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Document Title:
HORIZON DATA CHANGES PROCESS WORK INSTRUCTION
Document Reference: SVM/SDM/PRO/4293
Release:
Abstract:
Document Status:
Author & Dept:
Not applicable
Fujitsu internal work instructions stating the scenarios under which
Fujitsu specialist support staff make changes to Live data to
maintain the effective operation of HNG-X.
APPROVED
Sandie Bothick & Steven Browell
External Distribution: N/A
Information Classification: See section 0.9
‘ae Author
Steven Browell
Management Consultant & CISO See Dimensions for record
Steve Bansal
Senior Service Delivery Manager See Dimensions for record
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0 Document Control
0.1 Table of Contents
0 DOCUMENT CONTROL. 2
0.1 Table of Contents. 2
0.2 Document History. 3
0.3 Review Details.. 3
0.4 Associated Documents (Internal & External). 4
0.5 Abbreviations. 4
0.6 Glossary... 5
0.7. Changes Expecte 5
0.8 Accuracy... 5
0.9 Information Classificatior 5
1 PURPOSE & SCOPE.........ccssssssssssessssesssssesessessnsssssseseseseeseesrscsesseesecsessesneseasaseees 6
2 TYPES OF HORIZON DATA CHANGE .........ccccsssesssessesseseeseessstseseessesestseenseseoees 6
3 CHANGE MANAGEMENT...........ccecscsssssssssssesssescsesesersenessenseseseensesesesseneeseseseesenee 6
4 DEFINED SERVICE OBLIGATIONG..........cssssssssssssescseseseteesesstseessestseasesseeeneeers 6
5 HORIZON DATA CHANGE PROCESG........cscsssssssssessesessereeenssretsesssnessesseneeseseee 7
5.1 Overview...
5.2 Investigation Stage — the Incident.
5.3. Taking the Action Required.
5.3.1 Process Overview...
5.3.2 I Obtain POL Approval.
5.3.3 Obtain Fujitsu Approv:
5.3.4 Grant Additional Elevated Privileges - if require:
5.3.4.1 Reporting on Granting of Additional Temporary Elevated Privileges.
5.3.5 Make the data change............
5.3.6 End the process — closing the Incident...
5.4 Reporting on Horizon Data Changes.....
6 CONTINUOUS IMPROVEMENT..........cccsesessssseseseseeeesensssstseseenensesseenseesecasaeeeees 1
APPENDIX A — POL AD-HOC FORM EXAMPLE..........s:ssssssssssssssseessensesesseesseeeseeesers 12
APPENDIX B — EVIDENCE EXAMPLEG..........csssssssssssessesssesessesenssssesesseeestaseseeeeeeeees 13
B.1 SQL Evidence...
B.2 _ File Removal Evidence.
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0.2 Document History
Only integer versions are authorised for development.
Version No. Summary of Changes and Reason for Issue Associated Change
CP, CCN or PEAK
Reference
01 28/06/2021 Initial Draft Include if known
0.2 29/06/2021 Reorganised document structure and removed some
unnecessary sections
03 13-May-2022 I Revised in response to review comments
04 01 July 2022 I Revised in response to review comments
0.5 07 July 2022 I Improved structure of content
0.6 08 July 2022 I Revisions after feedback
07 15 July 2022 I Further revisions after feedback from SecOps
08 20 July 2022 I Further revisions from MAC and SSC
09 27 July 2022 I Further revisions from feedback from SecOps, MAC
and SSC. Added Change Management as a scenario
Changed APPSUP to “elevated privileges” as a better
definition — and in readiness for inclusion of Post
Office Cloud processes into this document. Expanded
acronyms on first use
1.0 01- Aug 2022 I Approval version
14 01-Aug-2023 I Change to “Optional Review” list. Change to “Issued
for Information” list. Update to “Abbreviations” list.
Update to section 5.3.4
1.2 10-Aug-2023 I Change ‘script’ to “command” in section 5.3.4.
Append “(or deputy if unavailable)’ to Fujitsu approval
named role, section 5.3.3.
2.0 11-Aug-2023 I Approval version
0.3 Review Details
Review Comments by:
Review Comments to: Steven.browell@~ 4
PostOfficeAccountDocumentManagement@
Mandatory Review
Role Name
Management Consultant & CISO Steven Browell
Senior Service Delivery Manager Steve Bansal
SSC Manager Adam Woodley; GMBXSSCDutyManager@_
MAC and OBC Service Delivery Manager Sandie Bothick
Information Security Manager (Security Governance) I Chris Stevens
Information Security Manager (Security Operations) I Farzin Denbali
UNIX Team PostOfficeAccountUNIXTeam@_
Optional Review
Role Name
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MAC and OBC Service Control Paul Elmes
MAC and OBC Service Control Simon Cutmore
MAC and OBC Service Control Hamid Abdul
MAC and OBC Service Control Emma Millman
MAC and OBC Service Control Jacqueline Wilcock
Security Analyst Jack Steptoe
Security Analyst Beverly Brown
Security Analyst Ifran Khan
Security Analyst ‘Andy Dunks
Problem, Defect & Quality Manager Matthew Hatch
Document Manager
Matthew Lenton
Issued for Information
(*) = Reviewers that returned comments
Name
PostOfficeAccountDutyManager
MAC Team mac.uk@}
POA SecOps CSPOA Security@
0.4 Associated Documents (Internal & External)
References should normally refer to the latest approved version in Dimensions; only refer to a
specific version if necessary.
Reference Version Date Title Source
PGM/DCM/TEM/0001 I See note I See note above POA Generic Document Template Dimensions
(DO NOT REMOVE) I above
PGM/DCM/ION/0001 POA Document Reviewers/Approvers I Dimensions
(DO NOT REMOVE) Role Matrix
0.5 Abbreviations
APOP Automated Payment Out-Pay
APPSUP- Application Support — an Oracle database role that provides elevated privileges
ccD Contract-controlled document
CSPOA Cyber Security Post Office Account
GUI Graphical User Interface
HDC Horizon Data Change
MAC. Major Account Controller
MID Merchant Identifier
MSAD Microsoft Active Directory
NWH Normal Working Hours (09:00 to 17:30 Monday to Thursday and 09:00 to 17:00
Friday — UK time - excluding UK Bank Holidays)
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OBC Operational Branch Change
OOH Out Of Hours (times outside of NWH)
POC Post Office Cloud
PODG Post Office Data Gateway
POL Post Office Limited
RDMC Reference Data Management Centre
SQL Structured Query Language
TID Terminal Identifier
0.6 Glossary
Term Definition
TISNow Fujitsu service management toolset
Bonded A developed feature of the Fujitsu TfSNow service management toolset and the
POL ServiceNow service management toolset that allows an Incident to be linked
allowing defined updates to replicate in both directions
0.7 Changes Expected
Changes
This document relates to live data changes in Belfast and will need to be updated to include Post Office Cloud
(POC) once POL and Fujitsu processes are defined
Removal of Clear Failed Recoveries as a Defined Service Obligation when Release 72.20 is deployed.
0.8 Accuracy
Fujitsu Services endeavours to ensure that the information contained in this document is correct but, whilst every
effort is made to ensure the accuracy of such information, it accepts no liability for any loss (however caused)
sustained as a result of any error or omission in the same.
0.9 Information Classification
The author has assessed the information in this document for risk of disclosure and has assigned an information
classification of FUJITSU RESTRICTED (COMMERCIAL IN CONFIDENCE).
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1 Purpose & Scope
This document describes the process Fujitsu will follow when making data changes to the Live HNG-X
System in Belfast. It includes the three scenarios that can apply: Change Management; Defined Service
Obligations; and the Horizon Data Change Process.
This document states the actions required, and the local work instructions used, by the teams to perform
the necessary Horizon Data Change Process tasks. Each action clearly states the involvement of Post
Office Limited (POL) in the process.
NOTE: Out of Hours (OOH) will follow the standard Post Office Account (POA) OOH processes.
2 Types of Horizon Data Change
The following are situations that mean that Fujitsu needs to make changes to data in the Live HNG-X
System in Belfast:
1. Change Management - typically operational or project changes that follow the agreed POA &
POL Change Management processes and approvals
2. Defined Service Obligations — processes that are defined in contract-controlled documents
that require the intervention of Fujitsu specialist support staff. POL pre-approval is not required
3. Horizon Data Change Process — all other scenarios not covered under Defined Service
Obligations. All of these require explicit POL pre-approval, and, in some cases, this will include a
requirement for Fujitsu specialist support staff to be granted temporary additional elevated
privileges (Sometimes known as the APPSUP role) to be able to take the action required
These are described below.
3 Change Management
Changes may be submitted following the defined change management process on POA that require Live
data to be changed. This should be described within the change description and approved by POA and
POL as part of the standard approval procedures and using the agreed service management toolsets.
4 Defined Service Obligations
There are several defined service obligations held within agreed contract-controlled documents (CCDs)
that require Fujitsu to make changes to data in the Live HNG-X System in Belfast. These are shown
below with a summary description. The relevant Fujitsu specialist support staff always have the
necessary privileges to perform these actions. The involvement of POL in each is stated:
1. Clear Failed Recoveries (script)
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¢ Part of the Fujitsu Reconciliation Service (SVM/SDM/SD/0015 & SVM/SDM/SD/0020).
The Fujitsu Reconciliation Team raise Peak tasks for anomalies identified which then
leads to the MAC team to raise a Fujitsu Change for SSC. Once the Change is approved
internally by Fujitsu, the SSC run the required script. This happens frequently.
2. Clear Automated Payment (AP) Exceptions (GUI)
¢ Part of the Fujitsu Reconciliation Service (SVM/SDM/SD/0015 & SVM/SDM/SD/0020).
The Fujitsu Reconciliation Team raise Peaks for anomalies identified which then leads
to the MAC team to raise a Fujitsu Change for SSC. Once the Change is approved
internally by Fujitsu, the SSC use the web GUI. This happens frequently.
3. Generate Reference Data / Integrity checks / Progression to Live
e Part of the Fujitsu Reference Data Management Service (SVM/SDM/SD/0013 &
CS/PRD/058). POL Data Services raise Reference Data requests via the email gateway
PEAK@} iwhich generates a Peak task. Requests are only accepted from
specific mail addresses. Fujitsu generate data for POL as per its request
and then move the generated data into a specific directory. The data is then loaded to
the live database using the Fujitsu RDMC GUI. Changes are made via tooling to the
RDMC database.
4. Message Broadcast Service (MBS) progression to Live
e Part of the Fujitsu Message Broadcast Service (SVM/SDM/SD/0018). MBS files are
submitted by POL to a Fujitsu group mailbox
PostOfficeAccount.RefDataTeam@” Requests are only accepted from.
specific POL source email addresses. The emails are automatically delivered to Live.
There is no user involvement unless faults occur — typically in the POL data submitted.
5. PODG (OBC19) / Progression to Live
e Part of the Fujitsu PODG OBC19 service within the Data Centre Operations Service —
Annex A (SVM/SDM/SD/0003). POL submit OBC19 forms to Fujitsu by email. Requests
are only accepted from specific POL source email addresses. Fujitsu raise TfSNow
Changes for the Fujitsu teams to perform the required actions. Changes are made via
tooling to generate new XML configuration files.
6. Track & Trace Monthly Despatch Report Cut-off
e Part of CCN1627 and included in the Third Line Support Service (SVM/SDM/SD/0004).
Post Office have an ongoing issue relating to subpostmasters not cutting off their Track
and Trace (T&T) reports (formally known as Office Daily Postal Services Despatch
Report) correctly. Fujitsu Service's 3 Line support team perform a manual check each
month to identify outstanding T&T despatch reports and manually remove all records
above the 1500 threshold.
5 Horizon Data Change Process
5.1 Overview
The Horizon Data Change Process applies to all scenarios where changes are needed to data in the Live
HNG-X System in Belfast that are not stated in the Defined Service Obligations.
This process requires that POL pre-approve the actions Fujitsu need to take and that POL are provided
with evidence of the actions Fujitsu took. The process is managed using the service management
toolsets so that an audit trail is created and retained.
The Horizon Data Change Process may require Fujitsu specialist support staff to be granted additional
temporary elevated privileges in order to be able to perform the actions required.
There can be a variety of reasons why a data change is needed to the Live HNG-X data to resolve an
Incident. Any action to effect a change to live HNG-X data must be approved by POL before the action is
taken.
The following are example scenarios under which this Horizon Data Change Process could apply:
1. Assisted Branch Rollover.
2. Modifying or deleting files on a back-end system.
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Pap &
5.2
Clear Branch Rollover lock (Deleted user/Deleted Kiosk).
Deletion of Orphaned User Sessions.
Clear APOP Exceptions.
Merchant Identifier (MID) / Terminal Identifier (TID) corrections.
Investigation Stage — the Incident
The process starts with an Incident being logged in TfSNow, raised by either POL or Fujitsu. The
Incident must be a bonded Incident. Fujitsu will investigate the Incident and will supply POL with options
and suggested recommendations to resolve the issue. If additional temporary elevated privileges are
required to be able to make data changes to the live HNG-X System in Belfast to resolve the Incident,
then this will also be stated within the Incident update that POL will see.
5.3
5.3.1
Taking the Action Required
Process Overview
If the outcome of the Incident investigation is that a data change is needed to the live HNG-X System in
Belfast, then the following process applies:
5.3.2
: ) + oetais snares
esses Incwent for POL
‘Approval on
+ Final approval
tones POL
Spproval
‘Obtain Fujitsu
Approval Bator]
‘OPTIONAL
ony performed
requred
+ Perform the
approves
Setons and aca
agreed evidence
) + seek approvals
‘and cise a
End the process:
Obtain POL Approval
To request POL approval, Fujitsu will update the bonded Incident with the following information:
1.
2.
What action needs to be taken.
If applicable, Fujitsu will propose a timeframe either at this stage or later in the process.
Otherwise, POL will provide this as part of their approved response.
What steps need to be taken (a plan if required).
What risks should be understood (if action is taken or action is not taken).
POL will then need to raise the POL Ad-hoc form using the information provided in the Incident
and gain the required POL approvals (see Appendix A for an example POL Ad-hoc form). Fujitsu
is not involved in the POL approval process and only requires a final confirmation and
permission to proceed.
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6. POL will update the Incident to notify Fujitsu that approval has been granted with the approvals
and POL Ad-hoc form attached to the Incident as evidence.
7. Fujitsu MAC team will check the POL Ad-hoc form matches the information Fujitsu provided in
the Incident to ensure the approval matches the action Fujitsu need to take. If the POL Ad-hoc
form does not match the information Fujitsu provided in the Incident, then the approval from
POL will not be considered appropriate and the request will be rejected, and POL will need to
either amend the POL Ad-hoc form or a new Incident will need to be raised.
NOTE: POL decide the communication messages and involvement actions with
subpostmasters.
5.3.3
Obtain Fujitsu Approval
Once POL Approval has been obtained a final level of approval is needed by Fujitsu as changes could
have been made by POL to the proposed approach or additional information could have been added by
POL as part of its approval process.
1. If additional temporary elevated privileges are not required:
a.
b.
d.
Fujitsu MAC team will email the Fujitsu Senior Service Delivery Manager (or deputy if
unavailable) for approval.
If Fujitsu service management are satisfied with the details sent to them then they will
confirm via email and the process will continue.
If Fujitsu service management are not satisfied with any of the details, then they will confirm
via email and the process will go back to the Investigation stage for alternative options to be
considered.
Fujitsu MAC will add the Fujitsu service management response to the TfSNow Incident.
2. If additional temporary elevated privileges are required:
a.
d.
The Fujitsu MAC team will email the Fujitsu Senior Service Delivery Manager (or deputy if
unavailable) for approval to proceed and copy CSPOA Security for awareness. MAC team
will include the CSPOA Template in the email:
Does this work require additional temporary elevated privileges
from SecOps Yes/No
When does this work need to occur <<NWH/OOH>>
Time of work dd/mm/ccyy hh:mm
Duration of time allowing completion of work <<Duration>>
If Fujitsu service management are satisfied with the details sent to them then they will
confirm via email and the process will continue.
If Fujitsu service management are not satisfied with any of the details, then they will confirm
via email and the process will go back to the Investigation stage for alternative options to be
considered.
Fujitsu MAC will add the Fujitsu service management response to the TfSNow Incident.
3. If Fujitsu approval has been granted:
a.
Fujitsu MAC team will raise a Change for Fujitsu specialist support staff to perform the
request and link to the Bonded TfSNow Incident.
The Fujitsu MAC team will then assign the bonded Incident to the relevant Fujitsu team, this
will raise a Peak reference allowing updates to be visible to POL.
4. If Fujitsu approval has not been granted:
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a. Fujitsu MAC team will update the bonded TfSNow Incident and notify POL that the process
will need to restart as Fujitsu approval has not been granted.
5.3.4 Grant Additional Elevated Privileges - if required
If additional temporary elevated privileges have been cited as needed, then a process is followed to
grant the relevant Fujitsu specialist support staff with the privileges required.
1. The relevant team will pass the Peak (raised from the bonded Incident) to the CSPOA Security
team for additional temporary elevated privileges to be granted. The Peak will confirm Date and
Time access is required.
2. CSPOA Security check the TfSNow Incident for agreed POL and Fujitsu approvals and that the
request is being made within the stated timeframe. If the required approvals are not supplied, or
the timeframe is incorrect, then the request will be denied, and new timeframes will need to be
agreed.
3. If the approvals have been supplied and the timeframe is correct, then CSPOA Security will
raise an internal TfSNow Incident requesting additional temporary elevated privileges and pass
to the UNIX team.
4. CSPOA Security will update the Peak with the internal TfSNow Incident reference and pass the
Peak back to SSC
5. The UNIX team will grant access to the stated Fujitsu support specialist at the start time required
and will contact the required Fujitsu specialist support staff and confirm additional temporary
elevated privileges have been granted. The UNIX team will update the Incident confirming
access has been granted clearly showing the command has been run with result (see figure
below for example of the type of evidence required). If for any reason TfSNow is not available,
then the UNIX team will need to confirm the time of the command being run to CSPOA Security
and a TfSNow update will be required when TfSNow is operational again.
SQL> grant appsup to ops$(MSAD)
Grant succeeded.
Figure 1: Example of Grant succeeded
6. CSPOA Security will update the Peak with the Date/Time when access was granted by UNIX
7. Once the required actions have been completed, the Fujitsu specialist support staff member who
was granted additional temporary elevated privileges will contact the UNIX team for access to be
revoked.
8. The Unix team will revoke the additional temporary elevated privileges and update the TfSNow
internal Incident immediately confirming access has been revoked and clearly showing the
command has been run with result before passing the Incident back to the CSPOA Security
team (see figure below for example of the type of evidence required). If for any reason TfSNow
is not available, then the UNIX team will need to confirm the time of the command being run to
CSPOA Security and a TfSNow update will be required when TfSNow is operational again.
SQL> revoke appsup from ops$(MSAD):
Revoke succeeded I
Figure 2: Example of Revoke succeeded
9. CSPOA Security will also monitor the timeframe and if they do not receive a confirmation from
the Unix team by the stated deadline then CSPOA Security will initiate the revocation process.
10. CSPOA Security will update Peak with the date/time the access was revoked.
11. CSPOA Security will close the TfSNow internal Incident.
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5.3.4.1. Reporting on Granting of Additional Temporary Elevated Privileges
The granting of additional temporary elevated privileges is recorded using the Fujitsu and POL service
management toolsets and can be reviewed by either party using its own system.
In addition, Fujitsu also report on the granting of additional elevated privileges within the monthly Fujitsu
SecOps report which is shared with POL for its Information Security Management Forum (ISMF)
meeting.
5.3.5 Make the data change
Once the Fujitsu specialist support staff are ready to make the required change, the following process is
followed:
1. The Fujitsu specialist support staff perform the actions detailed on the Change, whilst capturing
evidence of the pre and post implementation states, alongside the committed actions. The
actions will be recorded in the Peak.
2. Within the SSC, one member of the SSC will perform the data correction while a second
member of the SSC will witness the change being made. The witness will be recorded in the
Peak.
3. The Fujitsu MAC team add the evidence to the Change and the to the TfSNow bonded Incident.
See examples in Appendix B — Evidence Examples.
5.3.6 End the process - closing the Incident
Once the required data changes have been made the process of closing the Incident and the Horizon
Data Change Process is performed.
1. The Fujitsu specialist support staff close the Peak with comments and action completed.
2. The Fujitsu specialist support staff close the Change checking evidence has been attached.
3. The bonded Incident with evidence is passed back to POL to review and confirm Incident
closure.
4. POL to confirm the Incident can be closed.
5. POL and Fujitsu close the Incident.
5.4 Reporting on Horizon Data Changes
The actions are recorded within the bonded Incident using the Fujitsu and POL service management
toolsets and can be reviewed by either party at any time using its own system.
6 Continuous Improvement
If, whilst performing any of these actions, Fujitsu identifies a potential defect in any system or process
that requires investigation and a potential fix - whether that would reduce the likelihood of the need to
perform these actions in the future or not — then Fujitsu will raise a Defect which will then be handled
under the POA Live Defect Management process.
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Appendix A — POL Ad-hoc Form Example
The following is a current example of the POL Ad-hoc form supplied by POL at the date of this
Date of request:
Name of person raising the request:
Type of Request:
Reason for Request:
Confirm the actions to be taken:
What is the technical risk / impact?
What is the business risk / impact?
Files which require removal:
Additional information:
document.
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Appendix B_ — Evidence Examples
B.1 SQL Evidence
PRE EVIDENCE (SQL looking for branch user/stock unit)
select u.branch_user, u.stock_unit, to_char(I.last_logon_timestamp, 'DD-Mon-YYYY HH24:MI:SS’) last_logon
from opsSbrdb.brdb_branch_users u
left join opsSbrdb.brdb_branch_user_last_logon I
on u.branch_accounting_code = I.branch_accounting_code
and u.fad_hash = I.fad_hash
and u.branch_user = I.branch_user
where u.branch_accounting_code = 109008
and u.fad_hash = 80
OUTPUT FROM SQL ABOVE
BRANCH_USER STO LAST_LOGON
$$PX50 PX 18-Dec-2019 15:15:19
STATEMENT — (update PX to DEF, Conformation appears below that 1 record has been updated)
update opsSbrdb.brdb_branch_users
set stock_unit = ‘DEF’
where branch_accounting_code = 109008
and fad hash = 80
and branch_user =
'$$PX50"
1 row updated
POST EVIDENCE (Displays the branch user/stock unit)
SQL> select branch_user, stock_unit
from opsSbrdb.brdb_branch_users
where branch_accounting_code = 109008
and fad_hash = 80
and branch_user = '$$PX50', 23.45
BRANCH_USER STO (Output from SQL)
S$PX50 DEF
SQL> commit; (Writing to database, conformation from database below)
Commit complete.
B.2 File Removal Evidence
PRE EVIDENCE
Is -Irt /app/brdb/trans/externalinterface/input_share (List files in directory)
odguser pathway 8478920 Apr 8 03:33 CA20210406 1000003920. TAN
{IRRELEVANT
COMPLETING ACTION
m CA202104061000003920.TAN (Remove file)
POST EVIDENCE
IRRELEVANT tbrdb:>pwd (Displays the present working directory as detailed below)
Jappirdb/trans/externalinterface/input_share
IRRELEVANT: brdb:>Is -I "TAN (This will list any files in the directory that match “TAN, Line below shows there are no files matching)
Is: cannot access *TAN: No such file or directory
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Version: 2.0
UNCONTROLLED WHEN PRINTEDOR _Date: 11-Aug-2023
STORED OUTSIDE DIMENSIONS
Page No: 13 of 10