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Internal Audit Report
HIJ Phase 1 Validation
Ae Context
Following the judgments from the Group Litigation Order, Post Office has undertaken a programme of improvements to overhaul culture, practices and procedures
throughout every part of the business. The Judgment on the Horizon Issues trial (the “HIJ”) was handed down in December 2019. The Judgment identified 15 specific
issues, relating to bugs, errors and defects in Horizon, and the operation of Horizon.
A four phase HIJ Remediation Programme has been set up to address the issues raised in the judgment and to identify and map required activity against each of the
issues. Internal Audit reviewed the HIJ Remediation Programme and Phase 0 activities within the 2020/21 audit plan. This review validates activities and outputs for Phase
1, which are based on rapid fixes identified at the programme outset and additional activities defined during initial investigations.
Audit objective
To confirm that outputs and activities reported as completed for Phase 1 of HI) remediation have been fully delivered and evidenced, that any delayed activities have been
properly communicated, and to highlight progress and concerns in the context of the wider programme, given the status of Phase 1 outputs.
Q Assessment
coed To arrive at our assessment, Internal Audit worked with the Programme Lead, HM and BAU IT teams, and KPMG, to identify activities forming the initial phase of
remediation and to gather evidence to support any internal assessment of completeness. We have highlighted where activities are still in progress, or where there is
insufficient evidence to fully validate the activity.
Conclusion
Significant progress has been made within Phase 1 of the HIJ Remediation Programme, leading to measurable improvements in Horizon processes,
controls and oversight, including more robust management of KELS (Known Error Logs), enhanced testing and oversight of system and data
changes, more secure and transparent Horizon application support, and laying the groundwork for enhanced Postmaster communications and
programme management.
We confirmed that activities proposed at programme initiation are reflected in the Phase 1 Close report. The HIJ requirement to test and close
historic KELS has now been addressed but completion of the remaining Phase 1 activities is not, and was not planned to be sufficient to fully
remediate the remaining HI) findings.
We identified a total of 51 Phase 1 outputs for 21 activities across the 10 workstreams, 42 of which we validated as fully delivered. Nine outputs
across 5 activities have not yet been completed, all of which have been formally flagged and escalated through programme governance
forums. One of these outputs, covering the approach to Non-functional Testing, has been reported as complete for Phase 1, despite being flagged
as delayed in IDG updates and reporting should be updated to reflect this.
Our discussions indicated that challenges with Fujitsu resourcing and engagement was the primary cause for the delays identified and management
are investigating alternative solutions to address this gap.
> > Next Steps
This report will be presented to the July RCC and ARC meetings. Further validation will be undertaken as part of the 2021/22 Internal Audit plan to assess progress against
Phase 2 activity, and to follow up any Phase 1 activities not yet completed.
Post Office Ltd: CONFIDENTIAL Report date: 07/07/2021
mValidated w Delayed
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Executive Summary
Background
Following the judgments from the Group Litigation Order, Post Office has undertaken a programme of improvements to overhaul culture, practices and procedures
throughout every part of the business. The Judgment on the Horizon Issues trial (the “HIJ”) was handed down in December 2019. The Judgment identified 15 specific
issues, relating to bugs, errors and defects in Horizon, and the operation of Horizon.
In response, Post Office have set up an HIJ Remediation Programme, intended to address concerns raised by the Judgment. A summary of the HIJ remediation journey
is attached at Appendix 3. HIJ remediation activity has been split into multiple phases:
+ Phase 0 - Horizon Review
+ Phase 1 - Analyse issues, define solutions and implement immediate fixes
+ Phase 2 - Structured plan to address Horizon issues and integrate across POL
+ Phase 3 - Iterate, embed and sustain the change
Internal Audit reviewed the remediation programme structure, governance and approach, along with Phase 0 activities, as part of the 2020/21 audit plan. This
review validates activities and outputs for Phase 1 (Rapid Fix in Appendix 3). Additional validation work will be undertaken for further remediation phases.
Approach
The purpose of this audit was to consider the outputs of the Phase 1 HIJ remediation activities to confirm whether they were fully implemented and evidenced. We
identified all Phase 1 outputs, matched evidence against all completed activities, and considered the impact of any delayed activities or activities for which we were
unable to obtain sufficient evidence to validate the outputs. We compared this list of activities with the original plan for deploying rapid fixes and with progress
reported within the Horizon Programme Phase 1 Close Out Report.
Conclusion
Significant progress has delivery activities identified for Phase 1 of the HIJ Remediation Programme, with a total of 51 defined Phase 1 outputs relating to 21 activities
across the 10 workstreams. This has resulted in clear improvements in Horizon processes and controls and enhanced oversight of changes to the system and the
data held thereon. A further 5 outputs were identified but we confirmed these related to Phase 2 delivery. Discussions with management indicated that these had
been added to reflect work in progress.
We validated completion of 42 outputs against evidence provided by workstream leads and identified 9 outputs across 5 activities which had not been completed. All
9 outputs have been internally flagged and escalated through the IDG and other governance mechanisms, however, delivery of an agreed approach for Non
Functional Testing is reported as complete within the Phase 1 Close Out report and this should be amended to reflect the additional effort required to close.
Discussions with senior management and workstream leads indicated that engagement with, and resourcing within, Fujitsu has been the primary barrier to the
completion of planned Phase 1 activities.
The HM IT Director has performed an assessment of the risks posed to the overall programme by delays in Phase 1 deliverables. For the majority of outputs,
management consider the impact to be minimal, but additional work is required to mitigate the effect of delays in accessing keystroke logs and transactional data.
We concur with this assessment.
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Executive Summary (cont. )
Conclusion (cont.)
We confirmed that current Phase 1 activities accurately reflect those proposed at programme initiation. These activities form part of an ongoing programme of
remediation and, with exception of Historic KELS, the completion of Phase 1 activities is not, and was not planned to be, sufficient to fully remediate the specific HIJ
findings.
Discussions with workstream leads identified remediation activities delivered independently of the KPMG reported outputs and management should consider how best
to reflect this work.
Management Comment
"I appreciate the complex set of deliverables and outcomes that the IA team have sought to review in this audit report and confirm that the report reflects the overall
progress we have made in remediation of the 15 core judgement findings. This Phase has set the foundations for Phase 2 with workstreams developing their analysis
and solutions for the longer term, while also implementing immediate interim fixes to address critical issues for the Postmasters.
Whilst the audit report calls out 9 areas where they have been unable to fully verify completion I am confident that the majority of these have little impact on our
overall remediation progress. Exceptions to this are shown in the table below (attached at Appendix 6) with their respective impacts and our plans to address in
Phase 2.”
Simon Oldnall - HM IT Director
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Summary of Findings
Fe et dee eee eee
Scope Area: Activity and output validation
i‘ ‘I I Emma williams,
The Phase 1 Close Out report includes outputs which are only partially p2 Horizon Remediation 31 July 2021
completed, and which are now scheduled for Phase 2 delivery. tesa
Improvements developed as part of ongoing BAU processes may not be reflected in Emma Williams,
Phase 1 progress reporting. P2 Horizon Remediation 31 July 2021
Lead
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Scope Area: Activity and output validation
The HIJ Remediation Programme team have tracked activities and outputs as part of their weekly update activities and these are summarised in ‘HZ
Remediation Programme Phase 1 Progress’ reports, compiled with the help of KPMG. Using the 8 July report as a starting point, we identified all
activities and expected outputs designated for Phase 1. For those areas that were reported as complete, we discussed each activity with the
workstream leads and key stakeholders and obtained evidence to match each defined output.
We identified 21 activities with 56 outputs across the 10 remediation workstreams. Some outputs are assigned to multiple activities and we have
counted each such instance separately. A list of all activities, outputs and evidence is attached at Appendix 4 and a summary of the workstreams is
attached at Appendix 5.
Forty-two outputs were confirmed as completed through discussions with stakeholders and through evidence obtained for each output. A further 5
outputs reported in Phase 1 were confirmed as relating to Phase 2 activities and should not, therefore, be included for validation.
Four activities with 8 outputs have been reported as delayed. These have been highlighted to senior management and are included in IDG and
other governance reporting, as well as the ‘Phase 1 Close Out’ report. These relate to activities to address help screen freezing, BranchHub
improvements, keystroke logging, access to transactional data, and regression management. A further output, relating to finalising and integrating
non functional testing, is reported as complete within the ‘Phase 1 Close Out’ report despite being escalated as delayed to the IDG.
The HM IT Director has assessed and communicated the impact of delays to Phase 1 deliverables and believes that, in the majority of cases, the
effect on the HIJ remediation programme as a whole is minimal. However, requirements to address keystroke logging and to access transactional
data are likely to have a greater impact and are being addressed as a matter of urgency. The HM IT Director’s impact assessment and close out
actions for these areas is attached at Appendix 6.
Our discussions also identified BAU and other activity to address HIJ remediation which were not formally reported as part of the Phase 1 activities.
These were largely developed as the programme progressed and were not part of the original Phase 1 remediation plan, however, management
should consider whether reporting on these outputs is required to demonstrate the full range of activity to support HIJ remediation. Enhanced
tracking of actions implemented for Phase 2 should ensure that all remediation work is captured in future. Outputs included include improvements
in privileged access reporting and development of testing templates.
We compared proposed Phase 1 activities detailed in the ‘Horizon Improvements Programme - Objectives, POAP and workstream descriptions’
document initially reviewed by Internal Audit on 2 April 2021 with the currently reported activities and outputs and found that these were in broad
alignment, with additional outputs added to Phase 1 since it’s inception.
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1. The Phase 1 Close Out report includes outputs which are only partially completed, and which are now scheduled for Phase 2
delivery
Finding (P2)
Our review identified 6 outputs across 4 activities which have either not been fully delivered or relate to Phase 2 deliverables.
As per the Phase 1 Close Out report, remediation work to finalise and integrate Non-Functional Testing is currently reported as complete, however
discussions with the HM IT Director and the workstream lead confirmed that additional work is required to finalise this activity.
We also identified 5 outputs across 3 activities, relating to Postmaster communication and Model Office analysis, which are reported as ongoing but
relate to Phase 2 deliverables.
Risk
Programme activities may not be accurately tracked, impacting POL’s ability to deliver improvements to Horizon and address HIJ findings.
Agreed Management Action
The Horizon Remediation Lead will review reporting of Phase 1 activities and confirm that only relevant activities and outputs are tracked, and that
any delayed activities are accurately reported and escalated.
Action Owner: Emma Williams, Horizon Remediation Lead
Date: 31 July 2021
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2. Improvements developed as part of ongoing BAU processes may not be reflected in Phase 1 progress reporting
Finding (P2)
Discussions with workstream leads identified activities which have been developed independently of KPMG and which are not included in progress
reporting.
Progress reporting focuses on those activities delivered as part of the collaboration between POL and KPMG, with KPMG coordinating progress
updates. Process improvements developed in-house as part of BAU improvements, including increased oversight of Fujitsu privileged access and the
creation of testing templates, may not be reflected in management updates, resulting in an incomplete picture of Horizon improvements. Enhanced
activity tracking implemented for Phase 2 will help to address this gap for ongoing remediation activity.
Risk
Management may not be aware of, or able to demonstrate, the full range of activity undertaken to enhance Horizon processes, controls and
functionality.
Agreed Management Action
The Horizon Remediation Lead will identify any key activities and outputs delivered in-house during Phase 1 which form part of the overall response
to the HIJ and include these within the overall narrative for Horizon improvements.
Action Owner: Emma Williams, Horizon Remediation Lead
Date: 31 July 2021
Distribution List
Executive Sponsor:
I Distribution:
I Audit Team:
I Key Dates:
Declan Salter
Jeff Smyth
Simon Oldnall
Emma Williams
Diogo Vidinhas
Jonathan Acres
Johann Appel
ToR
Fieldwork
Draft Report
Final Report
RCC
ARC
HMU Director
Group CIO
HM IT Director
Horizon Remediation Programme Lead
Senior Audit Manager
Audit Manager
Head of Internal Audit
N/A (follow up of HIJ Remediation Programme review)
June 2021
30 June 2021
07 July 2021
13 July 2021
27 July 2021
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Appendix 1 - Terms of Reference
Background:
Following the judgments from the Group Litigation Order, Post Office has
undertaken a programme of improvements to overhaul culture, practices
and procedures throughout every part of the business.
The Judgment on the Horizon Issues trial (the “HIJ”) was handed down in
December 2019. The judgement identified 15 specific issues, relating to
bugs, errors and defects in Horizon, and the operation of Horizon.
POL have instituted a number of initiatives designed to support remediation
and assurance around the HIJ, including:
+ Setting up within a separate business unit, the HM BU, a team with the
objective of providing technical and process solutions to address the HIJ
issues.
+ Enhancing the IT Controls Framework (ITCF) to provide more specific
control definition and evidence provision for Horizon related controls.
+ Engaging a third party, KPMG, to review processes and controls in place
for Horizon and feed into the ITCF.
+ Setting up workstreams within the IT team to review and enhance
controls over Horizon.
+ A review of the Postmaster Journey, being undertaken by Deloitte, the
findings of which will feed into HIJ remediation.
The upcoming Post Office Horizon IT inquiry 2020 will assess whether POL
has delivered or made good progress on issues raised in the HIJ.
This audit forms part of the revised 2020/21 Internal Audit plan, as
approved by POL Audit, Risk and Compliance Committee.
Key Risks:
We identified the following key risks:
+ Reputational - risk of adverse publicity as a result of not delivering
against commitments made to address the results of the various
judgments.
+ Financial - risk of Government funding restrictions due to POL failing to
address the issues raised.
+ Operational — Inefficiencies and rework as actions are not appropriately
and timely implemented or do not fully address the issues raised.
Scope of Audit:
We will undertake an assessment of POL’s approach to addressing the issues
arising out the HIJ. Specifically, we will:
1. Review the strategy and roadmap in place to address the HIJ issues.
2. Assess progress and plans against each of the 15 HIJ issues and any CIJ
issues which have been passed over to HMU IT.
3. Review governance mechanisms and level of coordination in place around
the activities being done to address HIJ issues, including work being done
internally and by third parties (e.g. Postmaster Journey, KPMG review of
Horizon). This includes agreement of remediation, monitoring of progress,
upwards reporting and escalation of issues.
4, Review mechanisms being planned or already in place to ensure lessons
were learnt and improvements are being embedded into the pipeline of key
programmes and activities (e.g. Fujitsu exit strategy, SPM requirements).
Timeline:
Pre-Work: February-March 2021
Field Work: 8 March - 26 March 2021
Draft report: 2 April 2021
Final report 16 April 2021
Audit Team:
Diogo Vidinhas
Jonathan Acres
Reporting:
Senior Audit Manager
Audit Manager
We will produce a report to management at the end of the audit and the
results will be summarised for the May 2021 RCC and ARC meetings.
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Finding ratings Description
P1 (High) Issues arising referring to important matters that are fundamental and material to the system of internal control. The matters observed
might cause a system objective not to be met or leave a risk unmitigated and need to be addressed as a matter of urgency.
P2 (Medium) Issues arising that if not addressed may in time adversely impact the controls environment.
P3 (Low) Issues arising that would, if corrected, improve internal control or efficiency in general but are not vital to the overall system of internal
control.
Report Ratings:
The specific rationale for the report opinion rating will depend on a variety of factors including:
+ The number of control issues identified
+ The priority rating given to these issues
+ The significance of the risks attaching to the area under review
+ The overall status of the control environment for the business area under review
We will categorise our report opinion according to the below rating criteria:
Rating Description
Satisfact oy ee Generally appropriate design and operation of the key controls tested with only minor control weaknesses or process inefficiencies
Needs Some weaknesses in internal controls which need resolving. A number of non-compliance issues with internal and external guidelines and
Improvement weaknesses in records, systems and controls were identified.
Needs Significant Inadequate internal control environment which requires management attention and improvement as priority. A high number of non-
Improvement compliances with internal and external guidelines, weaknesses in records, systems and controls and/or non-compliance with
regulator/contractual requirements. Examples may include reputational damage or inappropriate use of assets.
Major breakdown in internal control environment which requires urgent Senior Management intervention. A significant number of non-
compliances with internal and external guidelines and weaknesses in records, systems and controls were identified. Non-compliance with
regulatory/contractual requirements, risk of significant reputational damage or significant inappropriate use of assets.
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Appendix 3 - Summary of HIJ Remediation Workstreams
Our journey so far to address rapid fix and our plan for beyond...
In scope
for this
review
Rapid Fix phase K
(Oct 2020-May 2021) # %
A number of issues were prioritized on the basis
of the Horizon Issues Judgement (Hi). This
phase set upon addressing the most critical
issues and implementing rapid fixes to
processes, systems and tooling, including but
not limited to:
+ New dispute mechanism and improved end-to-end
tions process
f 62 historical defects, and a new process to
manage current defects
d access management protocols
: ined Horizon governance forums
@ @ Second tranche of Horizon
eee improvements
Fag (Sep 2021- May 2022)
Design and implement improvements
such as; Stock Unit Management and
AP-ADC,
ot
Postmaster IT working
Group established
(June 2021)
A network of 150+ Postmasters
who will be engaged on key IT
topics across Horizon, Branch
(Oct 2020-Apr 2021)
Horizon Review Report
The Horizon Review focused on 6
areas relevant to the HU: Remote &
Privileged access; historic KELS;
Hub and SPM.
@
@
a
First Tranche Of Horizon
improved investigations
process and
transactional data in the
hands of Postmasters
Horizon / GLO team stood up
(Sept 2020}
The Horizon IT team was established
to manage the Horizon IT estate and
its vendors. The team was provided a
clear mandate to effect change and
improvement in Horizon and its
supporting operations.
current KELS; SDLC, Testing & QA;
HNGA robustness. incorporating AP-
ADC and Robustness. The
recommendations made against
each area has informed the Horizon
Improvement programme. activities that will rtth
activities that will support the
f @ reduction of transactional
af corrections,
{Sep 2021- May 2022)
Design and implement data
sourcing and capability delivery
alongside Branch Hub to
surface better data for
Postmasters and Investigative
teams.
Improvements r
(June 2021- Jan 2022)
To design and implement
improvements to the Horizon
User interface (UI), prioritizing
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Appendix 4 - All Activities and Outputs for Validation
CS A A rere I in
Organisational
‘Change
4 ROM IT Governance &
Change
Horizon System Enterprise
Improvements Architecture
Change Impact
1.0 change activity support to
effective planning and integration
of intermediate solutions into the ™™ Williams
Hz ways of working.
1.0 End-to-end IT change process for
AP-ADC scripts & Ref Data
1.0 New mandated IT governance.
1.0 Job Descriptions for prioritised
roles
1.0 KP!/Metrics dashboard v1.0.
0.1 - Assessment of reference data
usage, App Dynamics for CDP
transactions, Data Platform
requirements, Information services
architecture, Instrumentation and
Monitoring Strategy.
Martin Godbold
Dan Addy
1. Finalised programme vision and case for
change.
2. Finalised comms channel assessment and
‘communications strategy.
3. Finalised programme change impact
assessments and ‘bottom-up’ identification
of impacted stakeholder groups.
4, Supported communications for IT Change
MVP for Ref Data and Investigations TOM
1.0.
1. Case for Change.
2a, POL Comms Strategy.
2b. Changes to Hz Info Service
Request comms.
3. POL Change Impact Assessment
Stakeholder mapping
4. Investigation TOM.
1. E2E IT Change process: Process improvements
now live. Impactful Ref Data, including APADC,
now impact assessed from a Post Master
perspective.
2. Hz IT Governance: Forums defined at
management level. Ready for implementation.
3. Job Descriptions to enable Hz team growth
written, HR approved and, where needed, being
recruited against for: H/o Experience & Product
Mgmt, Hz Product Mgr, Post Master Experience
1. Horizon IT_E2E Process for Reference
Data Change.
1. Information Service Requests - User
Guide (on SNOW KB).
1, Simon Oldnall email confirming new
change process.
2. Horizon IT Governance Status.
3. Job descriptions shared.
4, Horizon IT Postmaster Experience
dashboard_210521
Mer, Post Master Exp. Analyst.
4. KPI/Metrics dashboard for the H/o Post Master
Experience & Product Mgmt designed, data
sourced and validated, design approved. Handed
‘over to POL team for implementation.
1.0.1 Reference Data / AP-ADC report.
2. AppDynamics high level design delivered and 1. & 6. AP-ADC script and Reference Data
reviewed. assessment v1.7
3. Data platform functional and non-functional 2. AppDynamics HLD 004
requirements complete. 3. Investigations requirements 0.4
4, Instrumentation & monitoring strategy work 4. Instrument Monitoring Strategy draft
complete. v0.4
5. Review of HNG-A functions with FJ complete. 5. HZ services catalogue v6
6. Finalised report (Dan Addy) on the findings 6. See 1.
from the deep dive sessions complete.
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Appendix 4 - All Activities and Outputs for Validation (cont.)
Je] wovtstcam I ares I pian I teas I Retest I pase rompute I evcence ceived I vatiaate I
1.0.1 AP-ADC / reference data report updated _1, AP-ADC script and Reference Data
Horizon System 7. Horizon HNGA 0.1 - Recommendations to improve Bar aney from comments. assessment v1.7
Improvements software issues _ processes and review AP-ADC / ref data 2, Improvement plan complete and moving to _2. Horizon System Improvements Charter &
implementation. PoAP
1. (a) Existing help screen freezing the counter -
Delay target to confirm root cause is 11 Jun using
IAppDynamics.
2. (b) FJ producing options for Hz help
improvements to BranchHub on counter ~
{transferred to BranchHub programme.
IAppDynamics deployed to find root cause of help
screen problems. Target to confirm root cause is
lend 11 Jun for help screen freezing. Close out
requires complete assessment of help screen
freezing root cause, then develop, test and
implement solutions.
1, The paper based FJ managed process is now a
formal process owned, managed, executed by POL,
with KELS from all third parties. Service Now is. 1. Email from Cherise Osei confirming MVP
I being used to run the whole process, and isthe SNOW Ref Data Change release included as
3.0 -Fully embedded process into 5 ;
/ source of all evidence. All current defects are being BAU change and therefore not formally
6 Testing S-Current KELS —ServiceNow and have complete control Harsh Soman ash
iy eaing managed within this new process. captured as a change.
ul . 2. This has moved to BAU process, with 2. HJ Phase 1 Remediation Activities -
improvements to root cause analysis tooling and SNOW screenshots
management by Service Now Reporting and
Horizon System 13. Horizonhelp 0.1 — Define and agree requirements
Fi f : Dan Add
Improvements improvements _ for technical solution an Aday
N/A
analysis components.
1. All historic KELS testing complete (27 KELS / 62
BEDS).
2, Engagement with Postmasters to review reports
in progress. (Ph2) 1. TSTOTREP4269
3, Engagement with Postmasters in progress, 1, POL_Test Clsoure Report - Historical KELS
‘working with Postmaster Union on the report for v0.5
KELS closure, waiting on feedback. (Ph2) 1. Historic KELS Closure Report v0.1
4, FJ and POL test closure reports will be closed
and meeting held to walk Postmaster through. CEO
‘of Postmaster Union has reviewed, no issues, (Ph2)
7 Testing 6a Historic KELS - 4 9 _ Test and close historic KELs Harsh Soman
testing
Appendix 4 - All Activities and Outputs for Validation (cont.)
8 Testing
9 Testing
10 Testing
11 Testing
12 Testing
6b — Historic KELS
regression
9a - Test HNGA
under load - NFT
9b — Test HNGA
under load — BC /
DR
10 - SDLC / QA
8 - Inform errors
to PMs
1.0 -Create, test and execute
regression suite using new Hz solution
and structured process to manage
regression.
1.0 Non-functional testing — create NFT
approach and framework to implement
the appropriate tooling. New process
for NFT, new tooling for testing and
monitoring within Hz to do it with.
Build NFT framework(1.0)
1.0 Stress testing (BCP/DR) — analyse
DR approach and identify gaps and
create a BC policy. Build BCP / OR
framework (1.0)
1.0 New process for test policy,
develop and implement framework and
test tooling and embed (outside Hz).
1.0- Communications to Postmasters
on defects sent using current
technology.
Harsh Soman
Harsh Soman
Harsh Soman
Harsh Soman
Harsh Soman
11. 0.1 Understanding of current regression packs
land gaps captured, now building regression pack
to fill the gaps to test and ensure no reoccurrence
lof historic KELS.
2. Build regression for historic KELs ongoing - first
run target 30 Jun by POL/FJ teams.
1. 0.1 NFT requirements established.
2. 1.0 NFT framework approach drafted.
3. NFT approach design with FJ / Accenture /
Verizon / Computacenter being finalised to
understand their approaches to NFT and
integrate into overall POL approach (delayed)
1. 1.0 DR test for counters completed - Outcome
demonstrated minor issues, overall the test was
successful using SME knowledge and skill.
2. 1.0 Formal framework drafted - to be iterated
in phase 2.
N/A
1& 2. NFT Strategy _v0.2
1, POL Post Implementation Review -
Verizon - CHG0040080_UKS_Failover
2. IT DR Policy V1.4
1, GLO Horizon_Test Regression
Optimisation_V0,1
2, POL_Test Plan_Template v0.3
1. 0.1 Overall regression testing approach is
complete.
testing delivered v0.3
3. 1.0 Test Policy first draft complete and test
tools implemented
4, Further analysis of Model Office is ongoing to.
assess suitability for future testing and changes
needed. {Ph2)
BAU Projects v0.3
2. POL Test Impact Assessment Template
2. POL Execuction Report Template
3. POL Test Policy v1.7
1. 1.0 complete. The current defects process
includes communication of identified defects and
actions to the PMs
sent using current technology, only for selected 2. Evidence - email chain
issues raised. Draft Historic KEL - Example
3. Informing errors as part of the current defects
process sits with BAU (Martin Godbold) and Sree
(PM communication)
2. 1.0 First tranche of formalised templates for all 2. POL Test Closure Memo - Large Releases
2. POL Test Closure Memo Template - Small
2. Communications to Postmasters on defects are 1 & 3. Review or dispute - Business Change
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olga Saas
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Appendix 4 — All Activities and Outputs for Validation (cont.)
13 Investigations
14 Investigations
15 Investigations
01 - Hz Dispute
mechanism
02 - Keystroke
Logging
03 - Post Office
staff direct access
to transactional
data
1.0 - Tactical solution with updated
process and name in Horizon (to
replace ‘Settle centrally’, driven by ref
data) for dispute mechanism. Training
and comms will be needed to support
PMs and Hz supporting team.
1.0 — New process for sourcing
keystroke logging data from branch
counter terminals. Fujitsu already have
the technology to pull the data, but
current process uses Service Now
incident tickets rather than something
specific to logging data requests —
proposed new process will be specific.
Fujitsu have started testing of the log
file creation process to ensure that the
contents can be relied upon to support
the investigation process.
1.0 - updated process for sourcing ARQ
data with set SLAs, incorporating small
tech change with digital (rather than
physical) media, and a digital
fingerprint demonstrating that the file
supplied has not been altered. (Process
change)
Dean Bessell
Dean Bessell
Dean Bessell
N]1. 1.0 - Dispute ‘button’ is live. The preliminary
_ estimate is that the number of branches who
__used the new dispute option is ca.30% higher
_ compared to branches who used ‘Settle Centrally’
_ option before resulting in higher workload for
PAS team.
2, Development of the Supporting BranchHub
_ form is in progress with target date delayed to
early June to allow Postmasters to provide
_ further information to POL and reduce need for a
ical from POL. (Ph2)
11. Red following F) response. Fujitsu have stated
that they cannot complete the RTQ with the
Keystroke logging data and associated tooling in
their current form.
2. Fujitsu will not provide Keystroke logging to
POL under the current situation. Work is
lunderway to understand the issues and establish
an acceptable position for data supply.
11. Red trending Green following F) confirmed
target date. Fujitsu working at risk on response to
RTQ (digital signature). CWO received 28 May
lwith proposal for PGP encryption.
2. CWO received. Fujitsu have been working at
risk, Target 18 Jun
1, Replacing the Term ‘Settle Centrally
14.05.21.pdF
1, Review or Dispute - business change
evidence (email)
1, Investigations Process Flow June 2021
1, SHORT TERM - Changing the term Settle
Centrally - Business Change 14.05.2021
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Appendix 4 - All Activities and Outputs for Validation (cont.)
CS A a Cennre I i
0.1 —Agreed options and
16 Investigations
17 Investigations
18 IT Controls
04 - Post Office
sharing of
transaction data
with Postmasters
14-- Investigation
of postmaster
transactional
concerns
Controls rapid fix
recommendation for tactical data 1. Replacing the Term ‘Settle Centrally
sharing solution 14.05.21.pdf
1.0 Process change using existing le I, 1. Review or Dispute - business change
technology so that investigation Dean Bessell He LOjcor ate I onerine oF dispute I e-oltden I suidence (email)
reports (including relevant Inivestaat lan. (Bpors amen NG 1. Investigations Process Flow June 2021
transactional data) are routinely shared 1. SHORT TERM - Changing the term Settle
with Postmasters (process change only; Centrally - Business Change 14.05.2021
uses existing technology)
1.0 — New investigations process, 1. Launched 1.0 changes on 10 May - case triage,
incorporating changes to process, and Review committee, QC, lessons learnt, process
technology enablement through MS workflow automation, etc. The current focus is on
Dynamics, providing an enhanced and development and delivery of upskilling training,
standardised experience for HUJ conformance analysis and scoping of 2.0.
1. Investigations Process Flow June 2021
1. Training for Tier 2 - Investigations TOM
Postmasters, Investigation teams re- Dea” Bessell 2. Postmaster Accounting Dispute Resolution 0" v0.3 ;
i 2. Postmaster Accounting Dispute
organised into to-be org chart subject policy was approved by ARC on 18 May. Case Be pita a
to consultation with TUs and are management tool activities have been removed
trained on new processes with a new from the scope
interim CMT workflow in place.
1, 1.0 Complete - updated 15 short term controls
agreed with POL Head Hz Security to de-risk the
0.1 - Initial draft for enhanced IT entire end to end process initially are complete.
controls roadmap. 0.1 - wave one Enhanced wording for these has informed lessons
1, DRAFT - POL Observations Report V1.2
2. Workpaper (DRAFT) - spreadsheets
covering each of the 15 controls.
3. POL Plan On A Page
lessons learnt report. 1.0 - Training and learned report and roadmap for phase
implementation for selected IT controls Dean Bessell 2. Enhanced working includes direction and
- 15 prioritised controls to give faciliation to the first line from the second line
direction on testing on first line in the complete.
business. 3, Refining roadmap IT controls implementation
2.0 and moving to Phase 2 activity e.g.
governance deliverables and updating content.
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Appendix 3 - All Activities and Outputs for Validation
EES A
0.1. Information Asset Register draft 1. 1.0 complete - Draft Data Governance
structure, 0.1 Data Governance Policy Framework controls agreed and to be further
Framework draft structure. This developed in the Data TOM as part of Phase 2.
del ah jad ‘ 1. Data Governance Framework - POL -
provides a combination of principles, 2. We have completed the initial population of
19 Data Data governance Prowl Dan Addy : : a
policies, processes, roles & the Information Asset Register, to be validated by 2 00) paterence Data Information Register
responsibilities, governance structures POL. The content will iterate in phase 2 as /
(decision making forums) drafted for reference data model and journey maps are
approval then testing with pilots. developed as the key activity.
1.0 — Review, assess and complete oo
remediations/improvements to 1.1.0 -FJ/ POLin go-live for AppSup process and
a PAM reporting now live.
processes and permissions, JML, access :
sat 2. AppSup process is now captured into an end to
and permissions processes updated ans ’
WR eae eeu eee end record and this is held in a ServiceNow ticket,
baie abet dione ay Weel ane ‘with details of the issue and result including PAM 1 & 2. Horizon Support Approval Process
20 Security 12-PAM/RAM —2PPropr : Bes Dean Bessell intervention with the engineer identified. vLO
to who manages these, no technology
changes and limited training
requirements. Targets include FJ PAM
activities and reporting inc.
APPSUP_TC- BRT/Global User
(Branch)/SmartiD.
0.1 Proof of Value (POV) - Dispute
Resolution (POV), Change Management
(POV), CMDB (POV) - no specific
changes to system but demonstration
21 Tooling ServiceNow of future options. 1.0 Minimum Viable Dan Addy
Product (MVP) - Dispute Resolution
(MVP Scoping), Change Management
(MVP Scoping). Roadmap / Platform
Review initiation
3. FJ Security (PAM) report provides improved 1 & 3. PAM Weekly Report WE 11.06.2021
detail and enables individuals to be monitored
against platforms AND group account use.
1. HJ Phase 1 Remediation Activities -
1. Tactical MVP ServiceNow Change Management SNOW screenshots
- Released and successfully went live as of 1, Email from Cherise Osei confirming MVP
24/05/21. SNOW Ref Data Change release included as.
BAU change and therefore not formally
captured as a change.
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Appendix 5 - Summary of HIJ Remediation Workstreams
* Provide an effective Horizon IT function that can control and prioritise Horizon change and improve operations
‘ Hiteteey Pperetion Model * Deliver Objective 6: improve Service Delivery & Operations
Martin Godbold
* Re-design the investigations process to provide standard and transparent experience for the post masters
‘ [Nesteatiens * Provide the technology and data to enable a data-driven approach to investigation
Dean Bessell
* Implement interventions identified in the Data Governance review
6 Data * Deliver an overarching Horizon Data Strategy and Roadmap. Dan Addy
* Design and implement new Data TOM, Tools and Architecture
* Create a tooling strategy and roadmap for GLO / HZ IT
* Deliver technical capability needed to execute the roadmap and support the programme workstreams.
8 Tooling
Dan Addy
10 Remediation Management Office * Track the delivery of all objectives across the programme, co-ordinate design and implementation governance Emma Williams
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Appendix 6 - Impact of Delayed Activities
AppDynamics deployed to find root cause of help screen problems. Close out requires complete assessment of help.
13-Hzhelp 0.1 - Define and agree requirements for screen freezing root cause, then develop, test and implement solutions to the First activation issue and Intraday
improvements technical solution help/counter performance issues.
Deliverables for Phase 2 are being defined, F) will be engaged where required.
Fujitsu will not provide Keystroke logging to POL under the current situation. Work is underway to understand the issues
and establish an acceptable position for data supply.
Phase 2 deliverable D-04-14 ‘Keystroke logging data available for Investigator self-service’ will pick up this requirement,
with a target date of 31 Oct 21.
1.0 - New process for sourcing keystroke
02 - Keystroke Logging logging data from branch counter
terminals.
1.0 ~ Updated process for sourcing ARQ
data with set SLAs, incorporating small
tech change with digital (rather than
physical) media, and a digital fingerprint
demonstrating that the file supplied has
not been altered. (Process change)
03 - Post Office staff
direct access to
transactional data
Work is ongoing in this area and will be fully delivered by w/e 23/7/21.
There is no specific Phase 2 deliverable - D-04-03 Investigations operating model to track to completion
i 1.0 - Create, test and execute regression
6b - Historic KELS - f ; is
suite using new Hz solution and
structured process to manage regression. -
Testing
regression