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Chapter 05.Closure Process V9.2.doc.docglyn.burrows Page 1 23/11/2009
Audit Process Manual Volume
Chapter 5 Closures
9.3
Outlining the preparation, on site and post audit
processes associated with the closure of Post
Office® branches.
Network Field Support Team
May 2010
Stakeholders
Outlet Intervention
Team (:P32 File)
Agency Network
Change
Cash Management
Support Mail
Responsibilities in Change
Author/Owner Peter Jackson Aug 09
Assurance Field Support Manager
North
Authorised Network Support Manager
North
Communication Field Support Change
Advisor
Version Control
9.0 Change of Job Titles in Appendix B & D I Aug 09
overview of Planned
Closure,
The following has been
added;
Inform Admin Support of
pouch numbers and values
to be verified.
Contact Debt Recovery
Team to confirm outstanding
Debt 24 hours prior to
closure.
Contact Cash Management I Appendix G
to confirm CIT collection Section 24
times
Appendix D
Added extra information
regarding datestamp
Version 9.3
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security Appendix F
Section 5
Weekly reconciliation
requirements updated.
Appendix G
Accounting Procedure sections; 1, 5,
changed from Cash Account I 7, 8, 9, 11, 13,
to Trading Period. 15, 20, 23 & 28
Various processes updated I Appendix J & K
Section 1
Destruction Certs added Section 2
Overview of Closure
Process Updated Section 3
Overview of Planned
9.1 Closure Process Updated Section 6.10 Sept 09
Admin Support — Pre
9.2 Closure Updated App D Oct 09
Accounting for postage
costs at the office prior to
closure
App G Section1
Removal of withdrawn
reconciliations
Removal of Postal Order App G
summary Section11
Added checking to verify App G
ACC has been disabled Section11
Rems to BDC
App G
Activated and unactivated Section20
National Lottery
Scratchcards
9.3 Nov 09
Alteration to helpline number
App G Section1
Replace “Undertake a
Financial Audit as
prescribed in the Performing
a Branch Audit chapter of
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the Audit Process Manual.”
With “Undertake a Horizon
Final Balance.”
Version 9.3
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Section 2 OVERVIEW OF PLANNED CLOSURE PROCESS
Section 3 ADMIN SUPPORT (pre closure)
Section 4 LINE MANAGERS (pre closure)
Section 5 SCHEDULING ADVISOR
Section 6 NETWORK FIELD SUPPORT ADVISOR (NFSA)
Section 7 AGENTS RESPONSIBILITIE’S
Section 8 ADMIN SUPPORT (post closure activities)
Appendix A CLOSURE PACK CONTENTS 10
Appendix B CLOSURE LETTER 10
Appendix C P242 FINAL TRADING STATEMENT 10
Appendix D PRE CLOSURE ACTIVITIES CHECKLIST 10
Appendix E GUIDELINES FOR USING RMSD/SHARED SERVICE 10
Appendix F GUIDELINES FOR VAULTING CASH AND STOCK 10
AppendixG I CLOSURE WORKAID 10
Appendix H ACC DISABLING GUIDELINES. 10
Appendix I POUCH VERIFICATION SPREADSHEET 10
Appendix J AM PRECESION DATESTAMP DESTRUCTION 10
Appendix K I LUDWIG DESTRUCTION (SID) 10
Note:
Changes to job titles include
e Author changed from Audit Process and Change Specialist to Field Support
Change Advisor
e Assurance changed from Compliance RISK Lead Team to Field Support
Manager North/South
e Authorisation changed from Risk and Assurance Manager to Network Support
Manager North
e Audit Team & Lead Auditor changed to NFSA
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SECTION1. OVERVIEW OF CLOSURE PROCESS
Can Network
- Support Team
Subpostmasters Contract Advisor I» accommodate
By resi informs Agency Closure date
igns ! ,
Recruitment AR email request
SAR) Network yin?
Support
San Team and
ubpostmaster
submits Nacarey Soeee
resignation letter
report
NFSA completes
on site activity
and paperwork.
Contacts Admin
NFSA contacts
branch to discuss
pre-closures
activities
Support with
pouch details.
Admin Support
completes Post
Closure checks
All Post Closure’
ecks confirmed, yes ad
spreadsheet. No, contact,
Scheduling Advisor
Inform
Yes
Advisor
Programmes
closure
es
Add details to
Closure
spreadsheet
Scheduling
Advisor contacts
Scheduling
Advisor of Final
Rem.
discrepancies
Version 9.3
Contract Advisor
and Internal
Crime
If outgoing
subpostmaster has
another branch arrange
audit. If not no further actio
. required
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SECTION 2. OVERVIEW OF PLANNED CLOSURE PROCESS
The process is started once the Contract Advisor receives notification from
the current Subpostmaster that they no longer wish to run the Post Office
branch. A last day of service will be agreed with the Network Support
Team, who will attend to complete the final balance. Other Teams
including Agent Recruitment team, Property Projects and National
Business Support Centre are notified and complete specific tasks which
are aligned to their departments. Most sections provide forms to the
branch and they are documented as attached appendices A, B, C, E & F.
SECTION 3 ADMIN SUPPORT -Pre Closure
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
Version 9.3
Process any requests for attendance at closures within 48
hours of receiving email.
Check the annual leave spreadsheet to ensure that sufficient
resource is available within the geographic area prior to
agreeing attendance.
If urgent request (within 10 working days), telephone the
Scheduling Advisor with relevant details immediately.
Update the support activities spreadsheet with all relevant
details required on the spreadsheet.
Complete and send a multi-use form to Agent Recruitment
team to action required changes on HRSAP
Email whoever (FCAs, BDM, Property Projects, Agency
Recruitment etc.) has requested transfer to confirm audit
attendance is agreed within 48 hours of request.
Confirm any cancellations with the Scheduling Advisor via
telephone and email for activity within 10 working days.
Cancellations outside this time frame can be dealt with by
updating the support activity spreadsheet.
Act as a liaison point between Agency Recruitment and
Network Support Team in the event of resource not being
available.
Attach latest version of the support activities spreadsheet to
the Library at the close of play each day.
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3.9 Email OSG _Op_ Business_Change_Mail_Ir
forthcoming closures, wherever possible this should be within
7 days, providing them with the following, 7 digit branch code,
name and date ACC disabling required. Please note that
disablement can only be undertaken if notification is received
by 10am the day prior to the activity. See Appendix H for
process notes.
3.10 Place details on Transfer and Closures Booked database.
SECTION 4 LINE MANAGERS (Pre closure)
4.1 Consider any booked support activity when agreeing
Annual/Flexi/Sick absence.
4.2 Inform Admin Support of any agreed Annual/Flexi/Sick
absence using the generic email address, Audit
Requests@POSTOFFICE.
SECTION 5 SCHEDULING ADVISOR
5.1 Allocate resource using the resource guide within the
Scheduling chapter of the Audit Process Manual for all agreed
activities on the support activities spreadsheet.
5.2 Deal with any urgent requests for attendance at closures from
Outlet Support teams.
5.3 Include any relevant details in the auditing scheduling sheet
i.e. CViIT collection times if known, method of despatch -
Shared Service.
5.4 Confirm any cancellations with the NFSA via telephone for
activity within 10 working days.
5.5 Confirm the dates of any cash centre audits and the level of
resource required with the Admin Support at the earliest
opportunity.
5.6 Consider agreed support activity when allocating resource for
cash centre audits to ensure sufficient resource is available to
meet transfers and closures.
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5.7
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Update Fujitsu services (lan. Venables” ___) of any
changes to auditors pass numbers. This information is used to
verify calls to Fujitsu for Transactional Synchronisation.
SECTION 6 NETWORK FIELD SUPPORT ADVISOR
6.08
6.09
6.10
6.11
6.12
The process for undertaking a financial audit and verification of
reported figures are covered in the Audit Process Manual
Chapter 3, Section 2; therefore, only additional actions
required at closures are outlined in Appendix G.
Planning of support activity should be undertaken a minimum
of 5 working days prior to attendance. Best practice is for
contact to be made with the outgoing agent as soon as the
plan is issued. This will help to influence the agent to
undertake the Pre Closure Activities listed in Appendix D and
that is sent out as part of the closure pack to the branch.
Prior to completion of balancing check that all the boxes that
contain the office records have the correct postage on and that
any other items to be mailed out upon completion have the
necessary postage on. Any postage costs incurred should be
claimed as Official Postage at the office prior to balancing.
Should anything remain after balancing that will incur postage
costs, take the items to a local Post Office (not a Crown Office)
and ask the office to account for the postage cost as Official
Postage.
Ensure that spare closure packs/rem pouches/ Form P2613
are held in the event of unplanned closures or non-receipt of
closure pack by branches.
Inform Admin Support of pouch numbers and values to be
verified
6.12.1
6.13
6.14
Version 9.3
Contact Debt Recovery Team to confirm outstanding Debt 24
hours prior to closure.
Contact Cash Management to confirm CIT collection times.
Complete a final check of the office to establish that all stock
and cash have been accounted for and prepared for despatch.
Ask the agent to confirm that all stock and cash have been
accounted for.
6.15
6.16
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Unplanned Closures/ Contact the appropriate Contracts
Manager to make a decision on what is going to happen to
value items, (if they are not available to go down the list on
toolkit or on page 3 of NFST Telephone Numbers booklet).
(Phone numbers are on page 3 of NFST Telephone Numbers
booklet) If still unable to contact the Contracts Manager then to
contact their line manager for decision.
If any problems arise regarding Royal Mail collections from the
Branch or post-boxes within the immediate vicinity. inform
Royal Mail. Collection Support Manager GRO 3or
mobex_ GRO I ee
SECTION 7 AGENTS RESPONSIBILITIE’S
7.1
7.2
7.3
7.4
7.5
Complete Pre Closure Activities detailed in Appendix D.
Confirm to the Network Field Support Advisor on-site that all
the stock and cash has been accounted for.
Destroy any un-used forms and manuals. Must be treated as
confidential waste.
Remove any external signage.
Ensure that someone is onsite so contractors can move
equipment from the branch.
SECTION 8 ADMIN SUPPORT - on the day and post closure
8.1
8.2
Version 9.3
For all closures audit activity, check the inward and outward
rems whilst NFSA is on site. If not possible to verify whilst
auditors are on site, ensure that they are completed within 72
hours; escalate any unverified cases to Internal Crime,
Contract Advisor and Scheduling Advisor. Inform NFSA of
outstanding debt details.
For all 12B audit type activity, verify that the cash pouches
have been received and checked within 72 hours of the
closure and maintain the spreadsheet on the team drive, under
Pouch Verification. Escalate any unverified cases to Internal
Crime, Contract Advisor and Scheduling Advisor. See
Appendix I for SPREADSHEET
APPENDICES
APPENDIX A
al
"The Closure
Pack.doc"
APPENDIX B
pal
"Closure Letter.doc"
APPENDIX C
"P242 Final Trading
Statement.doc”
APPENDIX D
pal
"Pre Closure
Activities.doc"
APPENDIX E
RMSD.SharedService
doc
APPENDIX F
wl)
Vaulting Cash &
Stock Guidelines v2.3
APPENDIX G
I
Closure Workaid
Version 13.4.doc
APPENDIX H
"ACC disabling.doc"
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APPENDIX I
"Pouch
Verification.xis"
APPENDIX J
=)
‘AM PRECISION -
DATESTAMP DESTRU:
APPENDIX K
ial?)
LUDWIG LTD - SID
DESTRUCTION FORM.
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