions, “Export Entire Messages” will normally be checked; the
field “GroupID” is typically the only one selected via the “Add” button, ensuring that
all rows are linked to a FAD code in the output file.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 23 of 1
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS
COMMERCIAL IN_CONFIDENCE
Version:
Date:
Ref:
FUJ00176267
FUJ00176267
TA/PRO/004
0.1
31-Jan-2002
8.5 Order By Tab
Selecting the parameter “Sort By Date” is recommended to ensure ascending time
sequence (where appropriate).
fe Query (UK}V3.3 Connect
jecMWIARCOL (Group:0 Node:41)
area
[st [me oe I
Ad. [<Anmibute TwnData Start Date><Type:Date><OrderForward>
<Atribute TanData Start Time><Type'String><OrderForward>
Rasmove <<
Seat By Date
feport There is no sorting performed across offices.
‘The messages in the report will he sorted in the order specified, Note that it
the report covers multiple offices. each office will produce its' own sorted
Fun Quen,
8.6 Groups Tab
The Groups tab on the R-Query tool is a remnant from the aborted Benefit Payment
Card system. All of the fields should be blanked.
‘= Riposte Query (UK} V3.3
ted to Server MWIARCOI (Group:0 Node:41)
me] om [oe Se Le]
ANGroups Containing ———— SS
Card 1D: {5332003290547630I_eSindex NINO.
Connect
nasesa7e
PaymentiD:[HtoAS702 Estado EODDate
Uke: MMSE CSindexHDTranId fiz vice —
CSindex HDPaymentiD
SexchAl I indexed search across all oficos_ Se
Adio» I Bemove < Petr Mule uses
Tan search a single group, specified groups, or all groups with records for a
given Card or Payment. (Note for UK: a Group = Post Office FAD code)
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE
Page: 24 of 1
ICL Pathway Ltd
INCE
AUDIT DATA EXTRACTIONS PROCESS
Ref:
Version:
Date:
FUJ00176267
FUJ00176267
TA/PRO/004
0.1
31-Jan-2002
[Tomtom
tone Boat Er
I Factors tum I
I om temtioseces
TF Aone Boaters
I Peseeses
F fom Tae
ony
8.7 Select Output Medium
Note: By default a text output file is created as C:\Audit\test.txt. In the current version
there is also an option to export to an MS-Access database (default name when
selected: C:\Audit\test.mdb) and an Excel spreadsheet (default name when selected:
C:\Audit\test.xls).
If you want to export the retrieved message to either an Excel spreadsheet or an
Access database the enter ‘x’ in the <Automatic Export to Excel> or <Automatic
Export to Access> field. Using the template.qry file found in d:\audit data gives the
following report format:
cel
Ta ter beet fone oe Bon ren Hee
‘Dlele) alale) sltielo} ole] rll gla wlelsl Fle
be oo =) wl zi ul & lela] oF I 3] a
A
ar
Bales
[Riposte Messane Query UY
Date Time Logon
23MaeS7 152402 SETUPOI
24Mar97__07.0868 SETUPOI
24-Mar97 10:38:30 SETUPOI
2t-Mac97 10.4501 BBANT
2kMac97 1220-18 BBANT?
24-Mar97__1307.01 BBANTT
2k-MarS7 1359.05 BBANT!
24MacS7_ 17.04'34 BBANT
25MarS7 08:12:04 BBANTT
25MacS7 09.43.37 BBANT
25Mac7 10.2652 BBANT!
HM Sheett {Shea 7 Sheed Shewld X Shade [Shae I «
Ready ‘Sure
PREBSEEEFESEEI
7
zon woie7
EF fim 210M
ees sei
[5
Fe fseec EsL.g00)
Tlieys kay Anite Date><Type Dsl Order Forward>
[ ‘kay Arte Tne Type Sting» Order Fenvnds>
Details of the query statement used will appear on the spreadsheet and this provide the
evidence to CGIA of the search criteria used, in other words, how their RFI has been
interpreted.
8.8 Running the Query
Normally you would not actually execute the retrieval scenario until such time as you
had built the query statement (Section 8.3), selected the fields (Section 8.4) and chosen
the output medium (Section 8.7). However, at any time in this sequence you can run
© 2001 ICL Pathway Ltd
COMMERCIAL IN-CONFIDENCE
Page: 25 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
the query statement by selecting <Run Query> using the button on the “Connection”
tab screen.
Enter the required Post Office (FAD) code into the <Group ID:> field if it is not
shown.
Once this has been done an intermediate screen will be displayed, allowing the file
format to be confirmed — select the <Excel> or <Access> buttons or the “text” icon, as
appropriate to commence loading the package and complete the data transfer. This will
also allow the data format to be checked on-screen.
Note: In the case of very large Correspondence Server files spanning a number of
days, an error may be generated on trying to save an Excel file. This will be because
the maximum number of rows (records) has been exceeded. Should this occur, the
range of dates should be covered, say one or two days at a time, and a number of
output files generated.
In rare cases it will theoretically be possible to produce a text output file that is too big
to be read by Wordpad. Should this occur, a possible response is to produce output
files for a smaller range of dates, or to initially create data as an Excel working file
which you can ‘Save As’ “Text, OS/2 or MS-DOS”.
It is good practice to check that all output files can be opened before they are copied
to floppy disk or CD-W for onward transmission.
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 26 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
9 Failed TMS Tape Procedure
This section specifies the action to be taken in the event of a TMS Audit Trail tape
becoming unreadable.
The process will ensure that the TMS audit trail at the alternate site to that of the
failing tape has a resilient copy taken in order to maintain two copies of the Audit
Trail.
9.1 Step 1 — Create a new document to record details
This initial step handles the creation of a Word document to record the details of the
failing tape, and later capture details of the Cloning required.
Create a new Word document from the template TMS tape fail. See Annexe C.
Record the tape details in Table 1
9.2 Step 2 — Record data content of the failing tape.
This step records the details of the savesets held on the failing tape and thus identifies
the data that cannot be accessed.
From Networker Administrator select the Volumes Tab and locate the failed tape.
Double-click on the failed tape and record the details in Table 2
Note: record the date in American format as held by Legato
Do not record savesets marked as RECYC
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 27 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
9.3 Step 3 — Record savesets encompassing period at alternate site
This step records details from the audit archive at the ALTERNATE site to the failing
tape of savesets which span the period of data held on the failing tape.
From Networker Administrator select the alternate Audit server from the Indexes tab
Select the Index for the server (i.e. server name) double click. Takes a few mins.
From the index list select D:\Archiveserver\Hoarded_AT\TapepoolBackup\TMS_Pool
and press the <Details> button.
From the list of savesets record those required which cover the period with an overlap
of one day each side. in columns 1-4 of Table 3
9.4 Step 4—- Record Volume Details for the savesets
This step records volume details for the savesets identified in the previous step.
From Networker Administrator select the volumes Tab and search through the
volumes for the savesets recorded in table 3.
Care must be taken where the flag is ‘h’ as there will be a continuation volume to be
found
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 28 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
9.5 Step 5—Determine clone tapes required & Volumes to be loaded
This step calculates the data volume which requires cloning and thus gives the new
volumes required to hold the cloned data. It also provides a tape loading list.
Total the data sizes in Table 3 (in Gigabytes) and divide by 70 to determine the number
of Clone tapes that will be required.
Complete Table 4 with the details, and record the TMS Volumes / barcodes for
loading to complete the cloning operation. The barcode details can be obtained from
the Volumes tab in Networker Administrator
9.6 Step 6 — Complete a Clone list by Volume
This step records details of the savesets to be cloned BY VOLUME as this will be
required when producing the OCP.
From table 3 create entries in Table 5 which detail the savesets required for each
volume (which will then be used to construct the OCP)
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 29 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
9.7 Step 7 — Validate Clone list
This step validates that the correct data has been identified and that there are no
‘GAPS’.
For each of the volumes in table 5 check that the savesets are correctly identified
Select Operations / Clone savesets
On the Clone Saveset screen
Set Volume to {volume name}
Clear field Start date
Clear field End date
Set Maximum level ‘radio button’ to Full
Press Query.....
On the returned Clone Saveset Query screen
Check that the saveset date/times listed in table 5 for the volume are present and
contiguous
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 30 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
9.8 Step 7 — Raise OCP
This step raises the OCP required for ISD NT to perform the Cloning work.
Using the template TMS Clone OCP template fill in the required cloning details from
tables 4 & 5 and submit to Pathway SM OSD
For template TMS Clone OCP see Annexe D
9.9 Step 8 — File details
This step provides a record of the work undertaken to preserve the resilient audit data
copy.
Print a copy of the failed TMS tape details document and the OCP and file in the audit
problems archive
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 31 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
A Annexes
A Example RFI form — for CGIA contact use
B Example OCP form — tape reload request (page for data extraction user to
complete)
Cc Example of TMS tape fail template
D Example of TMS Clone OCP template
(unnumbered pages follow)
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 32 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
A. Example (RFI) REQUEST FOR INFORMATION form
(Originator: [Internal Crime Policy & Date: IDD/MM/CCYY
Standards Manager
Post Office Counters Ltd.
1" Floor, Impact House
2 Edridge Road
(CROYDON CR9 IPJ
\Telephone: IRef No. (originator) ##/01
Priority: irgent [Ref No. (Pathway)
[Routine x
(Other
Information Requested
[Date range: [Post Office ids
IFAD ***/"*
ame of PO
[Format requirements:
rror notices.
kategory in a separate column):
[Balancing Period; Cash Accounting Period;
[Type; Amount £p
individual transactions are linked
IGeneral Description/ IA report of all transactions and events for the office for the relevant
Kdays, including remittances received, transfers between stock units and
e would like the following format for logs (in Excel format with each
Session Type - i.e. Serve Customer, Reversal. Rem In etc. Transaction
10; Session Indicator; Date; Time; Stock; User ID; Transaction
Session Indicator is whatever way the system has of indicating that
\Specific Details: Sorted by time within days
Signed [Date
IDD/MM/YY
B. Example OCP form
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 33 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: IA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
PATHWAY TAPE LOADING REQUEST : __TLNRnnnnn
Requested By: **** ****** (C§ Security/ Audit)
Date Raised: dd/mm/yy
System Id: m**arc01
IREQUESTED TAPE SERIAL No(s): Tape serial nos. are:
ITMS 000 (A00000), TMS 000 (A00000), TMS 000 (A00000), TMS 000 (A00000),
ITMS 000 (A00000)
Date Required: dd/mm/yy
Required Until:
(if known) dd/mm/y provisionally
[Reason for tape load request:
To satisfy Pathway Internal Audit (PO**/00).
To be Implemented by: OSD
Technical Support Completion Agreed
DATE
Signature
OSD Service Management Completion Agreed:
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 34 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
C. Example Failed TMS Tape Details
Failed TMS Tape Details
Table 1 — Failing Tape Details
Site
[Tape Name
[Barcode
Table 2 — Failing tape saveset contents
[Date (mm/dd/yy) \Time Data Size SSID
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 35 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
Table 3 — Alternate Site savesets covering period
SSID. Data size (Gb) I Date (mm/dd/yy) I Time Volume I Con flag I Cont.Vol
Table 4 — Volume Loading table
Volume / Quantity Barcode
Clone tapes required
TMS Volumes
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 36 of 1
FUJ00176267
FUJ00176267
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
Table 5 — Required Savesets by Volume
Volume Saveset Date (mm/dd/yy) {Time
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 37 of 1
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS Ref: TA/PRO/004
Version: 0.1
COMMERCIAL IN_CONFIDENCE Date: 31-Jan-2002
FUJ00176267
FUJ00176267
D. Example TMS Clone OCP form
OocP REQUIRED IMPLEMENTATION: ASAP
Summary: Take a copy of TMS Audit data volumes to provide resilience for the
period where a volume has become defective .
RAISED BY: Richard Laking IApproving Team :-
CHANGE AT (LOCATION): {Enter site} ICL OSD UNIX SUPPORT TEAM
TYPE OF CHANGE Media Copy ICL OSD NT SUPPORT TEAM.
MACHINE ID {Enter machine} CL OSD NETWORK TEAM.
SERVICE ID: ICL OSD STANDBY SUPPORT TEAM,
SCHEDULED DURATION: ICL OSD SMG TEAM,
SERVICE AFFECTING (Y/N): N ICL OSD SMC TEAM.
PRIORITY: (H /M/L) nH ICL OSD SERVICE MANAGEMENT
RISK: (H/M/L) L PATHWAY SERVICE MANAGEMENT
BUILD AFFECTED (¥/N): PATHWAY SSC SUPPORT TEAM
REQUIRED ON LST RIGS (Y/N). N ”ATHWAY DEVELOPMENT TEAM
CALL REF No N&a PATHWAY SECURITY
ORIGINATORS REF No OTHERS
DETAILS AND PURPOSE OF CHANGE :
The purpose of the change is to provide some resilience for failed TMS Audit tape {Enter failed tape
Name and site}.
This will be achieved by Cloning savesets at the alternate site which cover the same period so as to
provide a ‘second’ Audit trail copy
1 Introduce {NO of Clone tapes from table 4} new volumes to the Default Clone Pool
and label them
2. Load Volumes {Enter ALL T
Volumes / barcodes from Table 4; READ ONLY
3.Start a Networker Administrator Session
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 38 of 1
ICL Pathway Ltd AUDIT DATA EXTRACTIONS PROCESS
COMMERCIAL IN_CONFIDENCE
FUJ00176267
FUJ00176267
Ref: TA/PRO/004
Version: 0.1
Date: 31-Jan-2002
4. Clone tapes
Select Operations / Clone savesets
On the Clone Saveset screen
Set Volume to {Ist volume in table 5}
Clear field Start date
Clear field End date
Set Maximum level ‘radio button’ to Full
Press Query.....
On the returned Clone Saveset Query screen
Select entries {record each date/time pair for volume} by using CTRL and
clicking on each
Set the Clone Pool field to default clone
Press Clone button
{repeat above block for each additional volume entry in table 5}
5. On completion unload the TMS volumes and replace on the rack and the Default
Clone volumes and store safely .
TEAM TO BE ACTIONED BY : ISD NT
REGRESSION ACTION : None required
DATE SENT TO CUSTOMER : [DATE AGREEMENT RETURNED (DATE COMPLETION NOTIFIED :
SERVICE MANAGEMENT GO AHEAD AGREED:
DATE
ELECTRONIC SIGNATURE
VARIANCE AND OTHER NOTES ON IMPLEMENTATION
TECHNICAL SUPPORT COMPLETION AGREED
DATE
ELECTRONIC SIGNATURE
SERVICE MANAGEMENT COMPLETION AGREED
ATE
ELECTRONIC SIGNATURE
© 2001 ICL Pathway Ltd COMMERCIAL IN-CONFIDENCE Page: 39 of 1