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Condensed Guide For Audit Attendance
Audit at Branch
( Introduction and Horizon Reports)
On arrival at the branch and entry to the secure area, explain the purpose of the visit.
Establish if the person in charge has full access to the Horizon system (ie may just be a
member of staff), and ask them to Log on to the Horizon system.
You may wish to make a mental note of where personal items (bags, holdalls etc) taken
into the secure area are located when the audit commences or anything carried in by
staff who arrive later.
REPLACE (If SPMR/staff were already in secure area prior to your arrival, obtain a
Transaction Log from 17.30 hours the previous working day, in addition to the following
reports) WITH
Obtain a Transaction Log from 17.30 hours the previous working day (even if spmr
arrives outside the branch — they may have been in a rear entrance and accessed
Horizon and then returned to the front) in addition to the following reports:
Office Snapshot: TAKE THE SENTENCE IN BRACKETS OUT, A BALANCE
SNAPSHOT MAY NOT CONTAIN ALL RECEIPTS & PAYMENTS
WITHIN TRADING PERIOD IF ROLLED INTO BP, MUST BE
OFFICE SNAPSHOT
(This can be Balance snapshot if only one AA Stock unit.
However) If multi-stock unit, obtain Transfer Reconciliation and
individual snapshots as well.
Cash declaration/s Obtain reprint of figures entered previously
Foreign Currency
Holdings — if applicable
If time is limited the following reports can be obtained later:
e Previous Branch Trading Statement (Reprint)
e Suspense Account (Entries need to be supported by NBSC reference
and to be within an 8 week timescale)
e Rems In and Rems Out (Printing both ‘Daily’ and ‘By Product’ useful,
especially if completing Tier 2 entries on P.32)
Reversals (Transaction Log, Mode, ER and RV)
Transaction Corrections Processed
Transaction Corrections Outstanding
User Summary (if any changes made to users ‘proper’ to office, obtain a
second copy showing amendments
e Transaction Log - over £5000 for previous 6 weeks
Establish where all Cash and Stock is located, including any outstanding Lottery from
retail side, ATM monies etc. There may also be dormant stocks in Combi-tills, which are
not being used.
V2 Oct 08
POL00084813
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Proceed to count Counter Working Cash and Stamp Portfolio, together with loose Stamp
Books and any Foreign Currency. Check any documents and Cheques on hand and
relating to the current Trading Period.
Then move onto Bulk Cash and Stock
Proceed to enter Cash , Stock and Documentation from the above reports onto P32. You
may wish to start with figures B/F from the last BTS and the Office Snapshot,
remembering that some reports have entries on more than 1 page of the P.32 if
completing Tier 2 audits. Rem In figures for postage totals and stock are entered on the
corresponding page ‘tab’ — scroll to the far right of the pages to locate the columns.
e If audit is on Thursday morning after a Trading Period, the BTS must be
produced before the auditors leave.
V2 Oct 08