POL00046324
POL00046324
— Performance Standards Assessment - Agents
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A
Name of Branch
Address 712 Bradford Road ; -
Birkenshaw ii
Bradford BDIT2AE Exhibit Number
Branch Code T63 3066 Identifying Mark =
Name of BDM R Hart -
Name of on-site Trainer Dennis Watson
Date on-site training started 04 July 2008
Unit 1 Subjects And Session Number
9.17
Unit2 {Reports 9.00
Unit 3 [Observed Conversations 6.00)
[Total Score 8.06
Name of classroom trainer
Number of days attended 10
Practical scores [Mod 1 75.00[Mod2__I “[Mod3_[_88.00fTotal__I
Have the Areas on the self-assessment checklist been covered with the subpostmaster: I
Has a copy of the security self-assessment checklist been left onsite for reference?
Produces and double checks daily documents ready for despatch
10.00
Produces and double checks weekly documents ready for despatch 7.00
Completes daily cash accurately 10.00)
[Overall Score for Unit 2 9.00
Cash Withdrawals 10.00} Instant Saver -
Special Delivery 4.00IFive Year Saver -
Parcelforce 24 & 48 4.00IMotor Insurance I
Home Phone -IHome Insurance -
Broadband -[Credit Card :
Telephony Dual -IMoneygram -
Travel Insurance -ILife Insurance -
‘Travel Money -IE Top Up +
Passport Check & Send B
[Overall Score for Unit 3 6.00]
Regulatory Compliance Workbook Completed And Answered Correctly (Y or N) Y
lf No E-mail POL Compliance Team@POSTOFFICE With Trainee Details (Y or NV
Interim Action Plan/Comments l
Agents Focus PSA v4.xls
POL00046324
POL00046324
Performance Standards Assessment - Agents ee
Exhibit Number
Identifying Mark Lrify
Instant Saver
2 Cc ~
3 Business Awareness Cc oa
4 Health & Safety iq 5]
5 [Datestamps Cok ie
6 Post Office Credit Card Ct
Part 1: Take Over Of a Stock Unit C
7 Part 2: Anti MoneyLaundering C
8 Introduction to Horizon and Helpline Cc
10 [Stock Balancing Cc
14 Use Of Counter Operations Manuals etc. \\ Cc - eae
16 _ [Postage Stamps, Saving Stamps And Retail Items TH C 10.00
18 {Royal Mail Services - 1st & 2nd Class Mail iq 10.00
19 {Royal Mail Services - Special Delivery . Cc 7.00)
23 _IRoyal Mail Services - Home Shopping Returns & UK Parcels Cc 10.00
25 __IRoyal Mail Services - Recorded ‘Signed For’ C 10.00
Part 1:A & L Cash Handling And Transcash Cc 10.00
28 [Part 2: APS Transactions & Reversals C 70.00
37 __IPostal Orders C 7.00
Part 1: Travel Products C 7.00
42 Part 2: Passport Application Check And send Service N/A
Part 1: Parcelforce Worldwide - International Standard/Economy Cf
43 I Part 2: Parcelforce Worldwide - Guaranteed Services (Global Priority) ‘thins, Cf
Part 3: Parcelforce Worldwide - Guaranteed Services (Datapost) N/A
45 __ {Security [4
Cash, Stock & Stores Management
46 [Remittances In
: Remittances Out ps
47 __I{E Top Ups/Mobile Vouchers C
50__ [DVLA Premium Service N/A
Part 1: Cheque And Debit Card Acceptance C 10.00
51 Part 2: Cashcheques C 10.00
Part 3: Personal/On Line Banking Cc. I-
52 _IDWP/SSA (NI) Girocheques Cc 10.00
54 Part 1; Post Office Card Account C 10.00
Part 2: Post Office Card Account Ct
59 __[NS&l- Investment Account Ct
60 _INS&I - Savings Products Ct:
61__ IHome Insurance C+}
63 __ICar Insurance c.f
64 {PO Savings - Five Year Saver & Instant Saver Ct
65 _ [Home Phone / Post Office Phone Cards Cc +
66/68 _IMotor Vehicle Licences Cc 7.00
70 Royal Mail services - International Letters, Small Packets & PF Cc 10.00I
72___IRoyal Mail services - International Priority Services Cc 10.00
74 ___IRedirection Of mail C 7.00
76 . {Moneygram Cc -
77 _ Asylum Seekers ~T NA
[Overall Score for Unit 1 9.17
Agents Focus PSA v4.xls
Exhibit Number
POL00046324
POL00046324
Visit
Phonecall
Post Transfer Contact Identifying Mark Lyla honecail
4 Month
3 Months
6 Months } «
I IPersonal introductions:
‘Activity
9] Authorisation to issue a vault card for a card account
Introduce yourself, your role, purpose of visit/contact, putting priority on the visit
being supportive and to encourage good ways of working. Rather than being
punitive we would like to address any development needs.
v
Ensure subpostmaster checks visitor identification cards
v
Sign a visitors book and ensure that the subpostmaster asks every visitor to sign on
admittance to the secure area
Set expectations of frequency of future visits/contact. Flag up ant issues around
absentee subpostmster for further contact.
Network Business Support Centre — The Helpline:
Confirm subpostmaster knows telephone number of Network Business Support cetitre
and ensure that it is the first point of contact for:
(NBSC) — 0845 6011022 —
Reporting of incidents, robberies and burglaries
Reporting Horizon technical faults
E
q
7IHelp with Horizon/Transactions/Business policies/suspense account
a
Authorisation of emergency payments for card account due to Horizon system
failure
Query an order of stock/stores or non receipt of a distribution
Other enquiries such as contacting the BDM if appropriate
SISTSE SOLAN
SINGS SOLSISIS
BN RN i a
Human Resources Service Centre:
é
12[Confirm that the Human Resources Centre (HRSC) should be the first point of
contact for:
13)Remuneration queries
a
Si
Se
9
y
N
Application for sickness and holiday substitution
Resignation and vacancy information
AISNE SN
NN as
NEN DNMEN
Training:
6IGo through the training report and ensure learning action plan completed, discuss
knowledge gaps.
Only if required, request a further intervention visit for the subpostmaster by e-
mailing NSA Centrally Supported.
Confirm that the subpostmaster is aware of their responsibility to train all staff
Inform the subpostmaster that training for most new products will be done
remotely by either work book or operational focus rnagazine
0I Ensure that the subpostmaster is aware of the need to attend out of hours training
courses
Check Regulatory Compliance is completed verbally for phone contact or on face-
ito-face visit that receipts are attached to R.C. workbooks
Staff:
Ensure that the subpostmaster has registered all assistants with the Human
Resources Service Centre
23I
[Ask if staffing levels have been sufficient to meet customer demand since taking
over. Are there sufficient staff for peak periods/new opening hours.
POL00046324
POL00046324
Losses:
2.
25)
&
2
S
Identify the balance results with the subpostmaster
Ensure that the subpostmaster is aware that all losses must be made good
immediately
Explain that Transaction Corrections will be issued by Chesterfield for mistakes
that are made. These will require money to be made good by the subpostmaster or
will be to the subpostmaster’s benefit. Any disputes should be discussed with
Chesterfield.
Conditions of Appointment: (BDM to complete if Account Managed)
27]
28]
‘Confirm with the subpostmaster that any opening hours changes have been \
implemented immediately and communicated. (At 3-month visit check door sign hy
relates to new hours - get Subpostmaster to order new signage if necessary). If not
intending opening new hours discuss reasons for this and liaise with CA as to next
steps.
Confirm that the subpostmaster is aware of the other Conditions of Appointment
and actions are in place to meet timescales. If not completed discuss reasons for
non completion, agree a new timescale and give action for Spmr to achieve new
timescale. If there are objections to this explain the reasons for setting COAs and
see if you can resolve if not please liaise with CA.
Security:
3
32I
IGo through the security checklist with the subpostmaster, and identify.any gaps
Go through the compliance checklist with the subpostmaster, and identify any
gaps
Confirm with the subpostmaster that alarms should be tested every week and
recorded in branch
Observe lapses in security and get subpostmasters to tackle areas of
underperformance
Financial: (BDM to complete if Account Managed)
33)
34)
35]
(Ask if the initial costs for setup are in line with forecasted amounts
[Ask if income is meeting the forcasted amounts outlined on the business plan. If
they are not does the Spmr require some sales coaching, techniques to help?
Has the Spmr conducted the marketing as outlined on their business plan? What
effect has this had? Do they plan any more activity, what ideas do they have?
Feedback .
36]
Leave a customer feedback questionnaire and explain to the subpostmaster that.
they are completing the form in relation to the initial training received not the Post
Transfer Vist.
Exhibit Number
Identifying Mark
POL00046324
POL00046324
List any concerns for review by Contracts Advisor (when emailing the report back to either
NSA Centrally Supported or NSA Account Managed copy the Contracts advisor in if there are
any concerns listed here)
v
v
v
Section
Details of the concern or non-compliance to be followed up - quote letter and line number from the appropriate
tab on the worksheet i.e. Process ( P ) Security ( S) or Compliance (C).
Exhibit Number
Identifying Mark
POL00046324
POL00046324
Subpostmaster Security Assessment Compliant? I Compliant? I Compliant?
S ]Access 1Month = 3Months 6 Months
1 What's the correct procedure used for admittance of visitors? How do you record this?
YES YES YES
2 When arriving at the office what is your entry procedure? YES YES YES
3 The Counter Access door should be kept closed and locked at all times. Where do you
keep the key? : YES YES YES
4 Before opening the Counter access door, what do you do? YES YES YES
Parcel Hatch
5 Isit only opened as far as necessary and closed immediately after use? YES YES YES
6 When accepting a parcel from a customer, if you were suspicious of a customer's ‘
intentions, how would you take the parcel from the customer? yy YES YES YES
7 Is the hatch in good working order? ° YES. YES YES
8 Do you regularly check it, to ensure that the springs operate correctly, the lock is in
good working order and there are no loose nuts and bolts? YES YES YES
9 Do you know where to order replacement locks/springs? (Pioneer Welding 01843 .
599105 emergency out of hours 07841 209797) Advised IYES YES
Cash at the Counter
10 Is your working cash kept ina drawer, out of sight of customers, not on the counter
top? YES YES YES
11 How much cash do you keep on-the counter? - YES YES YES
——
Rems
12 What do you do after delivery of your REM? YES YES YES
13 When you have cash or stock to return where do you keep the REM pouch? YES YES YES
Safe
14 Where do you keep the safe keys during the day? YES YES YES
15 (If available) How do you use the 40-min time delay compartment in the main safe? N/A N/A N/A
Security
16 What's the Hostage Emergency phone number? When would you use that number?
Advised _IYES YES
17 Do you have a copy of the “Operational Manual’ Security booklet COMB 58/1 at your
branch? (If not, please order a copy from stores and ensure you read this booklet
periodically, to remind yourself and your staff of correct procedures.) YES YES YES
Exhibit Number
Identifying Mark LU [3
POL00046324
POL00046324
=3807022.v1
Subpostmaster Compliance Assessment Compliant?
Horizon 3 Months
1 Who knows your Horizon password? YES
2 How would you know if someone had tried to logon using your user name? YES
3 What do you do with the Horizon screen when the counter is left unattended?
YES .
4 Where do you keep your PMMC card? Where do you keep you PIN? YES
Mails
5 Where is mail kept while waiting to be collected? YES
6 Are Horizon ADC receipts on hand to confirm that training has been completed
by the PMR/OIC/ BM and all team members? ‘Advised
7 Where are your Priority Service items kept prior to being collected? YES
ty
FSA - General
8 What can't you do when selling FS products? If necessary explain what selling
products on a non-advised basis means. YES
9 How would you deal with customer queries or complaints in relation to
financial services and insurance products? YES
FSA - Promotional Material ~ ‘
10 Are you aware that you cannot produce any promotional material for financial
services, such as, posters for display in your branch or leaflets for handing out
to customers? Check compliance. YES
11 Undertake a check of material on hand, compared to the latest display wo
instructions to ensure there is no out of date material on hand. YES
FSA - Travel Insurance
12 Before completing a travel insurance transaction, what needs to be handed to a
customer? Are your staff aware of this? - YES
13 What needs to be read out to the customer before completing a Travel
Insurance transaction? YES
Anti-Money Laundering
14 How would you recognise a suspicious transaction? Give two examples. Are
your staff aware of how to spot suspicious transactions? YES
15 What are the ID requirements? Are your staff familiar with these? YES
16 What's the process for recording customer ID? Are your staff aware of the
process? YES
17 How do you report a suspicious transaction? Are your staff aware of how to
report suspicious transactions? YES
18 How do you deal with customer queries or complaints? Do your staff know how
to deal with customer complaints? YES
General
19 How do you dispose of sensitive waste? YES
20 What are your responsibilities regarding the Data Protection Act 1998? YES
21 What are your responsibilities under the Restrictions Policy? YES
Exhibit Number I
Identifying Mark
POL00046324
POL00046324
‘ ~3897028.xIs
Procedures, Accounting and Observations
22 Look at the Horizon screen and check the Trading Period is on the system is the
correct one YES
23 Check Branch Trading Statement dates so far and ensure they are correct and
that the Spmr is aware that these dates cannot be deferred YES
24 Where do you keep your cash declarations daily and reports? YES .
25 Are all entries found in the suspense account valid & supported by the correct
documentation? YES
26 Can the Spmr demonstrate a satisfactory procedure for filing and
housekeeping of accounting paperwork? YES
27 Have all obsolete stock and philatelic items been returned ? YES
28 Are printouts retained for incoming and outgoing remittances? YES
29 Have all transaction corrections been brought to account? YES
30 Check that the Spmr is conversant with the process for dealing with *
transaction corrections - (If non received so far check understanding of the Diy
process)? YES -
31 Are the Spmr and staff complying with the Business Standards regarding
customer service and appearance of office? YES
32 Is the POPOS material in the office up to date, coded and correctly displayed? YES
33 When observed did the Spmr and staff carry out all the counter transactions
correctly? YES
Sales
34 Are the Spmr and staff having “quality conversations’ with customers in line
with the PO conversational selling model?
35 When observed did the Spmr or staff introduce any products other than the
one specifically requested by the customer?
36 When observed did the Spmr support the conversation with POPOS material
where appropriate?
37 When observed did the Spmr up - sell any products eg books of stamps from
singles, RMSD from recorded? '
38 Where is your copy of the HomePhone code of conduct? YES
[if applicable I
Flexible planning .
39 Is the branch monitoring their cash flow? YES
40 Is the branch aware of the telephone number for the Flexible Planning Team?
YES
41 Can the Spmr demonstrate an understanding of where to find delivery
information, cut off times and how to adjust and cancel rems? YES
Non flexible planning
42 Can the Spmr produce their Flexible Planning Team letter?
43 Is the ONCH figure for the previous night on target?
44 Is the branch aware of the telephone number for the Flexible Planning Team?
45 Can the Spmr demonstrate an understanding of where to find delivery
information, cut off times and how to adjust and cancel rems?
Exhibit Number
Identifying Mark Luls
POL00046324
POL00046324
‘ ~3897028.xls
Operi plan and combis
46 Are levels of cash, stock and mvls being kept to a minimum and within open
plan guidelines N/A
47 Does the Spmr have a copy of the open plan ways of working and understands
how to operate open plan format. N/A
Lottery
48 Can the Spmr demonstrate an acceptable procedure for managing lottery
ticket issuing, cancelling and prizepayment? YES
49 Can the Spmr demonstrate an acceptable procedure for managing scratchcard
sales and prize payment? YES
50 Is lottery accounting through Horizon being done on a daily basis? YES
51 Are all staff conversant with Gaming Law governing the sales to under 16s? YES
\
ATM yy
52 Can Spmr demonstrate an acceptable procedure for ATM security and
accounting through Horizon? ‘YES
53 Is the cash included in the cash declaration (broken down by denomination
where applicable)? - YES
Cash Declaration ~
54 Does Cash on hand agree with figure on Horizon (ONCH)? . YES
55 Does Cash on hand agree with figure on Horizon (FONCH)?
Exhibit Number
Identifying Mark LulZ
POL00046324
POL00046324
, = OT ——e
— Exhibit Number I
I Identifying Mark I LH B_ -
Office Name BIRKENSHAW
Office Code 163 306
Telephone i GRO
Office Address c
; 1st lineI : BIRKENSHAW
( 2nd line BRADFORD
a 3rd line
ee : PostcodeI L
EP Contact Date _ Carried out by
1 Month Contact [29.08.2008 IDENNIS WATSON
I 3 Month Visit 17.10.08 Stan Ashcroft
Ee 6 Month Contact [14.03.2009 [DENNIS WATSON
Network Support PTC Report V1 1.4.08
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