POL00034503
POL00034503
Training Guide
Compliance audit tool
®
a 5 POST
December 2013 OFFICE
POL00034503
POL00034503
Outline of the changes
What are the different pages?
e Planning — to paste in the data from the All Branches Database, and some basic audit details
« CORE - all the core questions — there are now also some extra MI sections for 16, 24 and 25
e Procedural Security — all the security questions
e Government Services — IPS, AE] and DVLA questions — these are automatically marked N/A if the branch
doesn’t do them
e POCA -when POCA is not being tested all the answers are automatically marked ‘Not Tested’ and the
page says POCA is not currently being tested
« Confirmation — for entering the email addresses of internal people to receive a copy of the report, and
confirming the form is complete before submission
e Working Papers/Appendix
e Saving/Submission
Firstly you need to refresh your Workspace. Although Workspace refreshes automatically, if you are going straight
into a tool there is a time delay between automatic refreshes, so it's always best to do it manually.
Open Sharepoint Workspace > Click on the ‘Synch’ tab along the top, and then click the ‘Synch’ button.
Home I sync I View o4
@ =
Syne Change Syne Sync
* ‘Settings status
syne
I Content Network Services > Tower - Network Field Support
4 Documents Folders Name Modified Modif... Checkin... Checke..._ VersionI
©, Tower - Network Field Support io Currently 22/11/2013 Sandra 10
Available on Server (119) ba Old CAT 14/11/2013 Alexander 10
agl Boars 1411/2013 sandra 10
(hs Ganiedk All Branch 17/11/2013 Alexander 10
fm olspazs CAT 2411/2013 Alexander 10
FAT 20/11/2013 Alexander 10
Guide- 23/11/2013 Alexander 10
Guide- 23/11/2013 Alexander 10
stock For 22/10/2013 Alexander 10
Double click on the CAT Tool and the ‘All Branches Database’ to open them.
\
POL00034503
POL00034503
seacrer
‘oaties®y chearinca Chea.
V1.1 Jan 2014
POL00034503
POL00034503
1. Paste String
Retrieve Branch Data from “All Branches Database”
Either use ‘find’ or filter to find the branch you want, and copy the row.
emotes Tewator onm 0
ons sons eaten om
vo [amen thnk mnt
mer we cate mm serene ont ert chtire oh
ee ho
V1.1 Jan 2014
POL00034503
POL00034503
Paste the row into the CAT tool
Click into the green box on the Planning page. Do this by right clicking and selecting paste, or ‘Ctrl’ and V.
This will populate all the branch details on the planning page, automatically mark AEI/DVLA/IPS as NA if the
branch doesn’t do any of them, and enter the RSM/ASM/Contracts Advisor email addresses in the final
confirmation screen.
Paste in All Branch Database data
4 Open the Es fle 2. Copy te branch row 3. Pst he row in the green bx ow (C+
in All Branch Database data
GA) ».pane ne row inte geen bx bow (t+)
uEEs
Paste in All Branch Database data
1 Open the Excl fe 2 Copy he bran row 3. Pas heroin the green box blow (et +)
—————EEE
Branch Deals - auto filed from paste sing J
= my oe Te
fies I [se- 36 Maret Pace I [seo ]
emo ce penne? emanate
fassusr I] [ ) b ]
Sto ponies oul
[ts If I [ier
fore panne austen
(oussseama7 ] [tin I [enenrave row ua Tee)_]
pute pasos
[ceromrate uw Ld TCO [Nor Yer ]
fms pearenn
Branch Equipment - auto filled from paste string
Seaton funtion fuss see rou AMT
{« [fe I) f ) i J [x i ]
Branch Services - auto filled from paste string
oma. urea Camelot Number ‘jum Seer 483 Passer
lv I [aieconoemand] [4euroo I [2 llr ]
V1.1 Jan 2014
POL00034503
POL00034503
2. Filling in the form
Planning
On the Planning page, you need to fill in the audit code, date of audit, lead auditor and other auditors present. The
lead auditor and other auditor fields are connected to active directory, and as such need to be filled in when online.
[Aucit Detaits ]
ate of exit
aa) wa)
Audit Details I
ud Code
1150 - Random Audit
Lead Autor
Other Autre
‘Stacey Harper (1G) (seancer tesa] @)a)
Core
Each drop down has the four options in. Every drop down must have something selected to allow you to submit
the form. Any failures are highlighted in red to easily review the end results.
Question to be asked Answer Required
‘2.4 - Question the customer further to ascertain details of what the money is being used for and
the source of the cash being used for payment.
Someone who you know to be receiving
benefits and is known in the area to be
involved in petty crime wants to purchase
£hk of US dollars and pay in cash. What.
would you do & why?
Someone who you know to be receiving
benefits and is known in the area to be
12 - If suspicious & able to defer transaction by 7 working days, If suspicious obtain customer's
‘and as much as ‘about the and then apply for
CORE‘16 - there are 2 extra fields. One is to grade the failure (if there is one), as marked in the ‘Answer required’
box. The other is to select if the failure is due to space issues. This extra MI helps us understand where mails
integrity solutions can be found and provides the level of MI we are contracted to Royal Mail to provide.
How do you ensure all mail items awaiting I 13.1 - They must be in @ lockable container. on a leash, behind the counter or held within the COREI6:
collection (inuging priority service items) I secure area. ll priority items must be held within the secure area om -
are kept secure? Please also fill in the severity if CORE36 is a fail:
(0 - Answer incorrectly 3 a
1 - A couple of non priority items
2 - Several non priority or one unsecure beg
3 - Priority Service items or multiple unsecure bags
‘Are there integrity issues due to space issues? Yes
V1.1 Jan 2014
POL00034503
POL00034503
CORE24 - If this is a failure you now need to enter the number of gaps for each test. You also need to fill in the
Horizon names and tests missing for any staff that still haven’t completed the tests after audit, which will need
follow ups. The extra MI is for providing to our clients who have requested this.
Observation - were training receipts 20 Check training records for AML, Mails, Financial Services, Data Protection. COREZ4:
‘available for al branch staff for current I Homephone/Broadband, Dangerous Goods & any other applicable training. f training records not I Pass +
compliance training? available for every member of staff they must re-take the test and the receipts must then be filed
in branch, FSA to ensure this is completed before leaving the branch wherever possible. For
Dangerous Goods this must be done while the auditors are on site, and if the staff members are
rot in branch the operator must remove them fram handling mail until both tests have been
assed.
NB, tis permissible for relief SPM’, National Multiple area managers and other transient staff to
have taken the test at an alternative branch, cary their training records with them and be able to
‘produce them if currently working in the branch
PO Local branches - for recently converted branches with new staff. check training records for the
Foundation Module plus Mails, AML. Data Protection and Dangerous Goods training that has been
issued since.
Fill in the total number of staff that were missing receipts for each test.
Then enter any usernames and the tests that are still outstanding after the aucit that branch standards will need to chase.
Act Money nemegnene S sare Dangerous I taratonat ee
Data Protecton I Franca! Serees Mas tegrty eegeros I mrmatone, I eformaton
asormeaz I oresacis I ouoaro1s I smsam2 I aaavacis I oaovzexs I swmizms I so0v09
Horizon Username Regulatory Compliance Test
Select. +
a ‘Add another
COREZ25 — If this is a failure you now need to enter the names of any staff that are not registered. This is a better follow up
process and again something requested by clients.
‘Agent only (Including WHSmiths & National I 21.2 - Notify HR using the P250 pack for new staff employed since 4st January 2006. Contact
Multiples) What HR procedures must you I them on 0845 6016260. When employing new staff the following should be adhered to:
follow when employing a new member of
staff? > Notify HR using the P250 for new staff employed since ist January 2006.
> Documents need to be sent to HR by Recorded Signed For.
> The previous 5 years employment history must be requested.
> 2 independent references must be obtained.
Please enter any staff names for Branch Standards to follow up
Comments — The comment and stores all the comments together.
‘COREDS:
what do you do if a customer doesnt
now what a parcel contains. or refuses to I Without knowing the contents, you can’ tel if the parcel has dangerous o restricted goods inside
tall you? 0 cannot be sure whether the item i illegal to send (prohibited), er must be controled in a
certain way (restricted)
V1.1 Jan 2014
POL00034503
POL00034503
Procedural Security/Government Services
The procedural security questions remain unchanged, and have the four standard options in the drop down. There
is also a button for quickly marking the whole section as compliant.
Government Services:
The sections are marked as N/A if the branch doesn’t do them (Passports, AE] and DVLA). There are quick
buttons to mark all Government Services as Not Tested or N/A. There is no button for marking all as passes, this
is in case the automatic N/As are overridden by accident.
Mark
( Mark as not tested it Mark as not applicable i
Question to be asked Answer Required
‘Are under copies (p5035s) accurately Check 2 weeks under copies to ensure that they are fully completed. correct fees applied and I 1PSOO2:
completed and retained as appropriate? Le. I retained as per guidelines. NA +
total value/volume, branch code, date, week
number. initials, date stamp & the correct
charges applied
‘What would you do if a customer presented I Accept the application checking fee only. Complete a Passport Application Receipt P4921 with I 1PS002:
incorrect documentation, or the form all relevant transactions details including the reason for rejecting the application. Advise the I n/a
contained errors? customer that the Passport Application Receipt P4921 must be resubmitted within one
calendar month if they wish to have any subsequent passport application checked without
paying an additional checking fee.
Describe what you would do with passports I Applications are stored in the safe prior to despatch the following day. 15003:
that are accepted after the cut off time? NA 7
Describe what you would do when you receive I A full physical check with any variance reported to the NSC on the same day. Discs quantity I DVLA02:
a new supply of MVL discs. & serial numbers recorded on Horizon on line. 7
‘What would you do if MVL discs were lost or I Report to the NBSC & record on Horizon on line. DvLao2:
stolen? FT
POCA
Each question has the standard four options.
When POCA is not being tested the page will look like the image below. There will be a banner advising it's not currently
tested, and all answers are automatically marked as Not Tested.
FSA > Audit Log > POCA
(iret I reread a)
[POCA IS NOT CURRENTLY BEING TESTED _I
Question to be ashed [Anawer Rnired Merk
Wen opening Pan eure war I Forme mut z
wouyeudect for on te eptcaton I Be competed in CAPTAL LETTERS in cn ene =
term S29 ecient comes ond wi
Eetan atoms 008 & Ni muonber
cata te coer ame eres
Secon 2 competed ed al Gre pars of theses Seu information i comple
Check ht hs been docamenad en EOF (P5963)
Secon 3 completion
i where here reno elation form on hand show rach sta yourcny of th ppaon
go trough ecuremered)
When opening «Pa eure wht Secon 3s compte (NB: Scion 3 apple then Secon 4 mut be compte Poms
would you check for on the ppxion I Secon 7 sed by ester Net Tesed
term 829 orice Ut econ conte
tree code
8 Dae samp and rk ini
ome
Confirmation
V1.1 Jan 2014
POL00034503
POL00034503
This is the final screen. The RSM/ASM/Contracts Advisor email addresses are automatically populated. Any other internal
email addresses that need to see the Compliance Audit must be typed or pasted into the ‘Other’ box. NOTE: These email
boxes will not be made active until Friday 29" November.
There is also a reminder to check you have entered everything correctly as no further checks will be made to the data before
being sent out to the branch.
ra @
=
I Final Confirmation I
=k
[Paring [Pint Papers) [Appendix
=m [Procedural Sec.rty} [Goverment
Who needs to know?
ROWCSCSWRSWASMConc Avr eral cere come rem he pare ing le eter ay tar ema ares hat eet abet act
me sw re ses fre canes Abit
J [sen
I SS ] [meen = aRG 7
Cine eal ters nce scr wih)
Confirmation
(ne you submit hi amanc ut Branch Sana tar wil ot atthe deca he branch in the et 2 woring a
Pace deck tack ough enh of the aren covered to ate sr you have fied tn eveying corey - thre wal be no rer Ge 0 ei you hove
lepes ering recy
‘ex you vey eventing it fied in carey, wth te cra flues marta? Se * =)
I
‘You eo not net top your rae tha wi be ctr mtmaaty on ube)
W youre nothepy wh what a howing in efi hen lene eal
Working Papers/ Appendix
After clicking onto the Working Papers page, go File>Print or ‘Crt!’ and P to print.
The Appendix page is there purely for reference. You do not need to print it or fill anything in.
Saving/Submission
You can go File>Save As to save the form to your computer at any time. It does not matter what you name the
file.
You can then reopen the file by double clicking on it, just like you would a Word document.
Submission
The audit is not submitted to the main database until you click the ‘Submit’ button in the top left corner of the form.
You must be online to be able to do this; otherwise you will get a message saying it has been unsuccessful. The
audit is automatically named in the database in this format: [FAD]-[Date of audit].
V1.1 Jan 2014
POL00034503
POL00034503
Saving the File to Your Laptop
Once you have Submitted the CAT Tool you will need to save a copy to your laptop, so that you can include it in
the zip file which is emailed to the P32 File.
Go to the Audit Compliance SharePoint site and locate your entry
Double Click on the file name (red text) to open it
Search this site... ‘Advanced
— Created Created By Modified Modified By hq
(CS -Temp SPUR 434458 09/01/2014 11:20 Sally Ingold 09/01/2014 11:20 Sally Ingold
2014.01
08
new
398458- 08/01/2014 13:42 Nia Jones. 08/01/2014 13:42 Nia Jones
Yarra [asm [ond a =
7
Dateotaudit can
fon iS] @) 182434 07/01/2014 15:23 Stephen McNallyi 07/01/2014 15:23 Stephen McNally1
201401
ol a
Created By
2w @) 1801148 03/01/2014 17:41 MH Ramnarain Ram 06/01/2014 14:33 MM Sharon Haller
-2014-
01-03
Once the file is open Click on File and Save As
Aad 4
B Insert
lid Save '
Form Information
Gh save as
Location: —\\NGI7LTDNAUSEROL RM
Open
GH ose ‘Submit your for
par ‘Submit
New
Locate where you want to save it on your laptop.
Change the File Name to the correct format and click Save.
\
name: 434458 020114 Branch CAT Tools) i -
Bave as type: I Inf X\ 7
se to GE) Ga
Please save the completed CAT Tool as:
Branch Code space DATE space BRANCH NAME space CATTOOL
E.g. 123456 030809 Anytown CATTOOL and send to a compressed zip folder and email to P32 file copying in
your Field Team Leader.
V1.1 Jan 2014