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@
POSTMASTER SUPPORT
POLICIES
Investigation reports from
Postmaster Accounting Dispute
Resolution Policy
Version — V1.3
1.1. Tier 2 Checklist
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Tier 2 Case Handler:
Date picked up:
Branch Name:
Branch Code:
Reference Number:
Current Discrepancy:
Branch Contact:
Contact Number:
Email Address:
Stock Unit(s) involved:
Date Discrepancy appeared:
Date case escalated to
Tier 3 (if applicable)?
Was discrepancy found?
Activity/ Action Type
Review Tier 1 Investigation &
familiarise with discrepancy issue
whilst reviewing (If not enough detail
or process has not been followed,
inform Team Leader to pass back)
Completed (Y/N)
If no, give
reason.
Key Findings: These must
clude specific details
such as dates, times,
Trading Periods, Balance
Periods, names, user IDs
etc.
Dynamics case reference number.
Contact the Branch, introduce
yourself as Case Handler &
obtain/capture any relevant initial
information from the postmaster
Include details of conversation here
and any associated evidence
provided. Conversation should be
with operator unless otherwise
instructed by the operator. Record
name and position of the person
spoken to.
Has the discrepancy been settled? If
so how & when? Ensure that the
discrepancy has been blocked by the
Postmaster Account. Sunpost. Team
Postmasteraccoun'
By what method:
Date/Trading Period/User ID:
Review any possible related pre’
cases on Dynamics
Relevant details of previous cases to
include reference numbers from
Dynamics.
Check if the Branch have raised any
incidents with the IT Digital Service
Desk relating to any system issues
Detail any specific findings here if
they could be relevant to the
investigation.
Check HORice to establish the last
time the Branch balanced without any
problems”. Also check the last time
they completed a Balance Period and
are they being done regularly.
Details of branch balancing results
reviewed to include dates and
findings.
Check latest Known Error Log (KEL)
to ensure the discrepancy is not
Include details here of any findings.
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related to a KEL (check both closed
and active ones)
HORIce Review Completed Attach a copy of the
Provide details of what (Y/N) HORice report, copying
HORIce data was reviewed to If no, give and pasting the data
include timeline. reason. under each section below.
Checked where the discrepancy is Cash/Currency/Stock (Trading
(Cash, currency or stock) Period/Balance Period).
Value (£):
Checked stock & cash remittances Embed copy of HORice report here
Checked stock adjustments
Checked reversals new & existing
Checked transfers
Checked miskeys
Checked non sales (housekeeping/
suspense account enquiries)
Check duplicate transactions
Check trading statements
Check any transactions left in the
basket
Check if there are any zero
transactions that should have a value
Check any cash variance
Check recoveries - roll forward or roll
back
Check for any Transaction Corrections
Check for any Transaction
Acknowledgements
dings Overview
Note: This section is to provide Case handlers’ findings including any supportive material/data embedded
documents.
Summary and brief overview of findings in chronological order, to include outcome of investigation:
1,Was the discrepancy found?
2.Does a Transaction Correction need raising?
3.Training need identified & raised with training team (if required)?
4. Escalation to another team if further investigation is required (such as Postmaster Account Support Team)?
1.2. Postmaster Information Pack
Document (Case Review Analyst to
delete as appropriate)
Comments (including any detail to
support the postmaster in reviewing
the data)
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Horizon Data Source - Session Data
Horizon Data Source - Branch Declaration
Events
Horizon Data Source - Report events
Horizon Data Source - Branch Trading
statement(s)
List of registered assistants and Smart ID
usernames/associated users
Credence data (if applicable) -
transactional reports (last 3 months)
ARQ (Audit Recovery Query) data (if
applicable)
Core Finance System (CFS) - including
suspense account
Transaction Corrections detail.
Branch Support Centre Call logs
Cash Management Call Logs
IT call logs
Product Specific Data- (for example ATM
Electronic Journals/Lottery Evidence)
Any additional detail
1.3. Case Investigation Report
Investigation R:
Case Investigation Details
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Branch Name & Branch Code:
Case Reference Number:
Postmaster Name:
Legal Entity Contracted with:
Branch Format:
Former/Current:
Disputed Amount:
Executive Summary
Note: This section is to provide an overview of the case, key points and the conclusion.
This section should be in bullet point format (where possible).
Analyst Recommendation
Recommendation: Note: Recommendation to be completed by Analyst.
Value (If Applicable):
Investigating Officer:
Date:
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Auth: g Manager Comments
Comments: Note: Comments to be completed by Manager.
Authorising Manager: Date:
Case Overview
Note: This section to include a brief overview of the dispute received; for example:
This dispute case was raised by the postmaster in January 2021. It relates to a £650
discrepancy which was settled centrally on the 5 December 2020. The case has been
investigated by Tier 2; however, the postmaster would like the case investigating
further.
Investigation Overview
Note: Within this section the dispute should be broken down into sections to investigate.
For example:
The postmaster raised there was a £650 discrepancy, however this can be broken down
into the following points to be investigated:
Point 1 - The postmaster states there was an initial discrepancy of £250 on the 25"
November 2020.
Investigation findings against this point. This can include images or copies of
transactional information, which will assist in explaining the investigation to the claimant
and internal colleagues.
Point 2 - The postmaster states there was a 2" discrepancy on £400 on the 30"
November 2020.
Investigation findings against this point. This can include images or copies of
transactional information, which will assist in explaining the investigation to the claimant
and internal colleagues.
Inve: jation Conclu
Note: This section is to finalise the findings of the Investigation Overview section into a
conclusion on the case.
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Additional Case Findings
Note: This can be findings which do not specifically relate to the case, but are
appropriate to send on to a different team in the business; for example the branch are
processing reversals for small value transactions to cash, which could highlight the
branch taking retail transactions at the Post Office counter. This would be something to
feedback to the Area Manager.
Additional Support Required
Note: This section can contain any support which is recommended as being required. For
example; It is recommended that the branch is provided additional training and support
around cash declarations and lottery accounting. This additional training would then
need to be requested by the analyst.
Business Improvements
Note: This section is to note any potential business improvements which have been
raised through the investigation.
Case Evidence Log
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CIR- Investigation Checklist
General Case Checklist item:
Data Downloads for Discrepancies:
Session Data
Report Events
Trading Period Data
Core Finance System Data
Transaction Corrections (if applicable) Oo
+ Ensure these are completed at earliest opportunity, to avoid risk of
losing data.
ooaa
Document ecked Not N/A Comments
Checked
Review other completed oOo oO o
cases (Tier 2, Dispute Team,
Contracts etc.)
Check Customer Line Items o o o
(on the Core Finance
System/CFS) relating to the
claim - arrange for this to be
blocked
Check if a Fujitsu branch Oo o Os} Note: Required for
specific check will be branches claiming Horizon
i issues.
required
Obtain list of registered o Oo o
assistants and Smart ID
usernames/associated users
Credence data (if o Oo o
applicable)- transactional
reports (last 3 months)
HORice Data Sources - o im Oo
Including Session Data,
Branch Declaration Events,
Report events, Smart ID
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data and Branch Trading
statement
ARQ (Audit Recovery Query)
data (if applicable)
Core Finance System (CFS) -
including suspense account
Check for Transaction
Corrections.
Review Audit paperwork.
Checked issue against
Peaks/Known error logs
(Kels).
Relevant Branch Support
Centre Call logs
reviewed/listened to.
Cloud Documentation
Checked.
TT call logs requested and
reviewed (when applicable)
Training and Intervention
information checked -
including post appointment
support and Branch Contact
File (BCF).
Product Specific Data- inc.
ATM Electronic
Journals/Lottery Evidence
etc..
Dynamics Case Logs.
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Dispute policy checklist
The alleged shortfall has
been properly, fully and
fairly investigated in a timely
manner
Oo im Oo
The shortfall represents a
genuine loss to Post Office
properly attributable to the
postmaster
A review of the Horizon
system has been undertaken
to ensure that it was not a
contributory factor to the
discrepancy
Any action (or inaction) by
Post Office Limited has not
been a contributory factor
that led directly to the
shortfall
The shortfall has been
caused through the
postmaster’s negligence,
carelessness or error and/or
the shortfall has been caused
by the negligence,
carelessness or error of their
Assistant(s)