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ROTA CHECK PROCEDURE
Duty Notes
The procedure for analysis of branches and production of fraud and conformance reports
Andy Wynn
Produced August 2011 (Version 2.1)
(Based on version 1 by Cathy Macdonald and Richard Allen)
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Introduction to Rota Checks
A Rota check is a name used to describe any branch that has been, or should be investigated by the Fraud &
Conformance team in Product & Branch Accounting. This document attempts to explain this procedure in full.
There are many aspects of everyday branch operations that we can check to understand a branch position at a
moment in time.
This is an ongoing process, and as such modifications can be made to this procedure and this document at any
time. This document can be accessed in the following location:
T:\Finance\Finance Product & Branch Accounting \Finance P&BA Branch\Branch Control & Cerformance\Duty
Instructions \Rota Check Process.doc
Starting a Rota Check
Initially, a branch will be identified for a rota check for any of the following criteria:
Requests by Contracts Advisors, Security
Branches escalated by other teams in P&BA
Branch identified as a problem office e.g. Cash concerns , reversals
Random checking
Watch list
New Postmaster
When a branch is identified as requiring a rota check, the person responsible for performing the rota check
must start a new SharePoint item. The SharePoint site for the fraud and conformance team is located at:
Attp://iplatform-sp.intranet point/sites/fraudconformance/Lists/Rota %20check%20recording/Allitems.aspx
This can be copied and pasted into the address bar of Internet Explorer.
If you then click on New /tem (see fig 1), you will be presented with a series of questions about the rota check,
which can be answered by following the procedure detailed in this document.
If you are returning to a previous rota check, click on /ilterand then select criteria, like the FAD code, your
name, or the date of the check to restrict the list.
Fraud and Conformance
Rota check recording
jew Details of branches who have been checked in P&BA across a number of categories
ks “ZjNew Item I “Eritter I GAEdit in Datasheet
kes, O Fad Code Hame of Postmaster Branch Name He's long has postmaster been in ¢I
day 232313 Mr Sukwant Singh Garden Farm Unknown
ih.
Tecan!
Fig 1. Rota check recording SharePoint site.
Please bear in mind that the SharePoint site has a 30 minute inactivity timeout enabled, which means if you
don't click save at least once every 30 minutes, all of the data you have entered since you last saved will be
lost. Most people that are new to Rota Checks can take well over an hour to complete one, and longer if there
are issues to be raise, so plan accordingly.
Please also be aware that the SharePoint site is available to view by colleagues from around the business
including Network and Security. Therefore details must be logged in a clear, concise and consistent manner
whilst avoiding the use of jargon. The details you log may be need to be used several months later and must
be easy to understand - remember that not everyone understands the reports that you are using , they will
not always know how to tell if a branch is rolling a loss etc.
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The Initial Questions
The first few questions can be answered from either the config database (See the appendix for the location of
this) OR from the Template spreadsheet, which is located in
T:\Finance\Finance Product & Branch Accounting\Finance P&BA Branch\Branch Control &
Cerformance\Branch Control\Rota Checks\Template.xls
Using Template is the recommended method for performing a rota check, and will be covered extensively in
this document.
Enter FAD Code of CREDENCE download I
Branch Details
FAD Code: Po
Fig 2. The Template Spreadsheet upon opening
If you already know an office FAD code, load up the 7emplate spreadsheet, click the Enter FAD Code button,
and type the FAD code into the box. Uncheck the “Full Check” tick box, and click the Run button.
Items In RED DO NOT require a credence rota check download, r
FAD Code: } 004003 NewData Edit Current
(- Partial Check
ea I) T Spoilt Postage T Non-Sales [~ Branch Trading
T Cash T™ Stock Adjustments {~ Green Giros I~ Scratch Cards
T™ Im & Out Payments T All Sales Reversals Green Giros
I cheques Sales Reversals F petal p~ Graphs &Old
T cheques To EDs T™ Sales Reversals FP Missing change cn
- ; I Non-Sales Reversals T cat ofF ge Swing
I~ Transaction Corrections
Other Check Ttems
Ir Traveller's Cheques T~ LoanTo PO [~ MYL Losses Cancel Run
Fig 3. Starting a new Rota Check with just config
A progress bar will be displayed, and after a few seconds, the locally stored data on the branch will be
displayed. This includes a lot of information that is initially required. At this point you can fill in:
© Date of check (in format dd/mm/yyyy)
Period of check
Checked by (your name)
FAD Code (the six digit version)
Branch Name
Number of Counter Positions
Name of Postmaster
How long has postmaster been in post
¢ Does the postmaster have more than one branch
Amongst others, but lets not get too far ahead.
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Here is a little explanation on the less obvious of the criteria that needs to be determined before we go any
further:
‘ © Intervention or Analysis - This will default to Analysis for new rota checks, and unless you have a good
reason to change it, it should probably be left on analysis. If you intend to contact the office, this
should be marked as Intervention, and the Details of Contact field must be filled in after your contact
with the office.
* Reason for Checking - The default is N/A, which should be sufficient for most Rota Checks (as you
don’t have a specific area to focus on), but if there is a specific area of concern, then this should be
changed accordingly. New Postmasters have their own option in here.
e Part or Full check - Unless told otherwise, or if speed is important, a full check is recommended, as
this will highlight most concerns about the office.
* Number of Counter Positions - This is also known as the number of Horizon Terminals, as horizon is
the system that postmasters have to use to process all transactions and communicate with the wider
post office network. This is an indication of the size of the post office, and can go some way towards
explaining if they have a large amount of cash on hand.
¢ How long has postmaster been in post - Statistically, newer postmasters are more likely to behave
fraudulently, and have issues with non-conformance.
At this point, it would be advisable to fill all of this data into SharePoint. Then we can draw in the other
required data about the post office. The other things that can be filled in without further action are:
¢ Other Branches linked to the postmaster - If the postmaster does have more than one branch then
inside template, you can click on the number of braches and the list will be displayed and copied to the
clipboard. This information can then simply be pasted straight into the SharePoint site. If there are
more than 10 branches, don’t provide the list, just provide a total, e.g. “PM has 31 branches”
Horizon Terminals:
Postmaster Name: Rymans Ld
Start Date: * More Than Yeats (26/08/2001)
Contact Number:
of PM Branches: 4 [Click to View List)
Branch Trading Group
Complete BT On Time
Fig 4. Postmaster Branch List
¢ Does the Branch have a BO! ATM - This stands for Bank Of Ireland Automated Teller Machine,
Essentially, does the branch have an ATM machine?
«Is this a Lottery office - Does the office deal with lottery transactions like scratchcards and winning
tickets?
Please also remember to save and close periodically when using SharePoint to prevent data being lost
Fraud and Conformance
Rota check recording: New Item
(ASave and Close I () Attach File I Go Back to List
Fig 5. Remember to Save and Close!
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Retrieving Additional data for Analysis
So far, all we have looked at are details of the branch that don’t change frequently, if at all. The only way to
get recent data is to download it from a database called Credence, which can be accessed at:
http://polboxi. polmi.point:808O/Info ViewApplogon jsp
You will receive a username and password for this system from Ashley Hall or Marie Pyatt. The username will
be in the format firstname.secondname
Once you have logged on, you may get a blank screen with just a header:
)
2% Home I Document List I Open + I Send To + I Log Out I Preferences I About I Help
Fig 6. Credence header
In this case, just click on Home to get to the main screen. When you are on the main screen, which looks like
this: .
Fx
=) F381 I New + Add I Organize ~I Actions » I Search title
: Title * Last Run
Y Branch Overviews - Hon Sales- 2 Year Data \ *
i i
1 Public Folders Branch Overview - Sales - 2 Year Data
t
© ' Branch Overview - Sales - 2 Year Data (Item ID} I
Fig 7. Credence Homepage
Click on Public Folders on the left hand side of the screen, then enter Finance, then P&BA, then Branch
Control, and scroll down in the right hand side of the screen until you see an item called ROTA CHECK. (You
may need to go to the next page by using the controls in the top right hand of the screen.)
Ho4 ff jofa bon
Fig 8 Page Controls
I:
F S ROTA CHECK
I
ic
Fig 9. The ROTA CHECK Credence report
All of the items with this icon % are called Credence Reports, or Credence Web Intelligence Reports.
Double Click ROTA CHECK and after a short delay, you will be asked what context(s) you wish to use with the
query. Select EVENTS, then after another short delay, you will be asked for either 3 or 5 pieces of information.
The Location FAD code is the same FAD code we have been using so far, and the current buisiness dates are
provided on the Branch Detail sheet of Template. You may be asked for two sets of dates, with both a Start
and an End date. If it requests a 10 week date, enter the 10 week dates from Template, if it doesn’t specify
the time period; enter the 3 month dates from template. (See overleaf)
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Branch Data Periods:
I 7t08Mtt
I-osiosnitter#08itt
Period 05 2011
THosi2ont
Business DateiStert}: 024072040 00:00:00 _ f=
Enter 10 Yk Business DatsiEndi: 1312/2010 00:00:04
Fig 10. The Branch Data Periods from template.
Once these dates have been entered (there is no need to enter 00:00:00 on each one as well), click Aun
Query. This query will take several minutes to run (usually between 2 and 5 minutes), so it is recommended in
the future to start this running, and then do the initial work of transferring the fixed branch information
discussed in the previous section. Once the report has been generated, you may see a message like this:
Giro Cut Off
Lean To PO
Fig 11. Data Retrieval Failure.
If it has that many items on it, it is unlikely to be worthwhile loading into 7ermplate, but if there are only a few
listed items, then there shouldn't be significant problems. There is no reason for concern if Loan To POhas no
data for example, but recognising which areas are required comes with experience, as these are variable based
on the branch in question.
The final thing to do on Credence is download the report to your computer. This can be done by clicking the
Document menu, then Save to my computer as, then Excel.
Web Intelligence - ROTA CHECK
$ Document] ~I view ~ I 231 88 I ~ I[ioo% ]
Close
Save as
Save te my computer as. > Excel
Save Report tc my Computer As > POF
Sock Adjustments csv
BT Group evr pei .
© jn Gut Payments CSV (with options)...
Fig 12. Saving Credence Report
Click Save in the dialog box presented, and save the file to the following location:
T:\Finance\Finance Product & Branch Accounting \Finance P&BA Branch\Branch Control &
Cerformance\Branch Control\Rota Checks \kFADCode> IROTA CHECK.x!s
Where <FADCode> is the 6-digit FAD code of the branch. (If you only have a 5- or 4-digit code, lead it with
zeros. E.g. 004123). This file can technically be saved anywhere, but in the current version of 7emplate, it is a
requirement that the file is named ROTA CHECKxls.
After saving the file, it is important to log out of Credence, as the system reserves resources for logged in
users, and it will not log you off automatically until 8pm.
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Importing Additional Data into 7emplate
Now we have a saved Credence download, we can import it into the 7emplate. Open up the copy of template
that you still have open, or load up a new one. (See the Appendix for the location of 7emplate)
Click on the Enter FAD code button, and make sure that Full Rota Checkis ticked. If you already have data
loaded into the workbook, this will compliment it, rather than overwrite it. The data can be forcibly overwritten
(for example, if you wanted to check another branch) by ensuring that New Data is selected.
g
Edit Rota Check.
Teepe nero
pirSen Ene NN UA
FAD Code: I 004053
£ New Data
© Edit Current
r- Partial Check
Sales Reversals
FF 5ek
Green Giros
TF coat
rt
PF Cia OFF
T™ Change Giving
f~ Other Check Items
T Traveller's Cheques I~ LoanToPO J~ MYL Losses
Cancel Run
Fig 13. Running a full Rota Check.
If will take about 30-40 seconds for 7emplate to pull in all information.
When it has, the majority of summary information will be available on the Branch Detail sheet.
If you are unfamiliar with the rota check procedure, or need reminding of the areas to highlight when
performing a rota check, the /nformation button on the Branch Detail sheet will add comments to all of the
relevant cells and sections. Before we get into great detail of the rota check, the next section is a quick guide
to Excel, and the major and useful functions and utilities provided. If you are comfortable with spreadsheets,
pivot tables, sheet navigation and autofilters, feel free to skip this next section, and continue on page 12.
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Excel Function Overview
An Excel workbook (Such as Template, or Config, briefly touched on earlier), can consist of many worksheets.
These worksheets are access through a series of named tabs at the bottom of the program. If the workbook
contains a lot of worksheets (Usually just referred to as sheets), there can be too many to display at the
bottom, and the user must scroll through these, using the controls on the left side of them.
[<> Branch Detail {Cash Data_{_In And Out Payments {BT Trading ATCs {1c Breakdown _X Scratch Cards {checI<_]
Fig 14. Workbook Tabs
The Branch Detail sheet is always the leftmost sheet, so clicking this arrow (¥ ) will always display it on the tab
list.
Let's take a closer look at one of these sheets that holds a lot of data. This is the Stock Adjustments sheet:
3 os ON loan fereee[ [Som Aguameet-Pesuwe [1 [oath I
q om [sexaet —— [ares [Som Agunneet-Perun [2 [sven ream fo z
2] fone [meson [ress — [FF [ose [ora Ser Agus Peru ie io
eco [mown [reese — [FF [eae — fre Soe Agua Penure [2059 —[sucg Sreuiae ———[o
coo fueron fans — [Fr [pews ——fersa —[w [sea aqunnet-Pesaee Ib a a
= er fuosnen feast — [rr [peat — Terre [set Aguseet-Posure [SO Sarer ry ir
r io faoson [aoe — [a freon —— [err fs [Sent Aguarwe:Peswre [6 [Pesan Siok Fe
I foro saeco fssean — [re foewani Teresi Stet Ada Posare_[t [eas a ir
a cI cn ea ak [pavarsia [Sek Aauseet-Posere [SE I Op Oo B
rae ood a oa [panini rete [Soa Aaineet-Possee [em a [
ce] foam mean ass [FF [oavaet —— [arene [Sea Agunet Pome [5 [omSmreroaan —[o 7
Fig 15. An Example of the Stock Adjustments Worksheet.
As you can see, there are several points of data in this list, and this is organised into columns and rows. A
column is headed by a letter, and stretches the entire height of the page, and a row is headed by a number
and stretches the length of the page. Where a single column and row meet is called a cell. This cell's reference
is given by the column letter and the row number. In Fig 15 above, the cell A3 is selected. There are millions
of individual cells on this worksheet, but most of them are empty. Each cell usually contains a single point of
data. Whereas all the data combines to form a worksheet, the area enclosed in the thick black border with the
red column heading is called a table (or more correctly, a sub-table).
The example in Fig 15 is a typical occurrence of the Stock Adjustments worksheet. In a large branch, this will
go down for several hundred rows, In the Green Giros worksheet, there can be in excess of six thousand rows!
We could analyse this data by hand, but it makes far more sense to filter it for the criteria that we require.
Autofilters
If we decide that a certain employee requires investigation on the stock adjustments he has performed, we can
use an autofilter to filter this data. If you select any cell in the area you wish to filter (an autofilter will apply to
all data in the section above, if you were to select any cell in the range B4:N89), then click the Data menu
option (at the top of the screen), then click fitter, then autofilter.
ta I Window Help
Eiter > I[v= autogiter U
iff I Form... \ show All
tial] PivotTable and PivotChart Report... I Advanced Fiter...
I Import External Data
I ust
XML
I ¥ 287802
ter rr qoert00i 867802 [16
rears
Fig 16. Where to find the Autofilter Option
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This adds small down arrow buttons (J) to each of the colurnn headers in the sub-table, and when you click
_ on this arrow, a list of all unique iterns in that column will be displayed, as well as some advanced features
such as Sort Ascending.
FF doin 887914 16
FF I oenoor sera [16
18:08:41 A DTHOOt 48877 16
755920 [FF Iarnsco 278880 [16
e500 (FF I Mzaoot 278880 [16
16153 [FF I pxooot 270886 [16
18:18:53 FF ‘YJEOO1 27esss 16
ava [PF error 27685 [16
Fig 17. Choosing an employee to filter hy.
So, we have decided to look at this employee in detail. If we click on his ID code in the drop down list, all other
ID codes will be hidden from us, to give the following table:
[stock use [reasaction Mote Code]
fps fs 7
2 fons foveszoi_[eotar — [rs hs (ear [rome ——Te
= [ovo fzmoozer [snes — fos ig es tr
3 favo LN g ae Cy i EiI
a fo avaon Irasas — [rs [anaans —— [ene fe r
for avai roms [Ps [anans ——_Jnose fe a ec iz a
Fig 18. Stock Adjustments filtered by User ID for user AHAOOS
Notice how the down arrow in the header of the imployee /D column has turned blue, and the row headers
have also tured blue, to indicate that there is an autofilter in place and some of the data is hidden.
We can apply more specific autofilters too. Say for example, we were only interested in transactions that took
place in July by this user, we can filter the Date column to only show dates after June. If you click the down
arrow next to Date, then select (custom) you will be presented with the dialog box in Fig 20.
Show rows where:
Date
[is greater than or equal to ¥] [euo7izouil iy]
@and Oor
I ¥I I I
Bt06/2011
2210812011
aTroT20nt
Use ? to represent any single character
Fig 19. Selecting the custom filter Use * to represent any series of characters
option
Fig 20. Choosing criteria to filter by
To understand this, just start reading at the top of the box, and sop reading at the point you stopped entering
data. Fig 20 reads: “Show rows where Date is greater than or equal to 01/07/2011. "This essentially means
“Show all dates in July and all following months”.
These criteria are much more powerful and flexible than this, but this was just an overview.
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Pivot Tables
As you have seen, this Template workbook can hold an enormous amount of data, and the key skill required of
anyone using it is getting to the relevant data quickly. Autofilters do this well, but they always hide data. Pivot
tables have the ability to place all of the summary data in full view, and the filtered detailed data just a double
click away. They are slightly more complicated to set up and use, however. This is essentially how a pivot table
works:
Product Date Amount Period Deb Cred Caused By Volume of Errors Caused by Branch vs Errors Caused By “Other”
Cametot otoszoe #281000 201005 Debt Btanch
Camelot otoszo £28200 20005 Crest «Branch Peviod [tan
CashFems ToBianch 19920 $500 2oPO5 —Credt Other
Aon esoaz0 £500 200PO5 Debt Bench [Court of Amount
Bureau zaor20 «£451 2010PRL_os) ana ro I Test
Camelot sans200 «£8800 200PH} Debit Branch Branch Ed
Camelot snoszow —-t72800 2omPh cu __euanch nee 3
Camelot eso72m0 «£2800 200POF = Debit «Branch ta
Camelot 0307200 © $51200 200POF Debt «Branch [Grand Total nm
Camelot 506200 £001 2010P03 Debt Branch
Camelot e20s2n © £001 201003 Credt Branch
ova 11062010 £20060 201003 Creét_———Bvanch
Suspense 16062010 £15000 2010P03 Credt_ Branch
Ontine Banking 1905200 £19000 2010P02 —Credt_——Btanch
AN 0304200 £800 2010P01 —Debt_——Branch
Bureau 04200 £180000 z9FOI Debit Branch
Bureau 2eo4200 e874 200PO1 = Debt, Banch baa [>]
AON os22008 #800 2009P03 Debit Branch [Product [¥] Count of Amount_Sum of AmountI
Bureau 15122008 £897.10 2009P09Credt_ Branch [At -ManualDepost 1 7424
CashRemsFromBranch zusez0e £20060 2009P09 Debit Branch 1 £1700
CashFemsFromBianch ‘122008 £1000 2009P08——Debit_—_—Bxanch 5 £4000
Bureau a co ? a1p2438
CashRemsFiomBranch entzo0s £1000 2009F}8—Credk_=Branch fo £29600
Cheques ToEDS zanzo0s £3630 2008Phs Debt Branch 1 40.90
AL Manual Withdawat 18082003 £17.00 2008Phs Crest. Branch 4 £22000
Aon ‘082009 £3.00 2009Pf6_Oebit_ Branch 2 #1000
Bureau 9082009 £7538 2009P08 Debit Branch 1 #9830
Bureau 2072008 «£192 2008F0t Debit ranch 2 £28250
ova, 1.072008 £8250 2003P04 Crest’ = Branch 1 £19000
AON 13052009 $1800 2003P03 Debit «Branch 5 #150000
Camelot asipay 23052003 £40.00 2003P02 Crest Other {ttanky
Suspense 15052008 £2500 2009P02 Debit «Branch [Grand Tota 2 22828
Suspense 9052009 £2800 2008P02 Credit Branch
At -Manual Deposit o1ot2009 £87424 2009PO1 Cred Branch
Camelot 01052008 £28760 2003P01 Debit «Branch
Camelot 01062009 «£1250 2003P01 Debit. «Branch
CashRemsFromBranch 21042009 © «£2000 200301 Debit «Branch
CashRems ToBianch 03942009 £500 2003PO1 Creat Other
Suspense 21052009 £108.00 2009P01 Debit «Branch
Suspense 21042008 £10400 2009P01 Credit Btanch
Fig 21. How pivot tables work. (Taken from the Transaction Corrections Page)
In essence, the table on the left hand side is the original data, where the two pivot tables on the right hand
side use that data to generate summery overviews. The top pivot table is very simple, as it just shows totals of
the two listed causes in “Caused by”, whereas the bottom pivot table shows a list of all unique products, the
total of the amounts for those products and how many of each that there are.
If we take a simpler example, based on our previous Stock Adjustments data, we can use the pivot table to
access the original data by double clicking a data cell in the pivot table.
In Fig 22, if we were to double click on the highlighted cell for cheques, it would create a new sheet and put
the data that is exclusively relevant to cheque stock adjustments in it. Essentially, the cheque data has been
autofiltered with a single double click! The results of this are shown in Fig 24.
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Yol & ¥al of Stock Adjustments by Product
Data__[v]
Count of Amount_Sum of Amount
emLong Name
Cash
Cheque
‘Olympic&Paralympic PP
‘Other Stamps Ordinary
PO Phonecard £10
POPhonecard £5
POL Cheque
Postal Order Stock
{blank)
Grand Total a £358.85
Fig 22. An example Pivot Table, with a cell highlighted
anes o+ ae
1) fle EGR Mew Irsert Feyinat Jools Dota Window Hey acuastonferhep +. 8X
DGASAMA MTHS Be fio 19, SO A by ad 008% ~
Tass Zw IES SD eo SSE) S~ Co~ A -i ye 1 tice Sipnttte aracreckdwe & @ Sroooitoge OTL!
AL = fe FAD
Aya [—¢ [5 [eT FT ia H i a
T [FAD Date Start Time Stock UNIO Employee 1) Session Transnclon Wode Cove —Tronsncion Hove — Trem 10 Nem Long Wame Reversat indicator
2 (DMO ATE 14916 A. DaLoos 57764 16 Sock Ausiment- Posie 2 Cheque i
3 aOrae 14sg4 ‘VieDoI 576180 16 Slock Ajustment Poste 2 Cheque 0.
4 pownos: 07S 15019 ‘YuED "6 Slock Aujustment - Postve 2 Cheque D
5 owns 078 170 RKOODT 16 Stock Asjsiment = Postire 2 Cheque 3.
3 fos 40732 10: 16 Sock Ajusiment= Posive 2 Cheque o
} 7 jood0es 40732 09.03.08 WMADOT 16 Stock Adjustment - Positive ZChegce, 1
1 joo5_atrso 05.020 MAOOL 16 Stock Adjustment - Poste 2 Cheaue i
bs OTS 12:At oS MAO 16 SieckAajusiment= Posie 2 Cheque o
70 posta 070 122804 KOOOI 16 Stock Aajusiment- Posie 2 Cheque 3
it OS 1657-0 WAMAOOT 8 Sleek Adjustment -Postie 2 Chegue 0
2 Ha 18192 KOOL 652312 16 Stock Aajustment Postne 2 Cheque 0
1-13 yoos003 40715 150551 FRADO? 77ST 16 Stock Adjustment - Positive 2 Cheque a
ja poss aoris 11381 DiiGor 271178 1 Sock Austen! Posie? Cheque v
15 joowos 20624 16-1953 PBEM 655048 ____ 16 Stock Adusiment - Positive 2 Chease, 3.
16 foson3 40535 ‘Seyoot “2765s 16 Siock Adjustment Postve 2 cheque i
i> WZ Te eresiclown Z Scratch Cards Z cheque Data_{ cheques To e0s_{ Spait Postage Sheet {Stock Adus I<
Bead conto
Fig 23. The results of double clicking the cell in Fig 22.
This new sheet can be deleted safely with no repercussions to the rest of the worksheet. To delete the sheet,
right click on it, and choose delete. (Fig 24) A warning about data being potentially useful will pop up, but this
can be ignored.
Any of these data cells from Fig 22 can be double clicked on to generate a new sheet full of information, and if
you double click on the very bottom right cell, labelled Grand Total, the entirety of the original data will be
shown.
Selection Criteria
When a range is selected in Microsoft Excel, the current Sum or Count of that information is shown in the
bottom right hand comer of the screen. You can right click on these to change them to whatever you like.
I Insert... I
Delete -
I Rename
I Move or Copy... I
Select All Sheets I
i Tab Color... I
I--——I Gli view Code
Shetcr+ SATU
Fig 24. The option to delete a sheet
Count=11
Fig 25. The alternative selection criteria.
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Navigating Template
Most of the information required by a rota check is summarised on the Branch Detail sheet of Template. In
most cases, these cells can be clicked on to view the specific information. If you are in a specific sheet, cell A1
can be clicked on to return to the Branch Detail sheet, and there will be links to the next and previous detail
sheets for the rota check. For example, if you are on the Green Giro Details, the next link will show Sales
Reversals, and the previous link will show Missing Green Giros.
If any cell is highlighted in blue, then it should be recorded in the rota check.
Occasionally, there will be data hidden off to the side of a sheet, usually a pivot table. This data can be very
valuable in explaining the situation, and it is recommended to scroll a short way to ensure you know where all
the data is.
There is also a small section at the bottom of the Branch Detail sheet which allows verbose analysis of the
data, arranged in a readable format. This is not readable from within template but it has been designed so
~ that it can easily be copied and pasted into SharePoint.
>>22>>' Green Giros Green Girosiiit35 Total, 23 by Fi
Sales Reversals 1110 Total, for £0.00, 248 by PBEOO! Sales Reversals Sales Reversalsijiti10 Total, for
Saati eams 7 Total, for -£1,777,454.98, 3 by RKHO01, 3 by RK]
CUR tesiegm Nlon-Gales Reversalsill? Total, f
= Stock Adjustments. ‘Stock AdjustmentsIII83 Total, f
‘Stock Adjustments 83 Total, for -£358.65, Max = £3,500.00, 31 by DEy
Postage Rem InsiOuts [Ce apeno
Spoilt Postage 26 Total, for £248.88, 6by FRA0I2
Cash Analysis Spoilt Postage Spoilt Postageiti26 Total, for -£
Tes seomee TES Transostion Coveaionsf?8T.
Fig 26. The bottom of the template sheet, with the copy and pasteable cells on the right,
Es
¢ Rem Ins Rem Insil-2500 of First Class L:
©
Copy and Paste to
Rota Check
Rem Outs Rem Outsii4230 of Stamp SpecI
When this data has been pasted it will look like this:
Sales Reversals
1110 Total, for -£0.00, 245 by PBE001, 179 by AHA005, 153 by RKOO01,
104 by DEMO01, 80 by MMAO01
483 for ‘Cash’, totalling £86,230.49
Fig 27. The editable text output of the Sales Reversals Copy/Paste cell, shown above.
Maintenance
The Template needs data to run. Some of this data can be processed very quickly if it is in the correct format.
There are two buttons at the top of Template:
Go Faster this Week I Maintenance
Enabled Cash and Cheques Datais 2 Day(s) Old
Fig. 28 The Go Faster and Maintenance buttons.
The go faster button required almost no interaction. You click the button, click yes, then wait 20 seconds, and
it will allow Template to keep processing in 30-40 seconds instead of in excess of 50,
The Maintenance button is documented exhaustively in 7:\Finance\Finance Product & Branch Accounting \Finance
P&BA Branch\Branch Control & Cerformance\Duty Instructions\Rota Check Maintenance Procedure.doc
A More complete manual for Template.xls is available in 7:\Finance\Finance Product & Branch Accounting\Finance
P&BA Branch\Branch Control & Cerformance\Duty Instructions\ Template Spreadsheet.doc
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A Full Rota Check
At this point we should already have several points filled in on our SharePoint sheet, but let us reiterate them
here so all the data is in the same place.
It is wise to use the Bold, Italic and Underline features of SharePoint to highlight specific data. This can also be
of assistance drawing your attention to the points that you thought were worth highlighting when you
compose your summary of findings.
¢ Date of Check - Required to compare branch states across a range of dates. After several rota checks on
a single branch have been completed over a period of months, patterns and continuing issues will start to
emerge.
¢ Period of Check ~ This field should automatically default to the period of the date when the rota check is
started, but this should be verified with the period displayed in 7ermp/ate at the start of a new period.
© Checked By - When performing a new rota check, you should select your name from the drop down list.
This is used for monitoring individual performance.
e FAD Code - This should be recorded as the SIX digit number. If you have a seven digit FAD code, the last
digit can be omitted. If you have a four or five digit FAD code, this needs to be prefixed with additional
Zeros to make it a six digit number. E.g. 4003 should be entered as 004003.
¢ Branch Name - The Branch name can be found in either 7emplate or in the Config database, by
searching for the FAD code (Press Ctrl+F to open up the Find window in most applications, after selecting
the FAD code column)
¢ Intervention or Analysis - Use the drop down box to select either Intervention or Analysis
=> Intervention - Select this option if you need to contact the office. If you select this option you must
also fill in the Contact with Postmaster section, including the name of the people you
spoke with and the dates, times and phone numbers called, as well as a summary of
the conversation
=> Analysis - Select this option if you do not need to contact the office. For example if you are analysing
a new postmaster to see if they have any conformance issues.
e Reason for Checking - The primary focus of this criterion is for cases where intervention is required, but
this can also be used to provide extra information for analysis, if a specific focus is required, or if you are
performing a part check. If you are investigating a new postmaster, then select New Postmaster from the
list.
© Part or Full Check - A Full check is where the majority or entirety of the office is to be checked, whereas a
part check is just for a few selected areas
« Number of Counter Positions - This is also known as the number of Horizon Terminals, as Horizon is the
system that employees have to use to process all transactions and operations within their duty. This
information is on the Branch Detail page of Template, or can be found in Config.
© Name of Postmaster - This can be recovered from the Branch Detail sheet of Template, from Config, or
from POL-SAP. The details of recovery from POL-SAP are discussed in the respective section, but the
POL-SAP information is considered to be inferior to the Config source.
¢ How long has Postmaster been in Post - This can also be recovered from the Branch Detail sheet of
Template, or from Config or POL-SAP. Again, this process of recovery is detailed in the section on
POLSAP data recovery.
¢ Does the postmaster have more than one branch - This is listed in the Branch Detail sheet of Template,
or can be found by applying an autofilter to the postmaster column of Config for the postmaster’s name.
¢ Other Branches linked to the postmaster - This should be entered into SharePoint as a list of FAD Codes
and Branch names, headed by the total number of branches linked to this postmaster. If the postmaster
has more than one branch (and less than 500), you can click on the cell holding the number of
postmaster branches in Template to be taken to a new sheet with this information already presented in
the correct format. Select and copy and paste this information to Sharepoint, and Include a header with
the total number of branches.
[IF THE POSTMASTER HAS MORE THAN 10 BRANCHES, JUST STATE THE TOTAL IN SHAREPOINT] do
not include a full list.
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« Branch Trading Group - This information is provided in Template, as well as being available in Credence.
The procedure for downloading this information from Credence is beyond the scope of this document, but
it will have been included in the ROTA CHECK.xis file that you downloaded.
The branch trading group specifies which timetable they should keep to. Groups A and B are general
offices, C includes some Multiple Partners and the Northern Ireland Crown offices. Group D includes some
other Multiple offices, other Crown offices, and MVL branches.
¢ Does the branch complete their BT on time - Do they file their Branch Trading report on the period end
date? 7emplate will currently provide this information on the Branch Detail sheet, specifying if they are
on time. If they have “never submitted a report on time” you should go to the Branch Trading sheet, and
check the dates that they completed their statements against the dates they were supposed to be
submitted. If a branch is a few days late, there is not usually cause for concern, but if they are more than
3 days late, this may indicate either a training issue, or that they are reluctant to balance, and this needs
to be detailed in the rota check and specified in your summary of findings.
All branches should complete their Branch Trading according to their Branch Trading group, and the
postmasters have a contractual obligation to submit this on time, and he should show whether or not
they have a gain or a loss in his office.
It can help to check General Ledger 539590 for recent discrepancies, paying particular attention to
discrepancies around the time of the BT dates. The process for accessing General Ledgers is detailed in
the sections on POLSAP.
¢ Does the branch have a BO! ATM - This information is on the Branch Detail sheet of Template, or can be
found in Config or POL-SAP General Ledger 627047 for ZJ or RV (BOI or Branch postings)
This can explain high cash holdings
e ATM Details - Compare RV/ZJ figure + report time - Every day, the branch should enter the total amount
of dispensed notes from the ATM machine into horizon. This should be done at 16:30 ideally, but we
allow for a time range or 16:30 - 19:00, and any non-conformance should be noted.
We also need to compare the RV (Branch figure) with the ZJ (BOI figure) to ensure that they are the
same amount every day and there are no discrepancies.
This information is not included in 7emp/ate yet, and must be accessed from GL 627047. The process to
retrieve this is detailed in the section on POLSAP.
A high value KC entry that shows on a Monday's posting date should net to nil by the Tuesday. It is also
worth nothing that some branches may not submit weekend and bank holiday entries immediately. This
can go some way to explain mismatches.
¢ Is this a Lottery Office - Not all branches carry out Lottery transactions; this information is available in the
Branch Detail sheet of Template, or from Config. If they are not allowed to carry out lottery transactions,
it should be noted in the SharePoint if there are any transactions involving the lottery or scratchcards.
¢ Does the branch complete next day accounting - Each morning the branch should enter the value of their
lottery transactions into Horizon for the previous day. If the branches were to follow this rule, it would
significantly reduce the volume of Lottery TC's. Lottery TC's are one of the highest volumes of
Transaction Corrections across the network.
Every day a file is received from Camelot and is posted into POLSAA this data is matched with the
Horizon data entered by the branch, and any exceptions are shown in Open Items. This is in GL 627010,
and the process of accessing this is detailed in the section on POLSAP.
e How many scratchcards are on hand - Branches can hold a maximum of 12 packs of scratchcards. The
packs all have different volumes, and this is managed by Security, who maintains an active list of the
current scratchcards and the maximum scratchcards that a branch can have. The current volume should
not exceed the maximum volume, and both of these values are on the Branch Control sheet of Template.
If the current volume of scratchcards exceeds the maximum, the cell will turn blue. This data can also be
retrieved from A/S on POLSAP, but this is not discussed in this docurnent. The process can be found in
the Rota Check Maintenance Procedure document located in the Duty /nstructions folder.
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© Does the branch hold cheques at site - When a branch accepts a cheque as a method of payment, or
+ settles a TC to cheque, these cheques are considered to be held at site. The value will remain here until it
is remmed out to /PSL (This may appear as EDS, as these were the former contractors). Sometimes a
branch may adjust between cash and cheque and in the majority of cases this is done because the
incorrect method of payment was accepted at the time of the transaction. A branch acting fraudulently
may use the cheques at site facility to increase or decrease their generated cash holdings, which in turn
may result in extra cash being dispatched to the office, or simply as a way of hiding a loss ~ a fictitious
cheque.
Phone calls are regularly made by P&BA agents to branches holding cheques at site for extended periods
of time, This has helped to prevent high value frauds in this area. Template will attempt to perform a
rudimentary analysis on the cheque data to determine how often cheques are held at site, but this is just
to give an indication of the state of cheques at site. In the Cheque Data sheet, there is a graph which can
be analysed for the following:
=> The cut off for rem outs is 3:30pm (15:00). If the cheque has been received before this time, there is
No need for the branch to hold it overnight. If it is after this time, then there is usually no cause for
concern.
=> Is there a regular pattern
=> Does a peak in cheque holdings correspond with a drop in cash holdings?
This can indicate that the cheque may be fictitious.
=> Does the branch always have a value in Cheques at Site?
=> Does the same or a similar value reappear consistently?
=> Is the value steadily increasing and then fall to nil at Branch Trading date, and then reappear?
If the answer to any of these last five questions is yes, this should be noted in your report.
© Does the branch dispatch cheques on time - This can be found on 7emplate in the Cheques to EDS sheet.
This can be accessed by clicking on the cell next to the Dispatch on Time cell if there is any data to show.
Further in-depth analysis can be performed on General Ledger 553040 in POLSAP. although this
excludes Northern Ireland branches. Branches must rem out their cheques at site every day, Monday to
Thursday. These cheques are processed by IPSL, and a file which is summarised at branch level is posted
into GL 553040. This received value shows as a KC entry, and it should match the Horizon entry for the
same date.
There are several legitimate reasons as to why there could be a mismatch, but if there is an item that is a
few weeks old, the cheque team should be informed. If a branch has continuous discrepancies it could be
a non conformance issue.
Be aware that a branch may rem out a fictitious cheque, which leaves the loss with the Post Office until a
TC is issued, and the branch may balance if audited. Watch for activity around branch trading time.
© Postmasters own unpaid cheques - If any unpaid cheque TC's have been issued to the branch, these will
be highlighted in blue on the Branch Detail sheet of Template, and are also visible in the 7ransaction
Corrections sheet. If there are any, this must be verified with customer line items on POLSAP to verify
that the postmaster in question is responsible for them, and then the branch must be escalated. It is a
clear indication that there are problems with cashflow for the postmaster.
° Green Giros cut off correctly - Green Giros should be cut off at the close of play on Wednesday. If a
branch is not cutting off on Wednesday, this should be noted in the report. Record details of non
conformance, such as dates, times, and stock units. This information can be found summarised on the
Branch Detail sheet of Template, but can be view in full by clicking that cell.
¢ Missing Green Giro Enquiries - Santander receive a file detailing the volumes and values of cashed Green
Giros by Client Accounting Week. This data is verified by the paper cheques received by Santander. Where
there is a discrepancy between the two, a missing green giro report is generated and processed by the
Santander team. The enquiry is then forwarded to the branch that provides either a copy of the GG
listing, or the A4 Summary sheet. Branches may have missing green giros legitimately, because they have
not followed cut off procedures, they have sent them in the incorrect pouch, or they believe that they
shouldn't send them with the report, instead sending them monthly to coincide with branch trading
periods. Any of these cases make it obvious that further training is needed, and the other alternative is
fraudulent activity.
This data is summarised on the Branch Detail sheet of Template.
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* Green Giro Details - This is located in the Green Giro and Green Giro Detailtabs of Template. In the
Green Giro tab, we are looking for a year-on-year decline of the use of green giros, and if the branch has
more this year than last, this should be noted. We are also looking for any sudden peaks and troughs, as
this can also be an indicator of fraud.
In Green Giro Details, we are looking for any occurrences where several have been processed within a
minute by a single employee, or if more than 5% of the total volume are more than £449.99 (The
maximum value), or any whole number values. This last criteria is less indicative of fraud, and can only be
checked manually, or by using the excel formula =/F(<REF>=/N7(<REF>) <REP>,") (Where <REF> is the
adjacent Amount cell)in the blank space next to amount, and autofilling it to the last cell. Autofilling is
easily done by clicking on the cell’s handle, which is the black square in the bottom right hand corner of a
selection. Please also note that there may be more Green Giros in the winter.
«Reversals - All branches occasionally have to reverse transactions at some time. Reversals can indicate:
=> Isolated incorrect entry being rectified
=> Lack of knowledge of a transaction or product
=> Attempt to cover up fraudulent activity
The sheets for Sales Reversals and Non Sales Reversals follow the same process, but typically, there
should be about 60-80% less Non Sales reversals. The summary of this information is available on the
Branch Detail sheet, and all large values or high quantities are available in the Copy/Paste section to be
pasted into SharePoint directly.
In the Reversals sheets, any reversals showing against cash or cheque can be added up and will balance
against products. If any products have high values or quantities these should be noted. Particularly,
lottery, Green Giro, MVL/V11, and E-Top Up reversals (e.g. Orange or Vodaphone topups)
Additionally, Council client type reversals could indicate a vulnerable customer being targeted.
Note anything that is unusual for the Branch or branch type.
Anything in the category Other Stamps Ordinary can safely be ignored. This usually occurs when a branch
puts retail transactions through the Horizon system, then reverses them later and puts them through the
shop till, in post offices that have a shop attached. This is something that the Post Office accept happens,
but it is not an official process.
¢ Stock Adjustments - These are also summarised and in a copy/paste friendly format on the Branch Detail
sheet of 7emplate, and they can also be viewed in the Stock Adjustments sheet. There is a cache of pivot
tables to the right of the sub table if you scroll across which can make the information more digestible.
Stock Adjustments are closely monitored by the Mails & Stock team and they will often suggest branches
for full rota checks,
If there are frequent cash/cheque adjustments, this could be a training issue, as the staff are likely to be
selecting the wrong method of payment.
They may also be putting themselves in financial risk if they finish to cash but accept a cheque as
payment. If the cheque then goes missing, the customer has no requirement to provide a replacement as
they have a receipt for cash, and the branch will need to stand for the loss.
Look out for stock adjustments taking place at period end and then adjusting back up to a week later, as
this could be hiding a loss.
¢ Postage Rem Ins/Outs - This is available in the Non-Sales sheet of Template, and is summarised on
Branch Detail. \f you click on Postage Rem Ins/Outs in template, it will take you to a normally hidden
sheet which just contains postage information. We are looking for high volumes of stock remmed in, then
remmed out without being sold, or excessive rem outs with few or no rem ins.
© — Spoilt Postage - This is summarised on the Branch Detail sheet of Template. Look out for excessive
claims in relation to the branch size or location. For example, it is reasonable to expect a branch on a high
street to have more claims than a branch in a village.
¢ Rolling loss & Discrepancies - Including Crowns - This will be detailed in full in the POLSAP section, as it
requires analysis of POLSAP data.
¢ Current Debt & Debt Trend - This will also be covered in the section on GL Account like iterns in POLSAP.
Cash Analysis is more complicated and requires visual aides, and is detailed in full in the next section.
Transaction corrections are similarly complicated. The Additional /nformation section is exclusively for anything
else that you find concerning or out of the ordinary, and the Summary of Findings is self-explanatory.
This concludes the time consuming part of the rota check. The following information is on specific analysis and
data retrieval from POLSAP.
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Cash Analysis
The monitoring of generated cash (Horizon derived figure based on all transactions processed by the branch)
is a proven process of detecting fraud within Post Office branches.
When analysing the branch, you need to consider
¢ Size of the Branch - Number of counter positions - larger branches have more counters, deal with more
transactions and therefore have a higher generated cash value
e Whether it has an ATM - Branches need to put the ATM figure into Horizon, and this can lead to a much
larger cash graph
e Weather Conditions - In the north of Scotland or remote islands they may hold on to cash during the
winter months
¢ Bank Holidays - Extra cash may be delivered in advance of bank holidays, and Northern Ireland has
different holidays to the rest of the UK.
¢ Winter Fuel Payments
We look at the in and outpayments of an office and ensure that the cash balance can cover a one week's
outpayments.
The majority of cash graph trends and patterns are discussed on the next page, but there are two particular
graphs which can assist in highlighting the techniques used in analysis.
Increases in the branch may have been cause by unusually high rem ins, or the office may not be remming out
enough money or no money at all. Decreases work in the same way, with high rem outs, and remming in low
amounts or none at all. Anything that does not follow the cash holdings needs further investigation. Fig 29
shows a regular pattern of rem ins on the same day every week and for the same value.
oa
A
ra Poh
an
LAR a i 4
eoteee ran ay oe I
‘ a Hod WA 7 VV AL I
oY Wy Toe Poesy ‘
on or v=
‘ . Fig 30. Example of possible housekeeping, transferring to
Fig 29. Weekly Rem Ins and Rem Outs. the loss system.
Housekeeping (Shown in Fig 30) is where amounts are held in the suspense account. Losses and gains can
affect a branch’s cash holdings. Declaration discrepancies can be a surplus or a loss.
If this graph is compared with Non Sales, (which is found as a tab in 7emplate), it may be the case that there
is a reference to the Loss System, Local suspense or similar. If the discrepancy has been settled centrally or
assigned to nominee, then it is not an issue.
There may also be individual reasons for the branches cash holdings to increase or decrease. Check the
branch’s location on Google™ Maps.
Further Investigation - Cash Check
This check on a branch will show if they are holding too much cash or not. Pick the most recent week, then:
Take the cash balance the night before the first rem in of the week
Sum the total mount remmed in for the seven days after. (e.g. From Wed > Tue, not Wed > Wed)
Add the two figures together
Take away the total amount remmed out over the seven days.
¢ Repeat for other weeks
If the end figures are S/GN/FICANTLY higher than the maximum weekly outpayments then the office has too
much cash.
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(LOZ Bny) TZ wolssaq - asnparcig y2aY) BOY
8T
NS 4 fh
AD N aw
[MV AVAWLUAV AVM AVAVAVAVAWAVAWAY A's
cans
PASAT AN
TATE
Vo AES
Fig 31. Larger Inpayments than Outpayments
Some branches have larger outpayments than
inpayments, and they will have to rem in cash to
cover this, the office should rem in enough to cover
one week's outpayments (or just above).
Fig 32. Larger Inpayments than Outpayments
When branches have larger inpayments than
outpayments the branch should rem out the extra
cash that they have acquired during the week, leaving
enough to cover next weeks outpayments
Fig 33. Follows a pattern
This branch follows a routine. This does not
necessarily mean that the branch is or isn’t
fraudulent, but this behaviour should be noted in
your cash analysis
Kel
i A
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fw
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Att.
AVUL I]
Pa ay
Ag
VN Yv
Fig 34. Erratic including negative and large values
The cash in this branch is erratic (it is impossible
to predict and follows no pattern). There are
Fig 35. Sudden increase and continuing to increase
This branch would definitely need further
investigation as the cash holdings have suddenly
Fig 36. Sudden increase for a while then a return to normal
Even though there is a regular pattern, there would
be cause for concern after a sharp increase or
negative values and high values, making this a begun to increase and continues to increase, decrease.
suspicious branch.
HN a
As a a
TX DOI
KA ALA wr at RAL ‘ SLEREEEAREH [oT A i As
aa hit i SSA ATLESSISPST
Z 1
Fig 37. Low outpayments in a period
If this graph is cross-checked with the /n and
Outpayment tab on Template, it may be the case
that there are low outpayments In this period.
Fig 38. Introduction of an ATM
A sudden increase in cash holdings followed by a
trend similar to the time before the increase can
correlate with the installation of an ATM machine.
Fig 39. Transaction correction issued
If a branch has been issued a Transaction
Correction, then this can affect their cash holdings.
This can be compared with the 7ransaction
corrections sheet on Template.
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Accessing Data on POLSAP
After logging on to POLSAP, there is a menu bar at the top of the screen showing broad categories, and then
detailed navigation down the left hand side of the screen.
FOLFSRezeringRele POLFSGL Operatens FOLFSGL Vendcr Operatons-29 POLS Generel Ledger Operations I FOL-FSGL Customer Operatens 20 F
GL Operations ,
GL Account Line Items I Hetory, Back +
Tol 4
etalled Navigation [ l G/L Account Line Item Display
>To Documeat Estry ! Menu4l I} Save as Variant. II Back I Cancel I. Tools 4] I Execute I GetVariant.. I More 4]
» Ca Document ae I I
1 GiL account sele
GIL account
‘Company code
YO Sieck I Selection using search help
+ Change Purchase Order {Search help 1D c
Fig 40. Navigating POLSAP
If a category is clicked on at the top of the screen, the options will change down the side of the screen. In our
case, we will require access to the General Ledger, located at:
POL-FS General Ledger Operations > Account > G/L Account Line ltems
We also need access to Customer Line items, which follows a slightly different system. If we click on POL-FS
GL Customer Operations - 80, then the folders will appear as another row underneath the menu, rather than
down the right hand side. This is subject to change, but it is important to be familiar with both systems.
POL-FS Reporting Reis POL-FS GL Operations FOL-FSGL Vendor Operations -20 POL-FS GereralLedger Operatons POL-FSGL Customer Operations -€0 FI
Bocursat , Cuaning + Clesnng . Correspondence I Migration ofErrortioticss Master Data
Fig 41. Second set of folders.
Customer Line Items is located at
POL-FS GL Customer Operations - 80 > Clearing > Customer Line Items
Sometimes, tables can be displayed in POLSAP, and it can also be useful to sort the table by date, (or other
criteria) by selecting the Doc... Date header, and clicking on More... then Sort in Ascending Order.
imn [ Column Left I Column Right I Last column I lore I
First column ChieFS:
‘Column Left cue?
‘Column Right Cer
Last column tier
Displaj Document shiteF2
Change document Cit+Shit+re
lass change Chi+Shiters
‘
Display check information Ctel+Shit+F7
Account master data Ctt+F10
Correction request Ctrl+Shiter10
Setter CtrleShiter2
Sort in agoending order__ (ClereShIReES
arti dasrendiag ander Cire Shifter,
Fig 42. Sorting a POLSAP List
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Customer Line Items
This section details how to recover the postmaster’s name and start date from POLSAP. This can also be used
to determine their debt to Post Office Limited.
Go to POLSAP, and navigate to Customer Line Items. Once there, click on the Customer account text box and
an icon (a) will appear next to it. Click on this icon and a search window will appear. Enter the branch FAD
code into the search term box, omitting any leading zeroes, and ending in a star (*). For example, if the branch
FAD code is 004003, enter 4003*. Click Start Search, and a window like that shown in Fig 43 should appear.
[[ customer number @) B.
» Search Criteria Z
AS] Bi Search resuits: 12 Entries found
$ SearchTenrPostalCode City Name 1
003, 176s LONDON Bu POST HOUNDSDITCH . eLiPOsTHOUNDSOITCH 7001362 __ 00.00.0000 ]
4003 E178S LONDON HOUNOSDITCH HOUNDSDITCH ‘080 00.00.0000
400323 HG27LOQ._-HARROGATE HELEN CHOWDHURY fe. HELEN CHOWDHURY 1006885 00.00.0000
400323 HG27LQ.- HARROGATE STARBECK ia STARBECK Po1s 09.00.0000
400329 NE33RX NEWCASTLEUPONTYNE —WICHAEL DAVID RAISTRICIL_E UPOMTYNE ICHAEL DAMD RAISTRICK 1019644 09.00.0000
400328 -NE3SRX NEWCASTLEUPONTYNE NORTH KENTON IEUPONTYNE —NORTHKENTON Po17 09.00.0900
400329F —-NE33RX NEWCASTLEUPONTYNE LISANIICHELLESENIOR IEUPONTYNE LISANICHELLE SENIOR 1013622 08.05.2008
LRAISTRICK 1015526 31.01.2008
ASTLEUPONTYNE THOMAS GEORGE BROS EUPONTYNE THOMAS GEORGE BROVIN 1017846 25.11.2008
$00329F NE33RX = NEWCASTLEUPONTYNE HICHAELRAISTRICK = LEUPONTYNE i
400329F —-NE33RX oN
400320 NE2IRX © NEMICASTLEUPONTYNE —_ZUBEIR PATEL LEUPONTYNE ZUBEIRPATEL 4018650 22.09.2000
400340 © $8687EZ —ROTHERHA SALISBURY ROAD us SALISBURY RO!D Pore 00.00.0000
4003407 $857EZ_ ROTHERHAM DINE LUASON ss DIANE LLASON 400173 _ 12.14.2008
Fig 43 The first half of the customer (PM) information... Fig 43 ... The second half of this data
If an item is selected in this list, you can scroll across to the right to see the data by using the arrow keys on
the keyboard = We are looking for the row that has the Branch Fad code in the first column and a seven
digit number in the second to last column. The Postmaster’s name will be in the fourth column (Labelled
Name) on the same row, and their start date will be the finish date of the last postmaster to work there.
Please be aware that if a four or five digit FAD code is searched for, there could be several matching post
offices displayed (in the above screenshot, there are four post offices all starting with 4003). Ensure that you
focus on just one of these
If we were looking for Newcastle upon Tyne (FAD: 400329) for example, then we can see two entries with just
the FAD code in the first column, and four entries with the FAD code suffixed with an F. The newest
postmaster is therefore Michael David Raistrick, as he has no Finish Date (Shown in the Last Column). His
start date is assumed to be the finish date of the last postmaster to leave. When the FAD code column is
appended by an F, this means that the postmaster has finished, and the last column will show the date they
have finished. In this case, the last person to finish is Zubier Patel, who finished on 22/09/2009. This is
assumed to be the start date of the current postmaster.
Please note that this information will occasionally conflict with Config. If the PM Debt is required, the
CURRENT postmaster must be selected, even if the name is different on 7emplate.
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Current Debt
* To find the postmaster’s debt, double click on the current postmaster’s name, and their customer number will
be inserted into the Customer Account field. Ensure that the Company Code reads 1254, and click Execute
Now, one of two things will happen. Either the message G _Noitems selected (see long tert) Wil, pe displayed at
the very bottom of the page, or a table with the Postmaster's debt will open up.
Customer
7020134
Company Code 1254
Hame Paul Francis Casiin
City Knowsley
Pbocumen... fy... Doc.Date
[I =amountin local cur. [Lourr Feira doc. [Text
16000143059
21.04.2010 5
3091.73 (GBP.
Central (Hardship)
301.7368P I
Deduction trom remun
~ Deduction rom remun
Deduction from remune
0,00-;6BP_ I Deduction from remun
. 900,00 GBP
Account 1020131 ae $00.00 GBP
pp - ee “90000GBP Ott”
Fig 45. An Example of Current PM Debt
In this example, there is an initial debt of £3,091.73, and the branch is paying this off at £450 per month. The
phrase Deduction from Remunerations means that the branch is paying off debt that they have claimed
responsibility for. The Current Debt on the account should be noted as £900, and it should also be noted that
this should be paid off in two months at the current rate of £450 per month.
Debt Trend
Sometimes, branches have debt trends which may reoccur over a period of time. We can look in A// /tems in
Customer line items to see this debt.
ILine item selection
[Status = ti«SY
© Open items
Open at key date
© Cleared items
Clearing date
Open at key date
© Allitems
Posting date
Fig 46. Selecting All tems
Running this report will show the branch's history of debt and any trends that have occurred. This type of non
conformance is rare, but branches may start to increase the amount on each occasion if they are not being
detected.
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GL Account Line Items
This section can be used to find Rolling Loss, Cheques to EDS, and ATM information.
On G/L Account Line Items, enter the GL Account number that you wish to investigate (provided in the
relevant section above, or in Appendix 3, and then click on Dynamic selections I scroll to the bottom of the
Dynamic selections window to reveal the box for Profit Center. Enter the Branch FAD code into this box.
[64 Account Line tem Display
MenuaI I Save as Variant... I } Back I Cancel I-Tools 4] I Execute I! GetVariant... I Hide dynamic selections I More 4]
» Ie Assignment
[ =I
'Y EXGLAC taster Record “=I Posting Date _ >I
H (3 Group account number _: I Document Date ip]
i G Created on Documentt;pe Cl i>
i Di Created by Posting Period im 12]
Dy pat statmt acct ype Posting Key Cl >I
I D Account group Business Area [I {>I
I By tTrading Partner ‘ Le
t Balance sheet account Profit Center &
l PB tladefardalat x
GiL account selection
GIL account
I Company code
to I
t £ I >I
Fig 47. G/L Account Line Item display with Dynamic selections open.
You should also select an appropriate option from the Line item selection pane. The Type pane should just
have Normal items ticked, and the layout should be “CASH REMS
The Company Code should be 1254.
As before, if this is executed and 2 No items selected (see long text) j., gicntayed, then either there are no
transactions of that type, or some information was entered incorrectly.
GL 539590 - Branch Snapshot Balance Discrepancies
This account shows discrepancies, and should be analysed for discrepancies around branch trading time.
Ensure that Open /tems and Normal /tems are selected
GL 627047 - BO! ATM's
This is used to determine if the Branch has an ATM, and that they rem out the correct amount every day.
Select A// /tems, and if the No items selected message appears, they don’t have an ATM. If a table appears,
ensure that all RV transactions match the ZJ transactions on the same date. Be aware that on Mondays a
branch has to enter the weekend figures. This can result in high Monday values. Look out for these being
remmed out later in the week, as the branch may be trying to increase cash rem ins.
GL 553040 - Cheques received in branched and remmed to IPSL, but not yet banked.
This is used for checking the Dispatch of Cheques to EDS. Ensure that all RV values equal the KC values, by
selecting Open /tems. If No items selected appears, then there are no problems.
GL 539591 - Local Suspense
This account shows the Rolling Loss of the Branch. Select A// /tems, and run the report. If Vo items selected
appears then the branch has not used Local Suspense to balance at Branch Trading. Look out for values that
are similar or increasing over a 3-6 month period.
GL 627010 ~ Unresolved Exceptions between Camelot and Horizon
Open Items will show all unresolved items not received by Camelot but remmed out from branch.
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Transaction Corrections
A Transaction Correction will be issues by Post Office Limited to balance out deficiencies that the Branch has
caused. There are a variety of possible reasons for TC’s that have been issued, and these can be seen in
Appendix 4.
All the TC’s that have been issued for that branch are visible in 7emplate in the 7C Breakdown sheet.
Though TC’s do not always represent fraudulent activities, there are checks that can help highlight genuine
mistakes or cover ups.
Identifying Non-Conformance in Transaction Corrections
If there are a high volume of TC's, it could be caused by the fact that the branch is large, or is going through
staff training. If they are over a period or if there is a pattern to when they were issued, this should be noted.
High value TC's can affect the cash holdings of a branch and can be used to cover fraudulent cash
transactions. If there is a pattern, or a one off this should be noted. The department that issued the TC can
help to explain the reason for its issue.
Branches that continually get TC’s for the same product may be doing this to cover up fraudulent activity. It
could also be a case of poor training or competence. Could the staff be making the same mistakes and
miscalculating amounts?
TC's Year on Year can be analysed in the 7C’s sheet of 7emplate. If a branch is issued considerably more TC’s
one year than another, is there a correlation with a new postmaster or other member of staff
Finalising the Report
Contact with the Branch --- If a branch needs to be contacted, all details of the communication should be
noted in the section. It is important to note who you spoke to, the date and time
of the call, what was said and the end result of the conversation, including any
promises made by the branch. If adding further information to an existing
contact box, start a new section by adding the new date and time in bold text,
and detailing the additional correspondence below.
Escalations --------------- If a branch needs to be escalated, the team that it should be escalated to should
be specified along with any information that leads to the choice of that particular
team. If there are several highly concerning points, it should be escalated to all
relevant teams. It is recommended to speak to Cathy, Eleanor or Andy Moore
about the branch before escalating it, however.
Additional Information ----- If anything is found during the course of a rota check that does not fit neatly into
one of the other categories, or if there is something alarming that does not have
its own text box, then details of this should be included here. This could include
details of the postmaster’s unpaid cheques, Lottery transactions, or anything in
sales or non sales.
Summary of Findings ------ All concerning points found throughout the rota check should be summaries in
this section. An overview of all checks performed should be included if anything
concerning or unorthodox was found, and this should also include any concerns
detailed in the Additional Information section.
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Appendix 41 - Resource Locations
4. Template - 7:\Finance\Finance Product & Branch Accounting \Finance P&BA Branch\Branch Control &
Cerformance\Branch Control\Rota Checks\Template.xis
2. Config database - AKA Configuration Management Snapshots located in:
T:\Finance\Finance Product & Branch Accounting\Finance P&BA Branch\Branch Control &
Cerformance\intervention\Copy of Copy of Configuration Mgmt Snapshot.xls
This file most likely has a password - Eleanor should have the newest password.
3. SharePoint for Rota Checks -
Attp://iplatform-sp.intranet. point/sites/fraudconformance/.ists/Rota®20check&2Orecording/Allitems.aspx
SharePoint General - Atto/jplatform-sp.intranet point/sites/traudconformance/default.aspx
Credence - /étp://polboxi polmi.point:8080/InfoViewApp/logon.jsp
POL systems - /Attp://ipp.sap.point:9900/iri/portal
Rota Check on Credence - Public Folders > Finance > P&BA > Branch Control> ROTA CHECK
Template Documentation - 7:\Finance\Finance Product & Branch Accounting \Finance P&EBA
Branch\Branch Control & Cerformance\Duty Instructions\ Template Spreadsheet doc
9. Rota Check Maintainance Procedure Documentation - 7:\FinancelFinance Product & Branch
Accounting \Finance P&BA Branch\Branch Control & Cerformance\Duty Instructions\Rota Check
Maintenance Procedure.doc
ONDA
Appendix 2 - Glossary
AaL..
BO
Client Accounting Week..
Alliance and Leicester see Santander
ank of Ireland
he week from Thursday to Wednesday
Town offices are directly managed by Post Office Limited
irectly Managed Branches. See Crown offices.
KA HP. See IPSL
There are 12 per year, starting on a Monday.
sed for specific transactions. General ledgers can be accessed through POLSAP.
ee General Ledger
Responsible for processing all cheques for Post Office Limited. Run by Barcleys.
Formerly processed by EDS.
Branches operated by multiple partners of the post office, such as WHSmith or
ASDA. These branches are usually located on the Multiples premises.
Motor Vehicle Licensing
lorthern Ireland
ost Office Limited
‘sponsible for Green Giro Processing. Formally controlled by Alliance & Leicester
ransaction Correction
Appendix 3 - General Ledgers
Branch Snapshot Balance Discrepancies
ocal Suspense
heques received in branches (Excluding NI), remmed to IPSL, but not yet banked
stores unresolved exceptions between Camelot and Horizon.
BOI ATMs (Exceptions between horizon data and client file)
Appendix 4 - POLSAP locations
POL-FS General Ledger Operations > genes G/ Account Line Items
Customer Line Items......... POL-FS GL Customer Operations - 80 > (@Eeigeks Customer Line Items
RIS .. POL-FS GL Account Reporting - 80 > (fee Call Self-Defined Analyses: Retail
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Appendix 4 - TC Types
TC TYPE POSSIBLE REASONS FOR TC'S ISSUED
Manual - A&L Deposits and Withdrawals completed as Personal Banking. Co-Op cheques not
entered / incorrect value entered on Horizon, Co-Op cheques not despatched to A&L.
ASL Automated - miss keys for both deposits and withdrawals, transaction corrections issued as a
result of enquiries from branch and A&L.
Green Giro - claimed for but not received by A&L, enquiry sent to branch but no response or
evidence provided. Incorrect value claimed or incorrect addition.
Incorrect duration of cover entered on Horizon, policy sold at incorrect price e.g. holiday
duration 1-3 Aug charged as two days cover required, TC issued for resulting mismatch
between Horizon and AON.
Horizon and Client data mismatch. Information from ATM receipt entered on Horizon after
ATM cut off.
Incorrect information from ATM receipt entered on Horizon.
Payment by debit card, card is swiped but bill not scanned resulting in non-payment to
client.
Automated I Incorrect value scanned on Horizon, transaction not scanned or duplicated.
Payments Transaction reversed incorrectly, recovery procedure not followed.
Cheques incorrectly despatched to Bank of Ireland.
Payment by cheque for multiple transactions but only once scanned.
Contents of pouch incorrect when received at Hemel, rem received at Hemel but not
remmed out, pouch remmed out twice.
Mistakes made when remis are entered manually.
Bureau Resulting discrepancy should be held in Rem Suspense and redeemed when Transaction
Correction accepted.
TC's issued for discrepancies caused by Hemel will still be included in pack for reporting
purposes.
Correct accounting procedures followed but incorrect figures entered from Lotto summary to
Horizon. (Cheque prize payment included for example). :
Correct figures entered on Horizon but transaction details not accounted for on same or next
day.
Scratch cards booked in and activated in different accounting week or incorrect value booked
in.
Pouch remmed in at Cash Centre, contents differ to amount stated on advice note.
Cash Rems_ I Resulting discrepancy should be held in Rem Suspense and redeemed when Transaction
from Branch I Correction accepted.
Pouch despatched but not remmed out or remmed out twice.
Contents of pouch sent from Branch to Cash Centre are incorrect; this is then forwarded
from Cash Centre to a third party office.
Cash Rems I Resulting discrepancy should be held in Rem Suspense and redeemed when Transaction
Third Party I Correction accepted.
TC's issued to branch who receive incorrect remittance will still be included in pack for
reporting purposes.
Pouch remmed in at branch, contents differ to amount printed on advice note.
Pouch received in office but not scanned onto Horizon or scanned twice.
Cash Rems to I Resulting discrepancy should be held in Rem Suspense and redeemed when Transaction
AON Travel
Insurance
Camelot
Branch Correction accepted.
If incorrect pouch received is incorrect TC's issued will still be included in pack for reporting
purposes.
Cheques to Mismatch between physical cheques received at EDS (Belfast CC) and Horizon, incorrect
EDS entry on Horizon or missing / too many cheques received at EDS. Any fault by EDS will not
result in TC being issued.
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Charge Back - fraudulent transaction, procedure not followed, identification details not
recorded.
Refunds - Transaction is reversed to cash value, not to zero as required.
Resulting discrepancy entered in Emergency Suspense and TC issued to compensate
Debit cards
Car Tax transaction duplicated, original not reversed. 12 month disc issued for 6 month
DVLA payment or visa versa. Compensating TC may be issued if customer accepts mistake.
Incorrect method of payment given but transaction not reversed. Rates increase but old rate
accepted.
Mismatch between Horizon entry and First Rate, figures not entered on Horizon, incorrect
First Rate figures entered on Horizon.
Counterfeit Travellers Cheques enc¢ashed.
Asylum Seeker - TC's issued, office then supplies evidence to warrant a compensating TC. TC
Government I due to mismatch between values entered on Sodexho and Horizon.
Services Passport - customer charged, even though of the age to receive ‘free’ passport. Customer
charged twice.
Duplicate Send - PM thinks transaction has failed so duplicate without contacting
Moneygram to check.
Moneygram Time-Out - Horizon ‘Times Out’, transaction not recorded on Moneygram System (Office
should contact NBSC)
NS&l Overpayments - withdrawal transacted as deposit. Mismatch between amount customer
deposits and value entered on Horizon. NS&I will honour value entered in book.
oan A€&L Online Banking value entered incorrectly on Horizon for both Deposits and Withdrawals:
Once a certain volume or £500 approx of transactions completed the Paystation generates a
Paystation Barcoded Summary, this information has to be entered on Horizon. TC's occur when there's
amismatch between Paystation and Horizon
Personal Cheque encashed but remmed out with bulk cheques, in effect claiming for the cheque twice.
Banking Cheque encashment entered on Horizon twice or omitted.
Transaction voided for various reasons including change of mind by customer or printer jam,
AP part not reversed at same time.
Postal Order encashed but also returned to customer who then cashes it elsewhere.
Postal Order encashed but also claimed as cheque and remmed out on Horizon.
Postal Orders
Horizon and ist Rate mismatch. 2 part transaction, ist part confirms order, 2nd takes
Pre-Order customer details. If Cust changes mind transaction should be cancelled but PM's incorrectly
use 'prev' key.
Value held in Robbery Suspense, TC issued to clear value (if robbery related) without
Robbery effecting balance.
PO Saving Stamps claimed on Horizon but physical stamps not received in P&BA. This may
Saving Stamps I be due to stamps missing from pouch or pouch not received. Compensating credit TC issued
when stamps are received or if P4555 has been completed.
Contents of pouch differ to that on advice note,
Compensating value should be held in Rem Suspense. Value should be redeemed or will be
Stock redeemed automatically this is explained in Transaction Correction narrative.
TC's issued for discrepancies caused by Hemel will still be included in pack for reporting
purposes.
Value held in Rem Shortages / Surpluses not authorised or not redeemed as per instructions
Suspense on associated Cash / Bureau / Stock Transaction Correction.
Personal Encashments -incorrect guarantee card endorsed on reverse of cheque or cheque
guarantee card number omitted.
Unpaid Product or bill paid is not cheque acceptable.
Cheques No identifiable product / Client details on reverse of cheque and Branch cannot supply detail.
Postmasters own cheque.
Cheque not processed through EDS to timescale therefore POL cannot offset debt to Client.
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