POL00044481
POL00044481
Witness Statement
(CJ Act 1967, 39; MC Act 1980, ss 5A(3)(a)
and 58, MC Rules 1981, r 70)
Pi
OFFICE
Statement of Penelope Anne Thomas.
Age if under 18 Over 18 (If over 18 insert ‘over 18')
This statement (consisting of six pages each signed by me) is true to the best of my knowledge and belief
and I make it knowing that, if it is tendered in evidence, I shall be liable to prosecution if I have wilfully
stated in it anything which I know to be false or do not believe true.
Dated the 9 dayof January 2007
Signature
( ~o
I have been employed by Fujitsu Services, Post Office Account, formally ICL Pathway Ltd
since 20 January 2004 as an Information Technology (IT) Security Analyst responsible for audit
data extractions and IT Security. I have working knowledge of the computer system known as
Horizon, which is a computerised accounting system used by Post Office Ltd. I am authorised
by Fujitsu Services to undertake extractions of audit archived data and to obtain information
regarding system transactions recorded on the Horizon system.
Horizon’s documented procedures stipulate how the Horizon System operates, and while I am
not involved with any of the technical aspects of the Horizon System, these documented
processes allow me to provide a general overview.
At each Post Office there are counter positions that have a computer terminal, a visual display
unit and a keyboard and printer. This individual system records all transactions input by the
counter clerk working at that counter position. Clerks log on to the system by using their own
unique password. The transactions performed by each clerk, and the associated cash and
stock level information, are recorded by the computer system in a stock unit. Once logged on,
all transactions performed by the clerk must be recorded and entered on the computer and are
accounted for within the user's allocated stock unit.
The Horizon system provides a number of daily and weekly records of all transactions input
Signature witnessed by ; G RO
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GRO
POL00044481
POL00044481
Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
into it. It enables Post Office users to obtain computer summaries for individual clients of Post
Office Limited e.g. National Savings Bank and Alliance & Leicester. The Horizon system also
enables the clerk to produce a periodic balance of cash and stock on hand combined with the
other transactions performed in that accounting period, known as a trading period.
Where local reports are required these are accessed from an icon on the desktop menu. The
user is presented with a parameter driven menu, which enables the report to be customised to
Tequirements. The report is then populated from transaction data that is held in the local
database and is printed out on the printer. The system also allows for information to be
transferred to the main accounting department at Chesterfield in order for the office accounts
to be balanced.
The Post Office counter processing functions are provided through a series of counter
applications: the Order Book Control Service (OBCS) that ascertained the validity of DWP.
order books before payment was made, this application ceased in June 2005: the Electronic
Point of Sale Service (EPOSS) that enables Postmasters to conduct general retail trade at the
counter and sell products on behalf of their clients; the Automated Payments Service (APS)
which provides support for utility companies and others who provide incremental in-payment
mechanisms based on the use of cards and other tokens and the Logistics Feeder Service
(LFS) which supports the management of cash and value stock movements to and from the
outlet, principally to minimise cash held overnight in outlets. The counter desktop service and
the office platform service on which it runs provides various common functions for transaction
recording and settlement as well as user access control and session management.
Information from counter transactions is written into a local database and then replicated
automatically to databases on all other counters within a Post Office outlet. The information is
then forwarded over ISDN (Integrated System Digital Network) or other communication service,
to databases on a set of central Correspondence Servers at the Fujitsu Services data centres.
This is undertaken by a messaging transport system within the Transaction Management
Service (TMS). Various systems then transfer information to Central Servers that control the
Signature
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POL00044481
POL00044481
Witness Statement
(CJ Act 1967, 39; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
flow of information to various support services. Details of outlet transactions are normally sent
at least daily via the system. Details are then forwarded daily via a file transfer service to the
Post Office accounting department at Chesterfield and also, where appropriate, to other Post
Office Clients.
An audit of all information handled by the TMS is taken daily by copying all new messages to
archive media. This creates a record of all original outlet transaction details including its origin
- outlet and counter, when it happened, who caused it to happen and the outcome. The TMS
journal is maintained at each of the Fujitsu Services Data Centre sites and is created by
securely replicating all transaction records that occurred in every Outlet. They therefore provide
the ability to compare the audit track record of the same transaction recorded in two places to
verify that systems were operating correctly. All exceptions are investigated and reconciled.
Records of all transactions are written to audit archive media.
The system clock incorporated into the desktop application on the counter visual display units
is configured to indicate local time. This has been the situation at South Warnborough, Branch
Code 092904 since 27 March 2001 when the Horizon system was introduced at that particular
Post Office
The Horizon system records time in GMT and takes no account of Civil Time Displacements,
thus during British Summer Time (BST) (generally the last Sunday in March to the last Sunday
in October), system record timings are shown in GMT — one hour earlier than local time (BST).
When information relating to individual transactions is requested, the data is extracted from the
audit archive media via the Audit Workstations (AW’s). Information is presented in exactly the
same way as the data held in the archive although it can be filtered depending upon the type of
information requested. The integrity of audit data is guaranteed at all times from its origination,
storage and retrieval to subsequent despatch to the requester. Controls have been
established that provide assurances to Post Office Internal Audit (POIA) that this integrity is
maintained.
GRO I
Signature Signature witnessed by!
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POL00044481
POL00044481
Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 58, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
During audit data extractions the following controls apply :
1.
Extractions can only be made through the AWs which exist at Fujitsu Services,
Lovelace Lane, Bracknell, Berkshire and Fujitsu Services, Sackville House, Brooks
Close, Lewes, East Sussex. These sites are both subject to rigorous physical security
controls appropriate to each location. All AWs are located in a secure room subject to
proximity pass access within a secured Fujitsu Services site.
Logical access to the AW and its functionality is managed in accordance with the
Fujitsu Services, Post Office Account Security Policy and the principles of ISO 17799.
This includes dedicated Logins, password control and the use of Microsoft Windows NT
security features. .
All extractions are logged on the AW and supported by documented Audit Record
Queries (ARQ's), authorised by nominated persons within Post Office Ltd. This log can
be scrutinised on the AW.
Extractions are only made by authorised individuals.
Upon receipt of an ARQ from Post Office Ltd they are interpreted by CS Security. The
details are checked and the printed request filed.
6. The required files are identified and marked using the dedicated audit tools
7. Checksum seals are calculated for audit data files when they are written to audit
archive media and re-calculated when the files are retrieved.
8. To assure the integrity of the audit data while on the audit archive media the checksum
seal for the file is re-calculated by the Audit Track Sealer and compared to the original
value calculated when the file was originally written to the audit archive media. The
result is maintained in a Check Seal Table.
9. The specific ARQ details are used to obtain the specific data.
10. The files are copied to the AW where they are checked and converted into the file type
required by Post Office Ltd.
11. The requested information is copied onto removal CD media, sealed to prevent
modification and virus checked using the latest software. It is then despatched to the
Post Office Ltd Casework Manager using Royal Mail Special Delivery. This ensures
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POL00044481
POL00044481
Witness Statement
(CJ Act 1967, $9; MC Act 1980, ss 5A(3)(a) and 5B, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas
that a receipt is provided to Fujitsu Services confirming delivery.
ARQ 046/0607 was received on 24 April 2006 and asked for information in connection with the
Post Office at South Warnborough, Branch code 092904. I produce a copy of ARQ 046/0607
as Exhibit PT/01. I undertook extractions of data held on the Horizon system in accordance
with the requirements of ARQ 046/0607 and followed the procedure outlined above. I produce
the resultant CD as Exhibit PT/02. This CD, Exhibit PT/02, was sent to the Post Office
Investigation section by Special Delivery on 5 May 2006.
The report is formatted with the following headings:
ID - relates to counter position
User — Person Logged on to System
SU — Stock Unit
Date — Date of transaction
Time — Time of transaction
Sessionld — A unique string relating to current customer session
Txnid ~ A unique string relating to current transaction
Mode — e.g. SC which translates to Serve Customer
ProductNo — Product Item Sold
Qty — Quantity of items sold
SaleValue — Value of items sold
Entry method - Method of data capture for Transactions (0 = barcode, 1 = manually
keyed, 2 = magnetic card, 3 = smartcard, 4 = smart key)
State — Method of manual keyed Entry Method.
lOP - Order Book Number
Result — Order Book Transaction Result
Foreign Indicator — Indicates whether OBCS payment was made at a local or foreign
outlet (0- Local, 1- Foreign). The foreign indicator defaults to a ‘0’ for all manually
entered transactions.
Signature :
sorta 7aRIEE.0 09108
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POL00044481
POL00044481
Witness Statement
(CJ Act 1967, s9; MC Act 1980, ss 5A(3)(a) and 58, MC Rules 1981, r 70)
Continuation of statement of Penelope Anne Thomas.
The Event report is formatted with the following headings:
Groupid — FAD code
ID —relates to counter position
Date — Date of transaction
Time — Time of transaction
User — Person Logged on to System
SU — Stock Unit
EPOSSTransaction.T — Event Description
EPOSSTransaction.Ti — Event Result
Type — Inactivity Logout noted
Logout Authority — User who logged out the account
SecurityEvent.User - User who failed to log in
There is no reason to believe that the information in this statement is inaccurate because of
the improper use of the computer. To the best of my knowledge and belief at all material times
the computer was operating properly, or if not, any respect in which it was not operating
properly, or was out of operation was not such as to effect the information held on it.
Any records to which I refer in my statement form part of the records relating to the business of
Fujitsu Services. These were compiled during the ordinary course of business from
information supplied by persons who have, or may reasonably be supposed to have, personal
knowledge of the matter dealt with in the information supplied, but are unlikely to have any
recollection of the information or cannot be traced. As part of my duties, I have access to
these records.
Signature I G RO ; Signature witnessed by G RO
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