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Post Office Ltd
Investigation Team
Compliance
Guide to the Preparation and Layout of
Investigation Non-Red Label Case Files.
Case File Reports and Case Closure
Report
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Prepared by Ged Harbinson, Compliance Manager
The aim of this document is to give guidance to Investigation Managers and
Investigation Team Managers on the current compliance standards for the
preparation of non-red label case reports and case closure reports.
Contents:
1. Case file report:
Preamble.
1.1 Header and footer.
1.2 Correct heading.
Investigation Background.
1.3. Investigation Background reported.
1.4 Inquiries conducted reported.
Conclusion.
1.5 Conclusion.
1.6 Loss to Post Office LTD. Reported.
1.7. Accounting aspects status reported.
1.8 Details of failures in security, supervision, procedures and product
integrity.
1.9 Concluding paragraph.
2. Case Closure report:
Reporting
2.1 Case closure form
2.2 Procedural and organisational failings identified
Contents
2.3 Relevant headings completed
2.4 Severe Organisational failings
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Severe failings
2.5 Severe Organisational failings identified
1. Case file report:
Preamble
1.1 Headers and Footer- “POST OFFICE LTD. IN CONFIDENCE”
1.2 Preamble as policy template (see Below)
POLTD/0607/0000
To: National Investigation Date: ie. 5" July
Manager 2006
From: Investigators Name
Office: Branch
Code:
Reference: (State here the inquiry i.e. DMB cash Loss or Missing Voucher
etc)
Investigation Background
1.3 Investigation background reported.
Give particulars of the suspected offence/s and how it/they came to
notice including items such as whom they concern or identify. State the
loss to Post Office LTD. or other agency at the time of inaugural report.
When dishonesty is suspected then name all people with direct access
to the loss. A copy of any reports/documents referred to should be
associated at the appendix.
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1.4 Inquiries conducted reported.
Details of the inquiry undertaken by the investigator, to include items
such as evidence gathering, analysis, observations, tests and witness
evidence gained.
Where appropriate reference must be made regarding applications for
testing/surveillance operations, with signed copies of testing/RIPA
applications, IIMARC forms, associated at appendix ‘B’. Forms and
outputs for other criminal checks should also be associated in the
appendix.
1.5 Conclusion.
The outcome of enquires should be explained, together with any
conclusions reached by the investigator.
1.6 Loss to Post Office LTD. Reported.
State the overall loss to the business (after allowing for any recovery).
Also state the actual loss to the business if different. This should be
highlighted in bold.
1.7 Accounting aspects status reported.
State any accounting aspects dealt with or to be dealt with.
1.8 Details of failures in security, supervision, procedures and product
integrity.
This must be a comprehensive list of all identified failures in security,
supervision, procedures and product integrity it must be highlighted
bold in the report. Where the investigator concludes that there are no
failures in security, supervision, procedures and product integrity a
statement to this effect should be made and highlighted in bold.
1.9 Concluding paragraph.
Give an explanation as to reason for the submission of the case file.
2. Case closure report:
Reporting
2.1. Each relevant heading completed
Ensure that all the relevant headings are completed fully (Indicated
with a red star)
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: Case Closure Reporting
Form to be e mailed to Investigation Team, both Carol King/e/POSTOFFICE and Paul
Dann/e/POSTOFFICE. Note to Casework Team
— e-mail copy of this form to; DMBs the Service Operations Manager, SPSO the
Contract and Service Manager, Cash Services the Seni ry Manager and
for Multiple Partner Branches multiples I
Case file al Date case set I * Date Case *
ref: up: closed:
Office: * Branch Code: I * Postcode: *
Enquiry type: * Subject *
type:
Stakeholder Details (name and title): *
Identified Loss: *
Loss to Post Office Ltd: *
Recovery: (include dates) *
Confiscation Case:
SPSO cases has SPMR been made aware
of loss?:
Confiscation Details:
Final outcome: (Select from drop down *
menu — if prosecution include further
details below)
Court: (Include date)
Sentence: (Include name of Judge,
prosecution & defence barristers, trial
duration etc.)
Costs / Compensation: (Compensation
awarded in multiple partner cases / SPSO
assistant cases must be repaid to loser —
vito ensure compensation
cheques dealt with correctly).
Debarment: (Confirm completed and date I *
forwarded to SSU)
Procedural and organizational failings *
identified ? Detail failings along
with recommendations to prevent
reoccurrence:
Any other comments: (please include *
priority services number if documents
posted to Chesterfield) (Where applicable
refer to location of exhibits, civil recovery
pending)
Officer In Case: [ * Team Leader: *
2.4 Procedural and organisational failings identified
Cut and paste from your report the list of all identified failures in security,
supervision, procedures and product integrity. Where the investigator
concludes that there are no failures in security, supervision, procedures
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and product integrity a statement to this effect should be made and
highlighted in bold.
2.5 Severe Organisational failings
Complete attached document listing all Severe Organisational failings
and forward to case closure team at “Investigation Team Post Office
Ltd”.
pal
StandardOrganisatio
nalWeaknesses.doc
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