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kpue)
larget Operating Model -
Gallons
VEST
Group Litigation Order / Horizon IT
Post Office Limited
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Executive summary
Setting the scene
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Executive summary
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summary
‘+ This document details the assossment of processes for investigating transactional issues within Horizon atthe Post Offce Limited (POL) and the target
‘operating model (TOM) with focus on Horizon investigation support to be provided by Horizon & GLO IT function. ithas been authored by KPMG LLP (KPMG)
in conjunction with extensive consultation with and input from stakeholders across POL such as investigation teems as well as the GLO / Horizon IT Director
‘and his team,
+The design ofthe TOM has been driven by one primary need: to re-establish rust with Postmasters following the GLO and preceding years of prosecutions
‘and convictions of Postmaster for aflances such as thet and false accounting which were cleared
‘+The report is divided into 5 sections: Setting the scone, Current stato assessment, TOM for Horizon investigation support team, Indicative implementation
roadmap and Apponcices.
‘Setting the scene Page
Divers xchange or Heo invstigaton processes hasbeen caplured Vision or Hoon imesigaton support team has developed long wih esi
Prine ce doveloping the TOM
‘Cure tote assessment Page 18
‘Te aaesamen of the cent ste of Hofzon Invest processes hasbeen pete Uvough eres wh vestigation teas win POL
operations caping tnangs ad recorrendions
‘Baitang locks Pageas
‘Sentoes processes, accountabities and responabiltescapablites and rcs organisational strand nerace shave ben dened or Honan
Iwosigon super ear. ogee hy previ he arhtectral boop what he Hoon Iveslaton support teary noods sock ane opera Ie
onward Pages
estates have been detedbased on recarmendatons folowing Gurent stte assessment and mapped nto an Inca implementa rad
“Appendices Pages
Detaled design roqurement are ncaed for processes, case tage, les and responsibiies, tansaton eras lvls and tect)
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Inputs and outputs
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Various inputs and activities fed the creation of this report. They
Inputs
+ Lork Hil and Avondale Road investigation
reports
+ Overview of he IT architecture of Horizon
+ Roferenceisting for message codes used in
Horizon endpoint terminals
+ Sample key logging documentation
+ Sample ARO data request form
‘Sample BRT transaction corections
+ Ust of products handled by BRT
+ List of BRT thresholds for discrepancy wite-
off
‘Sample checklists used by investigations
teams
+ Lists of reports used by investigations teams
+ Organisational charts
‘Activities
+ Interviews with 10+ teams involved in
investigation of transactional issues within
Horizon 9s well 9s Fujitsu
Workshops with the sponsor and Horizon
Investigation Support team
+ Assessed current process for investigating
‘transactional issues within Horizon
+ Captured current investigation process
+ Dovolopod dotailod vow of To-Bo
investigation processes
+ Dofined stekcholders, capabilities, roles and
organisational stucture
Outputs
+ Current stato assossment of investigation
processes
+ Vision and Design principle for Horizon
Investigation suppor team
Case for change
+ Key cfereniators betwoon future state and
current state
Current Process Map Level 1 (Visio)
+ "To-be' Data Driven Investigation
Process Char - Level 0,1 and 2
+ Recommendations for data transfer, data
consoldation and processing, data
su current tooling architecture and
interfaces
+ Developed spect recommendations in
regards to data transfer, data consolidation
‘and processing, data requirements for Fujitsu,
case triage, use cases for data platform
Priotsed proposed initiatives
requi for Fujtsu, case tiage, use
260s for data platform
‘TOM building blocks for Horizon Investigation
support including services and processes,
‘accountabilities and responsilies,
capability requirement and metics, org
steture and interfaces
Indicative implementation roadmap
+ Current data sources by investigation team
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Setting the scene
Understanding the driver for change, vision and design principles
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What Is Horizon?
Post Offi Branch computer system
Horizon can be described as @ st of technologies which allow POL branches to sell POL. products and services to consumers, reconcile branch accounting
postions and pass information to thd partes including dents of POL and external service providers, It consists oftwo primary functions: The range or products
‘sold a the POL branches consist of Postal Orders items which are provided only through @ POL branch end products such as stemps, mall, foreign currencies
\which can be purchased elsewhere,
1. Branch. Technology which is presentin the Branches such as computer terminals and peripherals (0.9. key pads, printers) which allow users to sell products
{0 consumers, allow Postmastors to set up branch users ofthe systom and perform basic accounting and reporting functions. The hardware present in the
branch is managed and supported by Computacenter.
Network infrastructure. The branch access network's provided by Computacenire whilst the dstbution network providing connectivity between branches
{and the Horizon back end is provided by crcuts operated by Verizon. Distribution to cient and extemal third partis is provided by a combination of Verizon
tnd Fujtsu managed cuits. The Core network operating in and between datacentres s provided and managed by Fujitsu
Back end. Technology which llows the branches to connect to the main Horizon back end functions and thase back end functions thamsclves which provide
1ccess fo reerence data, and the main accounting reconciation processes and the inlerfaces between third parties. These elements of te platform are
managed and supported by Fujitsu
I. Bxtract Transform and Load (ETL) services which provide batch output services between the Horizon platform snd third party cons (e.g. Britsh Gas
tc):
I Extract Transform and Load (ETL) services which mave data within the Horizon Patform itself for reconciliation purposes;
li, Extract Transform and Load (ETL) services which take data from third partes (such as reference data and paystation data) and push tis into the
Horizon Platform,
Iv. Goneric Web Serices which allow interrogation of third party services (such as bank authorisation services) and post data to third partes such as actual
‘Payment transaction dala; and
¥. _Alltomated Payments Advance Data Capture (AP-ADC) A facity which allows the Post Offce to make configuration changes, add products, change
‘customer joumey's and orchestrate cals to Generic Web Services without having to involve Fujtsuin the change and testing cycles. This facity uses a
proprietary programming and configuration structure.
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Vision
Postmaster experience and trust is at of this TOM’s vision
POL's vision for Horizon & GLO IT TOM Is:
“To improve the Horizon user experience and Postmastor sorvico, by re-establishing a lvel of
trust and confidence in Horizon — specifically with regards to platform security, data integrity and
supplier management”
OL’s vision for Horizon investigation support team is:
+ "Tolmprove and ensure the use of data and data driven processes in investigating
transactional issues within Horizon to drive fo more robust investigation outcomes for both
Postmasters and POL supported by appropriate tochnology "
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Gase for change
Context
POLis going trough @ major program of work to adress historical falings in their core Branch
computer systom, Horizon. Horizon is used for transactions between the POL andits Postmastor
branch network, and is owned, maintained and managed by Fuiisu Services Limited (.).
Postmaster claimed there were issues with Horizon and these were inked fo prosecutions and
convtions of Postmasters for offences such as theft and false accounting,
In December 2019 the Post Office settled with a group of claimants who established legal action
‘against the Post Offic in response to their convictions. Fallowing this settlement, the High Court ruled
in the claimants favour. In February 2020 a public inquiry (inquiry) was announced int the mater,
ith torms of reference and the appointment ofa chair boing announced in Soptomber 2020
The torms of reference ofthe Inquiry include “whether lessons have been leamed and concrete
changes have taken place or are underway at Post Office Lc, with respect to Judgment (No3)
“Common issues” and Judgment (No 6) “Horizon issues”
Subsequent actions
Inresponse tothe Judgomentin October 2020 POL engaged KPMG to holp them design TOM fora
newly formed GLO / Horizon IT tam.
Desired outcome
‘The desired outcome ofthis activity isan exceptionable blueprint from which change could enacted to
rebuild trust with Postmasters,
ible!
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iy of investigation process
+_Evary invesigaton Is conducted using a standard methodology and ie carol docu
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Improve Horizon usorexporonce fort
neuro thatthe Pe aro 26 cattiod with tho
ual of ourpurs oF tho vestigation process ~ as wo as fa
ic as possible — speed, communication,
spo resolution process
Use technology 9 POLs advantage
* Enabling technology isin place o support investigation processes fo reduce chances of manual erors and detct and
prover sus rom happening
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Current state and to-be state comparison
nt, near future and long term target states for the Investigation pro
Imeipton Tape Inmaicion fe Tagen attabepeingct Awe he mosiaon ane bere otc: Int re par oneal ens
wong aaah orion cae and focus on more contanious mators. The pty iss can be focusod on, crving
whothor shouldbe pursued, prerised and fastor and more eecave resolution of cases
escalated oe apron tam
‘orzo Investigation Isreduton ofthe dedicated invosigtion am 0 support By working wh tho Srancialinvesigaon teams tho Herzon Investigation within
‘Suppor: Taam the francialinvosigatonfeame to perform data cevan Horizon & GLO IT tuncon wl help met industry pracee data devon investigation
iwosigasons and crve forthe dvelopmertofindusty processes. Boing heavy involved wih the Lossons Leamed procoss wil lp ony
Bractee approaches. ow issues, now datasources and how the existing procoss need to change,
Lessons Learned Itrducton ofthe Lessons Leamed' stop ator Mechanism to underpin and encourage postive change fo investigation workflows,
Investigaions. ana rocosson, ania totniog ven vessganonBusors Lope aon
Disa Platorm is intoduced,
Validation Introduction of Validation stops to ensure dataintogty Following industry praccos whon handling data helps to ensure thatthe data and
Procedures (DiptalFingoprn) when receiving data tom Fujtsu and potential evidence is disable in cour.
ter tid partes.
Dynamic Irtoducion of consstontinvesigaive workow approach lows for automaton of ho collecson ofthe datasources required and generation ofa
Invesigation Ativon bythe Case Managorent co, nstoad ot ‘empate rope ves good practice across ho inesigation foams and alows for an
Worktow checklists. Each Invesigain team wouldhave ‘heir audtable and consistant approach.
process worktow speci oth type of work thoy do.
‘Single Source of Taking an activ partin the development oftheData Data Platform can reduce the reflance ofthe POL on Fujtsuby having the data
Tra (Data Paton initiative wen POL, dating use casos fer the avallablo and managed by POL. This would becore the koy place to extract raw data in
Platorm) invosigasveropors ‘he frst nstanco (in il frm) br, wth Smo, woud alo or ho BI layer fo it on
‘op that would proviso te data sigh 0 he Investigation fears.
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Whats an operating model?
‘An operating model describes how a ful
— IT capobilies & services
— Process tramework &inlerfaces
— Interaction between functions
— Measurement framework
— Pie & dachboard
Reperting processes
Eo
PEOPLES
— People management SKILLS
— Skils& capabilly planning &
development
— Organisation development — Escalation paths
— Roles and responsbiliies
— Sourcing strategy — Supporting tools
— Location strategy — Technology infrastructure
— Prefered suppliers — Architectural ramewerk &
patierns
‘This model has been used to inform the bullding blocks found in Section 4,
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Current state assessment
sment of the current state of the investigations function
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Current stale assessment
indings and recommendation:
source informa
In the following areas: gov.
n and data and systems and tools
ing, proce:
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68, people and training,
‘Cureny tee fo apparent tn
ican dearest pang es oe oar coneen toe
‘sccounabity anor
carers re Pot Oe ks atk ped
Poses projet inaagerent i and a.ject rater expen ene
‘erties parr saa
‘ote apt dla oquest sh oF
. fiemcesmnnsan curren rena
+ Uae inane management shred actos War doprtents, an
1 Hierimenigaten cue
+ ioduze a:
‘cn tepartng wen bac
tecincoay perspective
“Ther no consistent
apyeacntonsh
anagerent ie
Invests
~ Orato cae! ak dpa eon ue ey are ot Hon
terminals. Changes teHorzan do net take to account Postar ne
‘tere ange one he depen chargesreres ron tonne
Inproveront
+ Hiving hos ow fhe Posimastrs'roqurmonts and being able to prise
hem an hap to uae best ests fm Hotuan eee,
“Thre oe not gpa be consent cease apecach coe sk
‘nagerent aches aoa he tees east ey, aniage ct
‘an exarpe a higher level sk cout bean nodualon oa new pret hat net
Irograteginto Hono systams which couldresutn da valdabon ad elowe data
‘ven nett proces PMc ahve
~ pai Hoon Sten Pret
‘posaton of aves or the Bonet
{hisprimary usergroup
ask managernet shou in 168
Str wich ensues content
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Current state assessment (cont)
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SGovemance & I Theredoesnet appeartobe I + Whe cofain ivestgaon tans do appear to have some KPIs tacked, hese appearto I + Devel P's and Mt orkwestgatons
Reporting aratentmontemgo"KP's I” emanredon an naa unt bap, ther an me
(conta) fer ne + Witt and accurate KP, ls acu teams I + oduct review and
‘se peccoringbeterwore and wate fo or Bega open end proces oon Ks ana
‘provements stout be
“There ae no dependent Investigations af pinay conduct temaly by POL and Figsu Thee maybe ak of» For ight cages cr puts,
‘hr parts eed n _perceted cont mrt or se-evew This ay afecPetnasters Wut nPOL In” conaierthe ue of anindopendent
Investgaons regards toe cleome estan {thr party investigation or
{ean oan organisation bused by
Feaeratn of Sub postastrs
Fs
Processes “Tere ack ~ Teas snot pen have cnt ezanante meosoge h verter I = Doane venitn
Seamer of processes I "werk in part bocause ote vaney of product and stains th ooaologs, neu review and
‘ndings ‘Soetoro chess bt fe) en cowedge ar bese nant aepenct I ean eng hess ee
Gedby nvesigatetane I” applcableto some ives reutes
Sd Pesmasors + Tielsanmerertbuaness ket tess they opeencedgermetmayleaste + Greer wef wo el in
proces tnontese gaps the knoe ane des hot happer Dynarics ove vestigation steps
‘Tends tbe more amcutte encima peromance and conistncy Me absence ot I fr apectc tears
“oxmaty documented proce inne ta easton tp
"eid ere t= ey poses ones me sbenfomaprocess,
as eachteam morber may condo to werk
have spokento
nana mee acu to vestigate
roe base rt esi a anny 2 te et ie
Pes dma tsar at sn oe in a aeons
terminator Pstrastr how achve cmon ono aks dos not
‘increas the eo ot vesting corn asues
Ene loging / uploading oa case
Fone dat and entence ne the
cone managarent sen
oveloprent anterance anduse of
dette narucons sx Postmaster on
how te execute cormon aka the
Benet godin sl
pewtotan insttonI
Frowteage tase rat comers ot
Horan wich
‘ecve operating mode,
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Current state assessment (cont)
Processes There frntedevidenoe of I + Wihoi Tessons med ot ter ype 0 postanient ay mie very dae + lee postincident acy essons
(contay I essons eames being nda yon cate angen eure eens, I" leant Geren Sed a ep
Capuredand shored win and I Postncdet sty he orev
femeanvestgaonstans' I ” ingore fe Hotz sya, Devaope of aw aves
{etiaqis crimprveddetecten modes shinderea waxes ada ep
‘enenotseaycmana I= Th went ine eciesingcelo Kew anecabte he nesthigiiker I sant ge eos, otra
Inesigatons des ot eppear_I "Noh pti cas Stra or segment an exalt
ou hte a igen, Wage on ro
cane Investigations
Wc a omalydocurentesratesctny ming esr cay
‘sun nvesiatons et eg faced ne est are
«_ Namo leves he eatgoone am open ack Creny We reapnde nes
Demniniscteta arent I» Al present POL dene apply de mannii te deterrine whether investigations wilbe I = —ledice de mine
fppedto mvestgatine ‘uroue.This ican that vosbgatons are pursued even where he Manat vaa Ienigatone tas ge ge
teadng to aig purer of ‘questen sles han te cost othe vesigation. Tis can lead to a backlog o cases,
ni day eg es, ana higher ate
inveschion + Wnts tb 6° (ranch Roconaiaicn Tear) Used product. baod iow vai lrances"
‘dese
‘sed nthe context of vestigations. Tese of consider renetarvahes, rate than
‘ny assorted aks.
+ POL should als conslorine rts and platens inte when oping nto
Indore a Beroigh investigation rare a cos. tenet ay
‘plying Se rims level Below whch POL woul notes, could elp to edie
(woibad and cos and alow reatrfocus on pny cases.
“Tere sno docented * Gureny POL dos not have a doounente proces m place torescvedspules wth» Develop processor resting spt wih
echanam orreaohing PPosmastrs in ists when nvesiatens donot ence of Herzen bot at Poanastare
‘depos win Postmaster ‘uh or whore Postmasors dont accept he tds of sn vestigation + Iedoce a Revew Comite for puted
es wich ae high ko th poe
‘his wold const GLO leadership Lega
lk and oar ey stakchelders ale
‘ake a business dion on hw to
prooeed
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Current state assessment (cont)
People &
Fraing
“Thre do nat appearto be
femal cnennas or owedge
$a ering aad
trang requrements
“There des nt appears be
‘ntrased cordon ot
for data requests to md
atios
‘Source
‘Normaton &
= WIN KPIs ol contra tacked,
methodologies not docurerod, nd ivestigaion
[omen not conseteniaI aFE rpll ony where kncwodge gaps
Sind defences right
{areas ct appen eahy shred etoen ears andor
eto ne hain 3 et {RT} Te 27650 72) amg pts a ery
ran
+ They tanng ape eae ray gs, ch od
I + The vestigation processes are
Inergerteincrease te capabiy investment traning, ey milestones and defined
eer pats re equa Leveragingin nous xnowedge Can ha esl
I State traning contento aun the wang coat
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+ lneduce lessons lamed as a key pa of
sa needge shang
res betwen
‘f eagues
invesbgaton tears ag reader POL tars
Detne careerprogssion tent andivest
Ic key waning reo fo th operations
Invesbgatn tears, gn wit POL's
respannepion he Finds on cies
poop aseloprant
compen as Krequres a produc spectic vestigation
_apprcac depen on tansacons performed by 3 tanch
+ vestgatons processes wl vary basedon the requremets hese nda
roa
+ Existing investigation tears have good knowledge othe POL's tnance systems and
{Taneaon prozesses however here a hee ts conplement he eat
th specialist rersc data investigation capabiltisto otow data vn vesigaton
fpocesses
+ needs evidence sugess tat the mayo te cuent esigatons team were
‘ot avy ered be team basedon pres investi experence oe
train Tor ko potent apy ops
+ iferent vestigation eams do nt appearto caleba wh regards to request or
‘xtmal ata sores (ah as Credence toons er poche Fp dt requ)
‘ich may eat e dupecatin ata oat
* Leverage rout pests er mestgtin
par
Fe and scant esi pccosen
‘er spocals recuse
*nteduce centrale cooraatin of requests
"Peston da pps
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Current state assessment (cont)
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Saxcelncmation I Thee anced I + esbntean rite dia ora ie vty of stems anda ses arumber of I «nd ange euscl Wae
‘ata (cont) getntmation tom I "arene oteon-amen eg Puzze Payson Banking et, Came).
Putte ata + Scurcng oats rom map unconnected systems andthe ned to many mange data
euros te conduct” ake th process pone tohuman es resusngcodenco im rvesigaon ops
investigations :
aking he process
entharan ‘ertnetwosigatons tears.
itonave' "I Acesng a ter an 2 ree rst res a ARO (Seay Tean oreo FRU I ~ eae He Da Pate a aie
“The rogues also comes at a cost to busines therelancs on Fults, alow POL to
+ The reaponse tne on adhe data requests rom Fu may vary depending on te mak the Store vonnain as roqures
iacmalyI
+ Esasning lear process forthe data exchange wh Fuyfouwallporeaucerespensetinesto + Eslablshlear proces othe
‘ian ata a bases a exchonge wih FURS
1 Agreeing corrataly Fut tigen o pov he data, 9 via an SLA
+ Consider tered SLA: PtUrgent P2Nomal P3-Low Pry
“Theres wnted I + ‘Key Logging das considered use or vestigations, buts on rlalnedby Fu er 180 days, I + negra the Key Loaging
ratty aeduse "uch may nt be eng enc a ypc vests Inormatin ns existing vestgatve
SFthe Koy Logging I + ‘Theres an nconsstnt approach Key Logging maton, wih some tars using Koga, steps
funatenty simomernctang ht + Now morerobust and define process
+ Therels atk dened process fr btaing Ko Loging wSamaton.
5 The'scope he Key Logging uncon soa 38 fascias designed a a debugging to
Gren tncten on logs Hazon User tracts, Pn Pad and Gaur Piner Keysokes,
‘uch as renear values enor ar ol record
{fogs conning te fomaton ede on EPOS ena which reqdre an ado process to
and presowe logs cn a aae by cas basi,
+ ne spe othe Key Logging data recorded s widened, POL should be aware of any GOPR
omplane requirements appcabl te dal,
+ Roqustan expansion of the scope of
‘eratng ana rowag Key Logan
Internation POL vest
govemedty an SLA
Key Longing data and data etarton
sod rom Fou
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Current state assessment (cont)
Spans hbo I Hetuonuse I The een face ot er Hendy, expec cra races (6. ey cashandig) eg I + ey net pan pa
‘untae etkrounds an ansacten cartons
Inherent snp sock procesees conduc by Auga 2020 suggest Postmaster are I ‘unlonlly
decent roost see ie vate sherats by converting the tarp shortage mo a cashes by posing + suse ala Pater
‘Slr es te Hen Sa ae et gua mae de tthe ay advanced Data
‘Anas og and
by POL InNov 2020 suggests hatin PS 2019-F07 2020POL ws sued I deaeted
38, 7Te transaction corrections 82% of those Vansaconcoectons come fom op 5 prods ~ Investigative reports
ash Re tan ranch) Cal} ATM Rac (9) Spee i)
‘Castvureau Suspence (3%) and aurau (3)
+ Some teams expresed sr that hare have been no Improvements te Horizon ats or anconaly
Reporing tinct remain red abut seven daa ht
“Tere arctrted I + Castrlted issues ar the primary diver or Transaction Comecons + Consider implementtn of
Cenoisand)-— I + soars thal here arene auomated corr and safeguards retin to cash hang win Branches © 9. ‘CCTV, reget smart
Saoquards or ‘oeligentsmart cash no elt CCTs monferg te tof can outing
Sasthondngm I + GOTV cate encom wedi apo enantio nptana tenn nen Petmaun, I maces ean oane
lace winin. Winstone inp eles on Postmaster eon ‘Sremshtated see
feancher ‘Seoge ersches on protang owen vst ecoaien’ tect
+ Theube of CCTV int standarsedin branches COTY Isat destnodto mont ils to evdence cash rau
{enudne mstatos,and suse cannot be enfreedi branches. Data vacyconcame were a expested 92
the CCTV fotage i primary or the use of Posmasters Nonselex
edn atenolol nei Psat
+ ‘igre nh rt at orp he ath oan des Haan akg
‘eecran meee nd cable Adana ash cag aches cab ted lon ot
Serato reduce he nig ohne of Transaction Correos
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Current state assessment (cont)
‘Systoms 8 tots
(conta)
Led aed not
{or purpose! core
Ivetgatn tots
(Credencs,
Howe}
“There a8
sTitopheny
Systems actoss
cane
‘The ot tol used by various vestigation sans ar inten funcional and dala teen
“Tare sno means very the cecnes oth data Tom hese
“Tharsis ack conto boween era varus oars rer ol and chooks embaredon
ere a sty aati wes eps wh edad ese
Ea tat jo enya Sasa onn sean Pt ed Data retention of
varius iran sted Da Pat wl be complex ncludngrequeent or Legal Hol, Duts an
pont pone cio
Anooetl evidence suggest hat har anions ue of POL' lepton syste (Pusat record cas
‘ade to Pesarters wun Postneatr ‘acy team. Tete evlencePosnastar egagerent.
‘rence of advice enna ent Posts, ay not get recorded Ts could eave POL wihou ical
once pnts a terse parka Petra nt ey wes ong coc re by
OL
Aosadngo uzzl SME tare a o polls pace mang POL sta ee ten x alto
branches cals bt POL sta are gudedto se Puzal dung ne Wang
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‘Use! POL owned ge
purpose nthe shot tam
onda ue of telephony
Zee
menting ots
Heron reais te criy Key source of nvomation the EPOS tara
fn Reeponee) unafonaty which would tow an adaNonal tye sbinyo Horn ein
mas
a
‘iran tem
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Current state assessment (cont)
‘Systems 8 tools vestigations: “+The Post Ofice has alana eave response fo investiations wih mates beng managed + noduce preter proactive tooo
(conta) Teta rater I nos otninanadnecramer Anarnu Mucanbearsvaigienotcgaomes I” iy ig amacion tne
than peat tsk 2g consoled eporng on Helpdesk
«Theres no und and pote econ ns to ptt sarar wer aca ‘ques (covering and Business
About snr ss re ase to ere anajt, but no oe Io comet eens Sipping Data Aas
‘areas root cose setpedt ey fe eaves t
+ Thee are pocket of excellence wich use advanced anacs model for rate
Ivete work «arti ceaed ees og hvg 2
Seema developed sabe oc FREDO-O fs ch ai cere source" teamne prem racing set.
al ipering tae Cadence, CFS, HOR, Dyna ce appers IS sue of ta
{oe undrutisody tars cue othe Branch Anaya Tear
“Te rhses rodeos ighsk banc alcwing Ie pote
retgtions in thm and have Serene approach
+ FREDO.OIscuremty used or 1 branchos aay, hough
‘oud pote support aa tha are raised
‘alte banter oyster ery widespread ees
‘Gata aidtion stops wre rte othe crating eps ny
ii the model dra does na use eal ne daa ting
cally esbgate ee recon vers
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Current state assessment (cont)
‘Systoms 8 tots
(conta)
Dynamics)
+ The cure:
‘The existing case management system used bythe vestigation ears (Dynamics) s setup
imauch away hat alows a moribers fan erie business unt to aces l cases an the
ivuertsod a
nett and dosed cases canbe uted a erence by ah
ar rohnert i,
‘Accesstothe sytem shouldbe coed on a net neede-now basta shoud be
‘uatable Both of whch canbe achewe I Oyrarics syste siplemented wi these
prinapos er te bain
rowers savood by Dynamics SME that auding and monitring of acess to cases and
sitached senstvenvomation not possble win te cert Case Management system
{Dynamics} used by he rvestpton eat
lem (Dynamics) is managed by Ft, mesnng hat usu
{innnrae acess oe ctr arora ws sue) aoe, ke
‘eh ning that any new development requrerentsreqring ana developme cot.
Netting ste czas sea cor aed ming cotels Sons wah POLS ent
regarding he Judgement and openness wh Postar
‘As standard nd pactc, acess cna shuld onside al usr ype ad ha ovels
‘access read on, we) with re Duna
Suse agrmtn othe ppv
lean level we would expo to sop workows based around categories of use
eat and case workers beg abe stearic he cae, Un they ass he
‘esponsbty e anther vesigator/ tear,
+ Tiage decison makers wt approval gts as a rtd rou indus,
{System aarnitatrs who are nt par a standarwetow wh 206 to cases
Dyrequest (say superser ype daegatn)I
+ Ful att auditing wt he aplatin fogs oral workow and user aches
“The snot shod rm pat broad nt an Acces anagoren tl
nsurngte gt person gan acess to he ight Yeaure af the iQ Une 2 Wet
‘managed and reparable rant
nt elovte evel capably aah,
+ nee cone ly
i
[DRAFT FOR DISCUSSION PURPOSES ONLY
Improved to prove accepatecntos
ana repr
cng
‘erent case management san
Assos he data secgy and pvacy of
incr sores he se
emanate Ag
rote bento wh
Dyna
ied el ay ad a
protection ana
Satay ety te esto
Wadena! acces cots and
‘edass Menage
sesso) approach
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Building blocks
The details of what is needed to help re-build Postmaster trust.
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Bul
he model introduced on
locks.
ling blacks
12 has Informed the sele
allowing building
A Services
(Outtines proposed core services provided as part of investigation process.
B. Processes
+ Outines proposed core processes dolvered as part of investigation process. Details are found
In Appendix 1 end 2
©. Accountabilities and responsibilities
+ Outines proposed accountabiltios and responsbiliies for Investigation support team within
Hotizon and GLO IT function.
. Capabilities and metrics,
+ Coptures capabittis required to delvor Investigation activites in scope of Horizon & GLO IT
function and related performance metics as well as ferences in capabiiles between CIRT
‘and investigation support team
E. Roles and responsibilities
+ Describes the role of Investigation support team within GLO IT Horizon and organisational
‘structure needed to execute the services, processes and capabilies. Details are found in
‘Appendix 3.
F. Interfaces
+ Details proposed interfaces for the Horizon & GLO IT function with intemal and external
stakeholders in regards to investigations.
G. Technology and Data
+ Summarises technology needed and required changes for processes for obtaining data forthe
Investigations function. Detalis are found in Appendices 5 and 6
ible!
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Services
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omy ior spats
Tolteto raneactona eves wihin Hone a sign
the approach
‘Brae vestgatne
‘Revow iesigatons
‘revennvesigatons >” Toredaze vlan a Horizon Wansactonal sues
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Processes
function. De
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on processes - target state
delivered by POL to resolve disputes with Postmasters, related to
and accountabilities,
Horizon investigat
aptures target state processes comprising serv
be u spon:
110 i ‘34 Review hwesigatonactity I 4.4 Anatyae ty
= — _ = —
12Set processes stands I Pineview 32 DetmeCsi “42 Take prove atone
13 Pin capaaty 2S vette we lessons eat '33Manage G5: detery
2. iweatgate igh poe casesinclessons I 93.4 Asse presses
team
‘5 Deve capa
‘86 Manage inowedge
ae —— a : —
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Hor On Investigation PIOCESSES = target state (cont)
in each Level 1 proces:
1. Plan Zinentetint pds I Dv ere ad Tor responcing to quis nears and resting spe
vestigations
{25a processes & stands
13 Plan capaaty
rg SLA or apt reson)
2 Become I 21 Tage case
‘nvestotons > 2 ema investigation
3 Rewew
vestigons
‘Asses aay compel venga as pat et tad
ey gaps vesigaton sands a ead
‘35 Deve capa 7 eveop upd capacity development programs aed mates
‘3.8 Manage knowedge
TaProvent I 4: Anas heipne actoy
“42 Take preventative actions
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Process accountabilities and
responsibilities
abilities and responsibilities for
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responsibiltles & accountabiities - current state
Below are the processes introduced in building block B and mapped against teams with current responsibility and accountability. There Is
currently no teams with responsibility and no accountability. Only the operations team Is currently accountable and responsible.
Responsibity wio
‘accountablily
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Responsiillies & accountabiities - target stat
y, Responsibility wo
d ‘accountability
Seg [isan I
he 41 arate npn
8 pero
Seaway Ea
42s Ee
sanders [pemcoeecinee I = Ea
investigation processes as well as support
Operations on other processes.
‘evap capabaty
8 Manage hnowedge
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Capabilities and metrics
red y and r
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Capability requirements and metrics
scape ae Tae rpc equred capone Wastes
eo eae cee cyte eee
‘driven processes in investigating transactional Average # of open investigation cases:
eee oer I Foreesienecountng == Sa rvertgton cease cpl win SLA
‘investigation outcomes for both Postmasters ‘with Postmasters:
aes id rei + % of cases resolved to the satisfaction of both
a
+ Average time to complete investigation
erage tine to respond o Postmaster
* Subject to avaiabilty of SLAs and processes for
‘measuring KPIs
iba! eta : —
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BSC Ter +
Bsc Ter?
crt
Horiean GLO
Investigators
bia!
‘Complaint and onquiry handling by phono
Use of knowlodge arils 1 idenity sktions
Provide timoly responses fo clon queios
Idomifcain of issues and red fogs
Case imestigaton fr loss complex casos
Igonifeaion and eccalation of compox eases
Case imestigaton for moclum complexity casos
‘Customer qury handing
+ Investigation expertise
Caco age
Invosigation exporico
Idonafying ad sing wih key sakoholders (etomal are
oxoral.
Case investigation fr high comply cases
Dispute resolution for contonious casos
‘Sharing of investigations industry practice
Invosigaons assurance and revow
\donifcaion of rvesigaions process improvemer
Forensic accounting
Inveesgaton exporiee
Tvessgation process
design
Invesigation assurance
Identifying and ising wih key stakeholders (toma and + Change management
oxernal.
[DRAFT FOR DISCUSSION PURPOSES ONLY
fee and experience by investigation team - target
Stalé
Abity 9 assoss risk and conduct igo
so of common data analyse ops
Knowledge of POL produc and systems
Significant experiance of POL eytoms
procossos:
Extonsive knowodgo of POL products and
Experience of conducting investigations within
Pau
Some expotionce of enhanced use of POL data
‘Sonor investigators wih experince and raining
ina varity of corporate songs
Uso ofa variety of and finance sysioms
‘Abity lead complex high rik Invesigatons
ata anabss skis and ochriques
Understanding of lgal processes and evidence
Handling of senstive or condontal information
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Roles and responsibilities
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estigalion roles
Investigations Support (60%)
The team will provide SME support to investigations teams, focusing on the use of data driven
‘evidence, processes and technologies.
+ This includes leading the most complex, sensitive or high profile investigations, end providing advice
‘and support io investigators during their investigations.
The team’s key specialism vil iin identiying where addtonsl data analysis can be used to resolve
‘2505, or where new dala sources or lachniques can add value o an investigation
+The team wil ake responsibil for investigalion cases from assignment to the team to resolution or
handover tothe Review Commitee
Driving Change (40%)
The team will have responsitility for diving change to Horizon and investigatons processes, with @
pericular focus on how greater or more effective use of data can improve elecveness,eficiency and
‘Sutcomes of Herizon based invessgations
+ They wil work with investigation leame fo underetand whal further dala requirements they may have,
where data insight can add value to their investigations. ond liaise wih the relevant stakeholders to
{ensure these requirements can be met. This may include intemal work o make better use of he data or
systems already in place or working with extemal stakeholders o obiain high quay or more user-
‘nendly data
+ This wlinclude establishing the Lessons Leamed process, which would allow industy pracfce data
liven invesigatone lechniques to bolh be shared wih investigators, as well az adopled ito the
processes thal ceive invesigatons
+ They will lead change activities relating to investigations and the systems Used in investigations, which
‘would include liaising wit infernal and external slakeholder fo make these changes happen
They will Keep abreast of the latest technology and investigation fraud techniques and disseminate that
knowledge across investigation teams
ible!
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Key investiga
‘Hood of Scuny, isk & "Lead he ea, poring nto LOMorzon T Decor wih doted ine reporinginio + Clear reporting Ines
Investatons ‘Operatic Represent the tear when dean with high pote vestigations,
Ietudng povidng evens cout
+ Proves oversight of he ears wok an roids aflese ae eoaback ete
‘ner investigations tar fradng Senin and ent key KP scr
ovel faders
“+ More cenrased montsng okey KPis for nestian
+ Utes practi of data ven vestigations ia
Irvestgatn tears)
+ aos suorones ofthe inprance of data ven investigations ery
‘ranch Accountngivestgater «Provide accounting expose to vestigations, both in adn crtan Koy + Thor is cure tod formal accounting knows
Investigations nd supporting complex ongoing vests, cluding proving win amber ears
oacenca co. + Tare is nto practice of data cen Imestgatons
+ nity and recormend improvements te accounting ae Manca daa and tsuselnamaly
invesigatons
+ Tie canreauce tne cccurence ef ormensrepandes
+ ani rot causes fr conmen dcropancles and develops plans t reduce ‘ranch acount
bees heaienre + There te no cena sharing of escnsleamed between
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Key investigation team roles (cont)
‘ta investigator “Leaning he mst Nigh pre datasntensve vestgations + Greater use of data ven evidence and vesigaton techies
ening promdng ecence cout, + Grater detections of pattems and tends win data and sues raed
* ead data mining ates ont common sues andINEMES cert ata and proceso nt shape mest he requerent ot
invests. Keetboed
+ Leads develop of vestgaons use cases fo the Di PIA rye ig cre no oma centrabied review of nvestigations work, o etal
“+ Lead reven !quatyansurance completed investigations, Shang cessons same. Tis supports te standarasaon ot vesigaonI
‘naung processes have been lowed corey and essen procedures.
\Gomed shores
‘ata investigations Anat Reviewing completed vestigations, ensuing processes hve +» There le cureny no omslcertratsed OA of vestigations work, octal
Boonfalowed corecty ad sharelesansleamod Shang lessons leamed ce Suppor the standardaton vestgaton
+ Support wok ofthe data mestgater. Gs
“etic Data nights Lead + esa dep dito ands rune wenthe + ALO Se pa the St od Wo ian ta
Dishes wie ous on vest ante ft, buch ae FREDO. othe Bt.
~ Tuagenonal werk cena oy egos mpatcan + Tele aoc crane ler eo and a
lsh wn Hoon & GLO T avectre toa pice anid ers requrements for aerosthe ts
ipeemtsiy encoreientenepenesenin
+ This canncrease he adcpin of data ven ight aross vestions
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Interfaces
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Interfaces
8 for Investigations Support team’
Horizon and GLO IT Team
‘ther data
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RECuI
Data storage
+ Koy Logging and Horizon data should bo
fetainod ina manner thats audtabo,
Immutatie and socure wth rested
access and backed up longi storage.
+ Data shoud be sterodcontraly and for
‘the stantory porod (6.9.6 years + 1)
‘Security
+ ata sh be sorod sonra “—
fast and easy access bythe
Invesigators over a secure
‘connection
+ Access othe sokonsyetom should
bo resricted'o POL invosigatons
bia!
ements for FUItSUt Key logg
investigation i
Data availability
* Dasa shouldbe sachato a aval >
ds eal-sonea fo he POL case
Ing & Horizon data (1 of 2)
Data validation and auditability
+ Each data export or ropor generation should include a rocord of summary
Infomation deralin the quory used genorato the information, user and
‘imestamp ofthe goarch and MDS hash of the reeuting dara ta enable
LS Logging
Lae
requirements
See next side
ar of ho aut ralin relation
validosr
+ This record of summary information should ais be stored inthe back ond to
[DRAFT FOR DISCUSSION PURPOSES ONLY
data, Tho aude tall ould rack
Horizon data
specific
"requirements
‘See next side
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Th
lide outlin
sp
equirement
RECUITEMENtS TOF FUILSU: Key ogg
for Fujitsu in regards to Key Loggin
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ng & Horizon data (cont)
\d other Horizon data,
~The Key Logging function should ineude al avaliable audtable data including
keystrokes typed by Postmasters in accordance with GDPR regulations.
is easily accessible to POL investigators. The knowledge base documentation
‘should include message code information and GUI examples to provide
Investigations with adaltional context of user journey (see sample” below)
+ Dalia should be readily avalable and accessible ta support POL's investigation
ccopabilty within 24 hours
+ Key Logging data should be searchable va GUI conditions or queries, 9
(session-id:"191000" oR date: [20261025 1108 To
26201025 1105]) AND message-code:""S610500"
“Sample knowledge base entry Brariassreed
1§MSG10601 isan slrt mossago tat indeatos
‘hata ard hae been inserted
Seo GU example,
+ Key Logging information should be dacumented in a central knowledge base that
Horizon database to maintain integrity of data records to show
Creation ofthe records and maintain ful aut of any subsequent
changes. And for the information tobe available to POL investigation
teams.
‘+ Groatorintogration of new products into Horizon database. For
‘example, Camelot intoaction with Horizon is vory limited
Roports should be designed and tallored with investigation teams in
‘+ Hotizon CBA usabilly for Postmastors and counter usors should bo
Improved, including greater ability to review recent transactions so
that Postmaster can resolve issues quicker and more efficiently
+ Ensure that POL accoss to Horizon data is contractually
‘agrecd!guaranteed,
Integration of Horizon data and Post Ofice data platform allowing for
‘almost realtime data exchango inclucing data validtion and secure
transfer — feed into data platform,
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Technology and Data
ch
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ments
Technology and data require
inges to technology and processes for obti
findings from the current assessment oft
We have developed further level of detallon the following areas of recommendations, with
these being captured in Appendices Sand 6:
+ Introduction of data platform
+ Bonofis that data platform bring with data consolidation and business logic to dve the data
insight
+ Requirements for data imports, security, visualisation, processing and reporting
+ Examples of investigation use cases for data platform
+ Process for obtaining data in the near future
+ Recommendation for immediate changes for requesting, receiving and storing data from
Fujtsu
+ Changes to ARQ process
+The proposed immediate and medium term changes aiming to streamline and enhance the
data request and transfer ARQ processes with Fujtsu for obtaining Key Logaing and Horizon
dota,
+ Data Sources Catalogue
+ The Data Sources Catalogue lists the data sources and reports used by investigations team
within POL. The catalogue captures the use case for each sources and can be used as @
referonce guide for investigators to identify reports which may be valuable to their
investigations
ible!
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Moving forward
An indicative implementation roadmap to affect the change
blueprinted in this TOM
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Moving forward
‘The current state assessment outlines @ number of recommendations.
We have combined recommendations into initiatives which we have mapped into an indicative
roadmap.
‘The following slides describe a proposed implementation roadmap and high level scope of
Initiatives.
Given the criticality of findings, Its recommended to start implementation ofthe majority of
the initiatives as soon as possible.
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Indicative implementation roacmap Ss
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Scone of Nn
The follo
4. (Re) Detne vestigations & dopute *
‘esokon pote and govemance
2 lnroduce investigation process
5 (Ro, Detne vestigaton processes
4 jopoe recto ates
sms
So Sn
bia!
[DRAFT FOR DISCUSSION PURPOSES ONLY
iliatives
‘Develop aa poly fe ane esc putes wh P gard 0 issues
vin
Rovew Corton or spuod cases which ae hgh rok erigh pote. This would consist GLO leadership, Legal and
ery sanders and rake a taets dean on Row proceed
For hoe cases or asputs, conser ne usec an dependent Od party vestigation or review earn, or an organsalon sted
esau a the Nalona Federaon o Sutposmoses (NFSP)
by Postra ‘
+ Blsne andimplonenperomance management ranewert or nanagingnvesigaton and dpi reckon
+ reduce assurance famawor investigation processesincudg song ples and standards, quay conic and cotacus
‘edback nop ine poles and stars
+ esters mest roan ernest Hn anacon ues n ne ih aity pceseg
sg venga methods, nung eve ad edealgn exsng chee whete feed
Inrodue Voge spe ceaty the odobay, song car ena ad esaabone estore
Integrate ie Key Logan craton te wasting wesigave steps
ters
+ Infeauce postinlsent actiy(iessonslamed}), documented and shared, a6 step of evr Investigation
+ mpovelevarne ed sp i etn ae
> erin cori tase Woge
+ Mandate use olepny syst acess Postmaster facing tars to bul eidence ot eractons incase of sues nthe ute
+ nve use of wero ool win the case management syslars to mproveatherance to vesiatlon processes
+! aatabty
Buyin rom POL
ee
+ Bazin er
+ Buy tom wor
Pot
+ 8 oampetn
sana
‘cmpeen
vestigation
tear
~I
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Scope of initiatives (cont)
ose catbtatesia ha a seared oc acing nurses ence approach os
6 Improve curentinvestitin tot
ine ranaparent ype th may ns ot wel eg in
eee ek ee eee ae
7 Refine tos for preveson acts *
8 irodue dtatke and data +
platen
no uny len nge on (69 FREDO.) in tdi nest pone a
Irroauce prev or pcacve ols based on data ket ely high isk wansacton ot branches eg conse reporting on
‘elon uote (neag and Bess spe mar Da Aes eae sts omy he brocerende at ele
+ moaurr ne Hsu Stun raid Ome Re snp onan Postal nee ame pat of
Improve Hz unctnay
‘tates xe tne hs pnay se 9p
Iden Hoon ater pan ple and prove Han ano
inveaice secant manag alow or eieabon of tical astute fale
10, Upgrade branch equpment
11, Improve sourcing data rr
xemal suppor
12 dees npenertr sme
‘oauppart mestgatons
18 stengthenknowedge
management 8 capabiy
‘eveopat
bia! :
+ Cansterinplamentaton ct COTY, ieigersmat sc cash counting machines to reduc vole of cash elated aes
nen cane orale een a ptr
ear processes and SAS he daa exchange (ung key loging ntormatn) wh data suppers
‘egies an roa 5 ne espe Ky Ls da rd atta to Fo
lnosuce a cetralned investigations uncon, wih lea teporng hes boar eve wel as Heron nvestigatin Sugpst Tear
‘ttirdine supp
+ Canductcapabity assessment in nvestigaten tars to Wet any potantal apa gaps
+ Inteauce emalsed inoweage shar oppotniesbeweon tears at ere nvestgatin tars
1 invoaice vestigation tar arin and deveopretiiatves
+ Buyin em ier
Pou
+ Buyin ern vidor
Pou
caPEX
Srataany
+ capex
Seating
+ Buys rom POL,
ee
Srataany
agreements wh
spp
os I nooo
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Appendix
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Detailed design — processes
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Al-Introcuction
f documentation of processes
am within POL
(ver the folowing slides, we have set out proposed target states fr investigations processes.
L1 Investigation process ~ current state
+ Maps out the existing processes and interactions between investigations teams from across POL
LO investigation process - target state (short term)
+ Describes the high lavel target stato for investigations in the short term, highlighting the introduction
‘of case triage stops, the introduction of @ Horizon / GLO investigations team, and new defined
processes for data collection, storage and validation
LO investigation process - target state (long term)
+ Describes the high level target state for investigations inthe long term, folowing the introduction of
the Data Platform functionality, and the inclusion of data consolidation and processing processes,
L1 Investigation process ~ target state
+ Sots aut the target stato fr tho core investigations function, including how case triage fits into this
process
LL investigation process - target stato
+ Provides target state process for investigating a case forthe Horizon / GLO investigations team.
Secure data collection, storage and validation - near future
+ Demonstrates the target state for requesting, receiving and storing data from both Fujitsu and other
third party data providers - bofore the Data Platform i implomente,
ible!
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L Al: Ltinvestigation process - current state —
- a . —
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Li omvestcciongroxss-tagetstaetongtem)
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Ly, LI investigation process - target state
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Ly, secure data collection, st
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orage and validation - near future =
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Detailed design — case triage
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A2- introduction
ve a documented process to Identify the most high-tisk or
tions, and prioritise or escalate these case
We have set out triage process over the fllowing slides, where cases are reviewed end assigned to
the diferent ers of investigations teams within POL, based on their risk and prio tothe business,
Case triage
+ Explains at what stage case triage should take place, what would involve, who would be involved,
\what eiteria would be used fo assess cases, and when cases would be escalated to the Horizon
Investigation Support Tea.
Case triage process
+ lustrates how the case triage stops ft into the wider Investigations process, showing the sources
for cases, and the Investigations teams that cases could be assigned to
Case triage eriteria
+ Sets out criteria which may lead to cases being immediately escalated beyond BSC Tier 2, for
priotty investigation by either the Contract investigation and Resolution Team (CIRT), orby
Horizon Investigation Support Team,
De minimis ~ current application and suggested changes
+ Describes the current limited use of de minimis citria within investigations in POL, and
recommends changes which could be made to address this, as pert ofthe case triage process
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Ly Case triage ™
(=e I (He)
“Team leaders may ao contact key contacts within
spec oars 9 advisor case
‘locaton or excalatonerequred
Tr Team Leader wal eviow aces assent ak
3 “Te kainate deere hl eam they are
‘asodon agfod toa, aed asigncases ee rekvant
a invested by
‘Apoly fags to cases which meet certain erteriawhen handling ell
conduct review and triage of carer, Allocate and excalate cares, where required.
Enter any cases received by POL executive team into the case management system
Enter any cases identified in media monitoring actives into the ease management system
Give feedback on case allecaton including volumeand sltaiityof eases.
Provide 1.) ea time advice and guidance, and 2) leszone learned and ideas for process improvement / optimisation
[soir ieaieciy —__—_—_— rca
a : —
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Ly Case triage (Cont) =
(_teacoeme I
( ce I
( “The most igh pote Nigh kor complexcses (eae
‘Tosewin contents mesa coverage panatatyin I I Tose wien may pace te wt ofan aspect zen II Tose wh nce sues previous red nthe Htzen
ator rade pest wnat iss dpe
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Ly Case (riage process -
rai 0 =e
Flag Case Team
NBSC Tier 1
(Halptino)
NBSC Tier 2
art
Hz
Investigations
Support
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Ly Case tage criteria I
Tan moncarran POL
Tsuen splonsisoues ae Tay aoreqare aan
eco her ea aden
‘sue has reoccTed on TRIE ‘ccasions Postmaster:
‘czalone
octcaseo patemal inatyet) fCaveg rican deren
eat cause or pote note] iconated trans Posnastr.
ented
a
I
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Ly De minimis - Current application and suggested changes =
Suggested changes
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het Tolerance levels ie al transaction correction ina I
The following are the tolerance levels currently us
‘Camelot Onine Sales
‘Camelot Seratchcard Activation
Camel! Pree Payments
Travers Cheque Reuns
Moneyaram SentReceived
ATMs
ATM roracts AP Products (xing AON) Pod
Personal Barking Withdrawals and Deposits i DVLA Nothom Ireland hoot
Santander Manus! ror DMA
a . —
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Detailed design — roles and
responsibilities
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La Detaled clescriptions of [OES and responsihillies —
This slide describes in detail required roles to deliv
Hood ctHerzon Reporting and
Samy Rak) "Prom remghsthe tears wrk, ckudedldetying ay KPis and mets otc vestigation cuss ae fsncy.
{Prove det reporing to Son Ola and POL leadership
“Wek eh hn leadership (e'9 Tin Perna any instances 2 concems where nett processes ave net bean ‘towed.
1 eteas a plot! enalon wan the tear
‘Sharing of best pace and lessons lame
2 Shares earings or the tear at 9 snk evel an anes coloration ppartelies Wh ther tars and departents
Management ad support hee
1 irger warn sad Buta ao dere tg exon pot
“Drewes guidance and ia saenge or te rk ater tear rb
{teas epost one eam ann desing i enc righ prot vestoabne ning ang wh iw enforcament x roving ence in ct
1 Relee awareness othe mporanceo dats den vestigations wat the wer POL business
‘ranch restos Supe
teas bh on ageing een an oc ba,
frvemgtr(28) I Sapotiwestgaton eas (ou a San Dopes wan ec quae lng rans dacepanes,
‘Sharing accounting best practice and lessons leamod
Review tania aspects corpleted or ngoingnvestatons, an ei and sare lessons teamed or these
‘Share best ractce rescive any ongng sues (ay sues wh suspense account),
‘rere nd eben we of aan vents
dey improvements to accouring and Mane syste, as well any accouning eames r processes, wich coud crease the opportunites or data ven
tridonca m mvestigatone
+ Wercwin data ports o ensure the necessary tools and anaysls aren place to suport nancial aspects nestigaons
{Werk he Dat Plater tear to Mey wal data can be ted and hew ths canbe apptedte vestgatens
“Dovey nveabgatons usecase rte Data Plato, and ene spar and enhances iwesbgalon Wak Tom a Mandal perspective
ata in
8 ey t aus or derepances, orate occurence of hee ad ede fae deena
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Lu Detaled descriptions of roles and responsipiit
ana mestgatonsin the most complex cases
lamin Yor a dala cen eldence perspective
ey cra
nawbooness
steam vestigations teams. trough washaps, Knwedge shang nates).
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les (cont) _—
earn tenet be owe aged ot meting agree
mecungangeunancny ie wect a vests
weno iaeiy
‘ened Sta an ara etn
: wan restytrs to ary opponunts tue eo ta en eco
2 USSR inci penton derby and nce eb ats pers
Dania
"Work weh members of vestigations ear to nt what ure data nightsthey rose
{_Assostand scope the posi for rho data
{Wonk ta anata the busipss to develop ada data ants ele an business lgence gk
‘any const and saree exstg Hey Bots wih the business (sich as FREDD-O}
and exalt he Head of
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Lys Detaled cescriptions of roles and responsibilt
(enigatens
nats (28)
Tectia Data
‘ngs Lead (6)
iovesigaton Super
PS e Perla vest o role veal spat oda anata and estonia core cases
‘Shang daa bes practice an essns learned
‘rganing knee shy senso share dala ven ineatigatlens knowlege wai the business
‘Werk wit ivesigaon ears eensureefecv use oferta processes, nang chaln custody record aed data nt
Conaict eviews ef vestigations undortakon to sos have boon ed
seat Daa ay sana lowing agreed or meeting gre
Improv and entancing the use f data in inostigatins
PCat We pay pan contact or POL estgtons tears soaking fo nereat, arc entance thr use of data and daa eos,
* ident, conscdate and sare the existing key Bol hin he business (such a8 FREDO},
ome
7 supp the Forensic Daa Ivesigatern carn cut He responstilis (as Rte above)
‘Re tal ct Won oang lca data owe ad supe mestgatnstean Tsui ne deep ls anager eed and
‘ecamended by the ea, a8 wl ak ghing gudance and aceon pose ators Acadia ths ole shouldbe abet sat yp geal woken a
‘Stvare devepran and corwruncate buses Fequements erecta to dovelopent ears
Investigations Support
1 provi bespoke daa anal support for spetichigh pote er complex vestigation
Santo ltagrate any bepoke anal apts atidul Woestgatons as Matoned the poet above} ito bln aplled ae aeployed more wal cn BAU bale
rong ad earn thus of aa ives
1 uc ht xp ne ea wl a pig Dens
{Bevelop and design ol and models to meet he data need nvesigton tam
Fowl oan ic ae ean mens Pt a esis of aortns that cul be made to exiting repos
: and veep in arena place win I tea ean te cain, valton and
jrocesag eta
“ake sve patin tegrting the Dat Paton proces lo streaming the vestigation worktow,
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les (cont) -_
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Detailed design — data platform
technology requirements
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Solution design = _
Ad; Data platform: benefits and potentia
‘Amore robust access to the transaction Information Is needed in order to redi reliance on Fujitsu and other data providers and
enable Investigation teams to have act all information near real time, enriched with add
Investigation teams, POL wide Data Platform project could be leveraged to serve investigation teams to
to data platform introduction.
Business Logic ~ Visualisation, Reporting } Business Logic layer
ve Bushoss Logie nforaton fo provide the infrmaton insight for
aa the investigation teams in a form of:
Data Consoidaton } + Ena anderen report contin al ansacton eta
cesignedforinesigan fea eared on use cars)
~ Dashboards proving insiotsuen Pig i
Data Ingestion } branches (movement on FREDD-O),supsous wansacsons
+ Advanced data analytics with machine ering mals
Fy cesigns to highlight sues cary“ sto Prevent an Predict
ie Data Consolidation layer
EVES ‘Consolidation of the information stored in the Data Platform, to
‘econ the date an tm rensacton mfornaten vate he
Iomaton and enh tne rfermaton
Data meth
Ss vom ~ Nesrreal me feed
+ Parsing oconmoniy wsod 9° party ropes io. Carlet
Vocain
- — oo ; —
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Lis Recommendations for data platform
nd consi
Recommended requirement jons for the Data Platform
Data import
+ Serve as the single source of truth for ll transactions for case investigations,
+The Data Platform may take data feeds from sources other than Horizon, e.9,
Dynamics, ServiceNow, Vocalink, Camelot, ATM dat.
Key Logging data shouldbe stored in the Data Platform,
‘There shouldbe robust import and validation processes for pulling data from,
Horizon end third party sources to ensure the data integrity onthe Data
Platform,
+ Data should be retained forthe statutory period (0.9.6 yoars ~ 1).
+ As part of the setup for data import, data sources should be categorised to
identity what typeof information should be immutable or editable, e.g
‘transaction data should be immutable, whereas pricing reference data could be
editable,
+ Aus logging should be in place for editable data to track the creation and
masificaon details of each transaction record, e.g. usemames and
‘imostomps.
+ The Data Platform may cary two layers of data. The first layer (0.9. Businoss
Logie Layer) provides near real-time data to teams such as Ter 1 that require
instant visibly. The second layer (og. Data Consolidation Layer) carios
delayed (¢.g. available next day) but complete and enriched data geared
towards foams such as Tior 2 and investigation toams, as casesissuos would
‘generally reach these teams hours or deys afer the transaction in question
took place.
bia!
> data import
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Lis recommendations for data platform (cont
Security
+ Data Platform needs to be designed with security in ming, including usor
‘access and administration, data storage and redundancy.
+ A secure data store (with clovatod access requirements) and special handing
procedures should be in place to account for sensive data that may be
racoived ftom third parties, to ensure thatthe Data Platform is compliant with
+ Acc9ss to Data Platform should be restricted, monitored and reviewed
Visualisation
+ Data Piatform should have foods from Dynamics and ServiceNow to pull in key
case and ticket information
+ By analysing the key information from the cases and tickets (0.9, FAD code,
Postmaster, issue type, monetary value), Data Platform performs automated
patiom identification, gonorateslogic-basod alors and prosonts the information
In dashboards, This can provide investigators wth visualisation for addtional
‘context and background information beyond the immediate case dotals.
+ Quick dashboarding for Tier 1 to look up branch information when recehing the
call, .g. recent transactions, curent balances, top transactions! products i
activity
bia!
ye
a Visualisation
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Lis recommendations for data platform (cant)
Processing and reporting
+ Investigations teams should be able to query and run reports on data as a sol
service. The age ofthe data should not be @ iitation as iong as itis within the
statutory period.
+ Produce reports that are tailored for investigations teams, with information and
fields that are moro rolevant and usablo than reports generated by Credence
and HORice.
+ Investigations teams should be able to customise reports with the help of POL
lmhouse teams such as Technical Data insights Lead.
+ Searches run on Data Platform should be recorded (query used, usemame,
‘tmestamp) for auditing if required,
+ Asaong-torm solution, apply business logic for matching transactions to
alleviate investigations teams of labour intensive and repetiive pracesses, as
Wall as reduce human errorin manus processes, essay aad
reporting
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Ab. Data platform use cases
Use case 1
Use case 2
Postmaster calls Tlr {for support wth transactional issues,
Tie agent cbtine FAD code rom the eller and queries tn Data Ptafom,
Daa Platform goneratss an overviow dashboard that consolidates and ransatos near ral data rom Horn,
Dymamies and SoniceNow 19 a visual prosertaion of kay information and statis onthe branch and calor.
on the overviow is sructued to bo wo ut hgh-ovo, so that itis bythe
Tier agen: quickly on he cl. Tis eq he agen wth kay information onthe branch uch ae recent sansactons,
current balances, fp ransacionsiproducs il aciviy, aswel as common pes of issues raised by the branch
roviously, and whethor tho curent isu has boon reportod by asigncant numberof branchos inthe past 24 hous.
‘The sim ofthe overview dashboard isto assist the Tir‘ agont wth early idenfication of issue (eg. user err,
widesproad syst issu), resuing in improved Postmastr exparince via quicker reco, higher oealzion rato at
Tir, and more accurat Vago escalation i equi.
‘A case has been escalatod'o tho Tir 2 vestigation tam in relation io card payment ansaction discrepancies
‘Tho vostgations toa woud tke ointrrogat a varity of data trom Horizon and third parts, such as transaction
‘ial, terminal IN pad Key Logging records, and Vocalnk records
‘As Data Platform pulls nd retains data tom various sources, the investigations team is abo to query Data Plaorm
and obtain information and ropa olovant tthe transaction of nor.
Data Patorm ao rocords and retains history of quotes and ropes exporad to frm par of ho aud tral This
‘ensures thatthe iwvosigaion is conducted na mannor thas rpoatablo and dofensble,
‘Automated analysis and visualisation of trendspattms by Data Platorm provides investigators wih deta such as
‘common types of issues by the branch or caller previously, which helps the investigators in exploring possible root
‘eauses ofthe issu
Using Qata Platform as a contraised system for data query and expo, information gathering wil be conducted more
consistently and efient}y, thus contbusng tothe improvement in quali oinvesigations.
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Lis Obtaining data - near future to-De process
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Lis otaring Ula existing ARO process t recommendations La
i
Fujitsu
‘POL 1. Requester dente intonation
fequired~detnes scope of the rete ana
eaves + SR ona a yr pare senso Da
2, Data reqestsubissonto ie =
Pot secu ect om
Fujtsu 3.Datarequestsubmisionto =F + Fagus atm brated Fults va Section
Foto z
Fo ov ky gg dl Keene etna
4. Futsu steps to reteve the data
2 ie ‘Ran Sty paseo ng be root POL pe pra os
ea proes ata to POL
POL 6. Datarecowvedby POL Security
Team
7, Requester receves data and
Dertrmevaistion stops
8. Investigator stats to conduct
soatsle
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ogging request form form 7 —
Ly; ARO anid key
[At present, POL data requesters use the ARO Form to
request ARO data from Fujitsu. This is sent to Fujtsu via
‘tho Post Ofico Socurity toa who koops track ofthe
requests for bling purposes.
This form could be quickly and easily modified to incude
‘he option to request Keylogging detain adction to ARO.
data, as shown in blue (in the image tothe right
‘The long term solution isto use a ServiceNow form to
stroamine the process,
‘ARQ request V7.docx
Mero Word
‘Documest
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Detailed design — data sources
catalogue
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AG: Data SOUICES Cat2I00LE
The Data Sources Catalogue lists the data sources and reports used by
investigations team within POL. The catalogue captures the use case for each
lta Merchant sources and can be used as a reference guide for investigators to identity reports
2° Enquiry Team avo Pant which may be valuable to their investigations. The data in the catalogue was
SC Te? ardayaPoral—_HORGE provided by each ofthe investigation teams in a catalogue template.
Branch Anal Network ‘The catalogue can be found in an accompanying Excel file with a screenshot shown
Meniering ae ie below. A lst of the teams and systems captured is also shown inthe table below.
(Give Review Team ar Toa Nasa
‘orrs:invesipaton and
Resaluion Team (CAT) CS eg
pies rsa PAL
Po Ofice Data
‘en tem Reconlaion Team Credence Eschange Serer
Posaster Account Suppor.
Team aris ual
Dyas Small Stock Landing
rep caCt por
Financial
SharePoint TESA
FaED00 "action
Gemako fry
Glotat ine Vocatink
wold Sem —
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Document and stakeholder
engagement lists
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A7:Document Ist
BLANK- CRT Investigation checks 3.doex
urse of this work we reviewed several documents. They are listed below.
Sample CRT investigation checkist
‘DRAFT FOR DISCUSSION PURPOSES ONLY
15 October 2020
Fujsu Branch Checks Required 19 10 20xi5«
sto ssues that requed Fjtsu branch checks
19 October 2020
Horizon anaivis W033 (002) doce
Overview of the FT architecture of Horizon
20 October 2020
{GLO Horeon IT Teamv03
GO organisational chart
25 October 2020
pecount martha
st of preducts handled by BRT, sample BAT transactoncorecton
2 Novernber 2020,
‘Transaction History ark i 150920 daft vO.docx
Lar Hllavestigation report
13 November 2020,
UUEM-012b- POLIT Landscape v1.5 (002).docx
Overview of the architecture of Horizon
17 November 2020
‘ARQ request V7.docx
Sermple ARQ data request form
18 November 2020
‘Messages Extract Databaze for POL (002) az of 2411202030
Reference lstng for message codes used In Horizon endpoint terminals
25 November 2020,
‘Avondale Read Timeline doce
“Avondale Road investigation report
130 November 2020,
lark hil data doox
Samp key logs documentation
2 December 2020
esl Dem
mis level queries
LUstof BRT tivesholds for diserepancy write-off
7 Deceriver 2020,
POL datasources catalogue vise
sts of reaorts used by investigations teams
11 Decemiser 2020
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A7-Stekeholder ist —
a ——— =
— a —
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A7- Stakeholder list (cant) —
Stove Page Horizon arcioetre {November 2020,
Deve King ead Secury Archie TTeeeury arene ‘overber 2020,
‘Michal Stvens lors Proverton Manager Drach nas and lone proven (ONoverber 2020
Drew Maton Netwock Montringand Suppor Analat Branch nasi nd loss reveton, FAEDD.O 20 November 2020
‘Sree Boluchandan_Opertiona Aalst Branch and monerng wih HORS TO November 2020
Pauaterner Head of Sence er Corpora Tyee 1 November 2020
Serica Wanager Tor Accenture and Veriton Taye i Noverber 2020
Teud Patel Network Delvery Dretor ‘ey logging und network nals 72 November 2020
aston {Group Mand Anayes Deer Data Plt
‘ania Oparran $90, Chet Operating Ofer aa Pfr
Dean Whchead Sere Centr Suppor: Manager Dypamies and Pure 36 November 2020
[burs Tring __Extmal Cormunietons, Coporse Mss andl Communications __ Fag Cae Team 7 Noverber 2020,
Tony toss Head of Cyber Operations Security operons 77 November 2020
Sewn Bowl Rat Investgion requirement for Fuisu 1B November 2020
Mathew Lomon Fula Investigation requirement for Fis 18 November 2020
‘hropher ight Team Manager [a data rogues process 19 November 2020
Busnes Analie Teron areieere 7a November 2020
Srvicoow Syrem Manager Serie 26 November 2020
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Case for change in detail
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A8; Case for change - in etal
‘The Judgement of December 2019 found
failings in POL’s process for
Investigating stock and cash
discrepancies
‘The engagement was established in Oct
2020 to help POL report into the public
Inguiry and specifically on the points
‘concerning ‘lessons learnt’ and whether
progress has been made to prevent
failings happening again. This report
summarises our findings on the
processes of investigating transactional
Issues within Horizon and captures.
recommendations for improvement.
‘The KPMG review suggests that fallings
in the Horizon investigation proces:
stil persist
+ The processes for investigating stock
‘and cash discrepancies and transaction
corrections is at relatively low levels of
maturity with mostly manual processes
for collecting and collating data making
those processes prone to manual errors,
and delay
+The governance around processes is
weak with limited of Management
Information to track performance of
investigation team
+ Tools used by investigation teams are
not fit for purpose and data is not readily
avaliable
In the future, POL aspires to have lower
volume of Horizon transaction issues
requiring Investigations, more robust
and evidenced outcomes of investigation
activities, and prompt, fair and
communicative process for resolving
disputes.
DRAFT FOR DISCUSSION PURPOSES ONLY
The Horizon & GLO IT function has been
set up to improve and ensure the use of
data and evidence driven investigation
processes in investigating transactional
Issues within Horizon to drive to more
robust Investigation outcomes for both
Postmasters and POL supported by
appropriate technology
To deliver the vision Horizon & GLO IT
team wil:
+ “Foc undamentals’: Design a repeatable and
auditable process for investigating Fansactonal
issues which is driven by data and ensures
evidential integrity of data received from
Horizon to Posimasters
+ “Strengthen investigative processes": Build
governance and ool lo enable stronger
investigative processes
Shit o “Predict & Prevent: niroduce changé
‘te Horizon ang branch inastuclre to reduce
volume of transaction corrections and
implement proactive / predictive platforms to
adress issues sooner
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