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GUIDE TO SENDING REPORTS/DOCUMENTS POST AUDIT
This guide is designed to clarify which documents need sending following
completion of an audit, provides instructions on how to attach various forms
to ‘report templates’ and advises on how to name saved reports.
1) FINANCIAL AUDITS
2) TO SEND THE AUDIT REPORT BY POST TO THE BRANCH
3) COMPLIANCE ONLY AUDITS & POST TRANSFER VISITS
4) ROBBERIES AND BURGLARIES
5) SENDING THE DOCUMENTS BY EMAIL
6) NAMING SAVED TEMPLATES/DOCUMENTS
> The Zip file should be sent to the ‘P32 File’ containing the documents
detailed in the below instructions. In addition to the zip file being sent
to the ‘P32 File’, various reports (documents) will (or may) need to be
sent separately by Field Advisors to relevant stakeholders upon
completion of an audit, as per previous instructions — see the current
Audit Reports matrix version (to be found on EASE — NFS - Audits —
Audit Process Manual — Chapter 8 — Report Templates).
> In addition to sending these documents by email to the existing
circulation list, please note that the Audit Report, Appendix A&B and
Compliance Declaration, will now need to be printed from the P32 or
CAT Reporting Tool and sent to the Subpostmaster by the Lead
Auditor, within 5 working days of the audit.
to P32 file, David Southall and
ind (posted to Branch. with App A&B and
Compliance Declaration) (NOTE: If you are on Microsoft Outlook and are
using the Global Address List to select the multiples address, you need to
select “multiples”, not “Multipleteam” from the list of address names).
Crown Offices — send Audit Report, Appendix A&B and Compliance
Declaration by post to the branch addressed ‘In Confidence’ to Branch
Manager, Also send the Audit Report and Appendix A&B by email to the
circulation list as per matrix.
WHS - send Audit Report, Appendix A&B and Compliance Declaration by
post to the branch addressed ‘In Confidence’ to Branch Manager, also send
the Audit Report (including Appendix A&B) to the circulation list as detailed
on EASE in the Audit Reports Matrix.
1) FINANCIAL AUDITS
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Financial Audit with Compliance testing
> Zip file to P32 File:
= P32
= CAT Reporting Tool
= Additional Report (E) when applicable
= Audit Report/s
= Appendix A&B
> Event Capture Form (from p32) if applicable
Refer to the matrix for details covering individual requirements
To be sent by post to the Subpostmaster
> Audit Report , Appendix A&B , Compliance Declaration (from CAT
Reporting Tool)
Financial Audit without Compliance testing
> Zip file to P32 File:
= P32
= Additional Report (E) when applicable
= Audit Report/s
= Appendix A&B
> Event Capture Form (from p32) if applicable
Refer to the matrix for details covering individual requirements
To be sent by post to Subpostmaster
> Audit Report
2) TO SEND THE AUDIT REPORT BY POST TO THE BRANCH
Printing the Audit Report and sending to the branch
This section provides further instruction for Field Advisors to ‘customise’ their
report .
> Once the Audit Report has been copied and pasted onto the ‘template’
(available from EASE), then if necessary, blank lines within the ‘Result
of the Audit Section’ should be deleted, along with any other blank
rows in the report. Rows should be narrowed or widened to ensure the
presentation and layout aligns correctly. Once the Report is user
friendly to view, then this version, (the one that has been copied onto
the ‘template’) should be saved, then printed and posted to the branch.
3) COMPLIANCE ONLY AUDITS
> Zip file to the P32 File
= CAT Reporting Tool
> Audit Report F, Appendix A&B
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Refer to the matrix for details covering individual requirements
To be sent by post to Subpostmaster
> Audit Report , Appendix A&B , Compliance Declaration
4) ROBBERIES & BURGLARIES
To be sent by email to relevant individuals
Follow instructions for Financial Audits depending upon whether Compliance
Testing has taken place.
Within the Zip File, also include extra additional reports (where appropriate)
relating to the incident as per instructions on EASE (NFS, Audits, Audit
Process Manual, Chapter 6).
Also send these extra reports to the relevant individuals as per process.
To be sent by post to Subpostmaster
> R&B Audit Report
> Appendix A&B
> Compliance Declaration
4A — FOLLOW UP AUDITS?
5) SENDING THE DOCUMENTS BY EMAIL
There are ‘templates’ relating to the below documents (these can be found on
EASE — NFS- Audits — Audit Process Manual — Chapter 8 — Report
Templates).
Financial Assurance Audit Report
Agent Audit Report (A)
Crown Office Audit Report (B)
Suspension Report (D)
Additional Report (E)
Audit of regulatory Compliance and Business Conformance report
F(gaps)
Audit of regulatory Compliance and Business Conformance report
F (no gaps)
Follow Up BAU 550
C&O
R&B Audit Report
Appendix A&B
Event Capture Form
VVVVVVV
VVVVV
The relevant document will need to be copied and pasted from either the p32
or the CAT Reporting Tool onto the corresponding ‘template’.
Financial Assurance Audit Report (from the FAA P32)
Once the Financial Assurance Audit Report is completed, to copy this page,
first open up the ‘Financial Assurance Audit Report template’. Then on the
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Report that needs copying, highlight just the report (cells B1 to 093) — do not
highlight any of the yellow cells. Then click ‘copy.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped or blank rows in the breakdown of the result of the audit section,
should be deleted).
Agent Audit Report (A) (from the Tier 2 P32)
Once the Agent Audit Report (A) is completed, to copy this page, first open
up the ‘Agent Audit Report (A) template’. Then on the Report that needs
copying, highlight just the report (cells B1 to O95) — do not highlight any of
the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped or blank rows in the breakdown of the result of the audit section,
should be deleted).
Crown Office Audit Report (B) (from the FAA P32)
Once the Crown Office Audit Report (B) is completed, to copy this page, first
open up the ‘Crown Office Audit Report (B) template’. Then on the Report
that needs copying, highlight just the report (cells B1 to Q108) — do not
highlight any of the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped or blank rows in the breakdown of the result of the audit section,
should be deleted).
Suspension Report (D) (from the Tier 2 P32)
Once the Suspension Report (D) is completed, to copy this page, first open
up the ‘Suspension Report (D) template’. Then on the Report that needs
copying, highlight just the report (cells B1 to N93) — do not highlight any of
the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped or blank rows in the breakdown of the result of the audit section,
should be deleted).
Additional Report (E)
There is no facility to copy and paste onto a template for the ‘Additional Audit
Report (E), this is to be accessed from EASE (NFS - Audits — Audit Process
Manual — Chapter 8 — Report Templates) and completed manually.
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Audit Report F (gaps) (from the CAT Reporting Tool)_
Once the Audit of regulatory Compliance and Business Conformance report
(gaps) is completed, to copy this page, first open up the ‘Audit of regulatory
Compliance and Business Conformance report (gaps) template’. Then on the
Report that needs copying, highlight just the report (cells C8 to O52) — do not
highlight any of the yellow cells or text below line 52. Then click ‘copy’.
On the ‘template’, click on cell B4, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’
and click ‘Yes’ when asked if you wish to replace the contents of the
destination cells.
Once pasted onto the template (any incorrect entries should then be
overtyped).
Audit Report F (no gaps) (from the CAT Reporting Tool)_
Once the Audit of regulatory Compliance and Business Conformance report
(no gaps) is completed, to copy this page, first open up the ‘Audit of
regulatory Compliance and Business Conformance report (no gaps)
template’. Then on the Report that needs copying, highlight just the report
(cells B8 to N42) — do not highlight any of the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’
and click ‘Yes’ when asked if you wish to replace the contents of the
destination cells.
Once pasted onto the template (any incorrect entries should then be
overtyped).
Follow Up Tool (From the follow up Audit tool)
Once the Follow up Audit Report No Action is completed, to copy this page,
first open up the Follow up Report (No Action) template, then on the report to
be copied highlight just the report (Cells B2 to N39)- do not highlight any of
the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once the Follow up Audit Report Action is completed, to copy this page, first
open up the Follow up Report ( Action) template, then on the report to be
copied highlight just the report (Cells B3 to N48)- do not highlight any of the
yellow cells. Then click ‘copy’.
On the ‘template’, click on cell B1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Follow-up Audits
For how to format the audit report and appendix for BAU follow-up
compliance audits, see “Follow Up User Instructions” document on EASE. For
how to name these and the follow-up Tool, see Section 6 below.
Core & Outreach (from FAA P32 or Tier2 P32)
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Once the Core & Outreach report From the FAA P32 is completed, to copy
this page, first open core outreach financial audit report template, Then on
the Report that needs copying, highlight just the report (cells B1 to O 102) —
do not highlight any of the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once the Core & Outreach report From the Tier2 P32 is completed, to copy
this page, first open core outreach Agent audit report A template, Then on
the Report that needs copying, highlight just the report (cells B1 to O 100) —
do not highlight any of the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once the Suspension Report (D) is completed,(Tier2P32) to copy this page,
first open up the ‘Suspension Report (D) template’. Then on the Report that
needs copying, highlight just the report (cells B1 to O 102) — do not highlight
any of the yellow cells. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
R&B Audit Report (from the R&B P32)
Once the R&B Audit Report is completed, to copy this page, first open up the
‘R&B Audit Report template’. Then on the Report that needs copying,
highlight just the report (cells B1 to N39) — do not highlight any of the yellow
cells or text below line 39. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options, click ‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped or blank rows in the breakdown of the result of the audit section,
should be deleted).
Appendix A&B (from the CAT Reporting Tool)
Once the Appendix A&B are completed from the CAT Reporting Tool, they
will need to be copied, first open up the ‘Appendix A&B template’.
Appendix A - On the original that needs copying, highlight the grey box in
Appendix A (cells B2 to E3) only. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options and click
‘Ok’.
Then go back to the version that needs copying, highlight all the gaps in
Appendix A only, starting at cell BS between columns B and E. Then click
‘copy’.
On the ‘template’, click on cell A4 and press ‘paste’. Delete any blank lines
by highlighting the whole row and pressing delete.
Appendix B - On the original that needs copying, highlight all the grey box in
Appendix B (cells B36 to E37) only. Then click ‘copy’.
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On the ‘template’, click the top left cell A20 within the grey Appendix B box,
right click on the mouse, press ‘paste special’, choose ‘values + number
formats’ from the paste options and click ‘Ok’.
Then go back to the version that needs copying, highlight all the gaps in
Appendix B only, starting at cell B39 between columns B and E.. Then click
‘copy’.
On the ‘template’ in Appendix B, click the top left white cell A23 and press
‘paste’. Delete any blank lines by highlighting the whole row and pressing
delete.
Once pasted onto the template (any incorrect entries should then be
overtyped).
Appendix C (From the Core & Outreach CAT Reporting Tool)
Once the Appendix C is completed from the CAT Reporting Tool, it will need
to be copied, first open up the ‘Appendix C template’.
Appendix C - On the original that needs copying, highlight the grey box in
Appendix C (cells B2 to E3) only. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options and click
‘Ok’.
Then go back to the version that needs copying, highlight all the gaps in
Appendix A only, starting at cell A4 between columns A and D. Then click
‘copy’.
On the ‘template’, click on cell A4 and press ‘paste’. Delete any blank lines
by highlighting the whole row and pressing delete.
Event Capture Form (from the FAA or Tier 2 P32)
Once the Event Capture Form is completed, to copy this page, first open up
the ‘Event Capture Form template’. Then on the ECF that needs copying,
highlight just the ECF (cells A1 to C57) — do not highlight any of the text
below line 57 or to the right of column C. Then click ‘copy’.
On the ‘template’, click on cell A1, right click on the mouse, press ‘paste
special’, choose ‘values + number formats’ from the paste options and click
‘Ok’.
Once pasted onto the template (any incorrect entries should then be
overtyped).
6) NAMING SAVED TEMPLATES/DOCUMENTS
Once Reports, templates or documents have been completed, they can be
saved in the following format:
Financial Assurance Audit Report
‘save as’ (branch code). (Date) (Branch name) Audit Report
eg 123456. 160609 Anytown Audit Report
Agent Audit Report (A)
‘Save as’ (branch code). (date) (branch name) Audit Report
eg 123456. 160609 Anytown Audit Report
Crown Office Audit Report (B)
‘save as’ (branch code). (date) (branch name) Audit Report
e.g. 123456. 160609 Anytown Audit Report
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Suspension Report (D)
‘Save as’ (branch code). (Date) (Branch name) Suspension Report
eg 123456. 160609 Anytown Suspension Report
Additional Audit Report (E
‘Save as’ (branch code). (Date) (Branch name) Additional Audit Report
eg 123456. 160609 Anytown Additional Audit Report
Audit Report F (Gaps)
‘Save as’ F(branch code). (Date) (Branch name)
eg F 123456. 160609 Anytown Audit Report (Gaps)
Audit Report F (No Gaps)
‘Save as’ F(branch code). (Date) (Branch name)
eg F 123456. 160609 Anytown Audit Report (No Gaps)
Core & AuditAudit Report F (Gaps)
‘Save as’ F(branch code). (Date) (Branch name)
eg F 123456. 160609 Anytown Audit Report (Gaps)
Core & AuditAudit Report F (No Gaps)
‘Save as’F (branch code). (Date) (Branch name)
Eg F 123456. 160609 Anytown Audit Report (No Gaps)
Follow up Tool
‘Save as’F (branch code). (Date) (Branch name)
eg 123456. 160609 Anytown
Follow Up Audit Appendix (if applicable)
1,2 I Save as: F (branch code).(date) (branch name) Appendix
Eg F 123456.030809 Anytown Appendix
Core & Outreach
‘save as’ (branch code). (Date) (Branch name)
@.g. 123456. 160609 Anytown Core & Outreach
R&B Audit Report
‘save as’ (branch code). (Date) (Branch name) R&B Audit Report
e.g. 123456. 160609 Anytown R&B Audit Report
Appendix A&B
‘Save as’ (branch code). (Date) (Branch name)
e.g. 123456. 160609 Anytown Appendix A&B
Event Capture Form
‘save as’ (branch code). (Date) (Branch name) ECF
e.g. 123456. 160609 Anytown ECF
CAT Reporting Tool
‘save as’ CAT (branch code). (Date) (Branch name)
E.g. CAT 123456. 030809 Anytown
P32
‘save as’ P32 (branch code). (Date) (Branch name)
e.g. P32 123456. 030809 Anytown
If a suspension has taken place, please submit the P32 in the following
format:
SUSPENSION P32 123456. 030809 Anytown
For a Robbery or Burglary P32, prefix with either a R or B eg R P32 123456.
030809 Anytown
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Track Changes
1 Insert david.ogleby, 13/05/2011 07:06 AM
2 Insert david.ogleby, 13/05/2011 07:06 AM