POL00085658
POL00085658
Sue Richardson
Project & Standards Manager
Birmingham 28" September 2011
Post Office®
5 mins
Audit Review - Background
+ Early 2008 the Network Support Field Team (NSFT) took over the responsibility
for Financial and Compliance auditing from the National Audit Team
+ Initially the processes and tools used by the NAT were maintained but in Jan
2009 we undertook a revision of all the Audit Process Chapters as a basic starting
point for the new ways of working using a multi-skilled team of Field Support
Advisors (FSA)
+ At this time the revision was simply to align the old p to the new team
structure and to create robust working tools to deliver the information gathered.
« During 2009 ‘SharePoint’ was added as a means of reporting, to improve the
speed of availability of reports
«April 2010, the Scheduling & Admin Team at Salford became part of the NSFT
and at the same time took on the role of scheduling all audit activity and processing
the admin arising from audits.
+ Currently all of the Audit Process Chapters are reviewed against an annual rolling
timetable and are the responsibility of the Network Services Team Leaders.
Post Office”
POL00085658
POL00085658
2mins
POL00085658
POL00085658
The need for a review
* Since the initial revision of all audit chapters in Jan 2009, as
business as usual we have made small operational changes
either as a result of changes to operational practices within
the business, or and less frequently, requests hi-lighted by
stakeholders such as the Contract Team, Security, Product &
Branch Accounting (P&BA), Bank of Ireland (Bol), Compliance
Team, Risk & Compliance Committee (R&CC), and others.
« However, we have not undertaken a complete review or
engaged pro-actively with and identified all stakeholders, to
ascertain that our processes and outputs are fit for purpose
and what we would want to deliver.
Post Office”
POL00085658
POL00085658
Undertaking areview (@%)
+ Identify and engage with all stakeholders
* Seek feedback on each chapter
« Review the current process and tools and working papers considering the
feedback with the chapter owners (Team Leaders)
« Revise according to agreements made
+ Review Chapter ownership
« Cascade revised material to all ~ NST & Stakeholders
+ Train the FSA’s through the Team Leaders in deployment of new tools,
processes and standards — hi-lighting any changes
5 mins
Identify and engage with all stakeholders:
Looking first at our own team in NST, the stakeholders identified within each chapter then approaching other teams within POL
and the wider working relationship we have such as the Banks of Ireland & England.
Seek feedback on each chapter:
We will supply a copy of each of the process chapters and ask for feedback on the effectiveness from the stakeholder point of
view, identification of anything they see as a gap, and any suggested improvements.
Review the current process and tools and working papers considering the feedback:
Revise according to agreements made:
I will engage with each of the chapter owners to review the feedback alongside the current process and revise as required, all
materials, tools, reports and processes to deliver an improved output. Initial timetable embedded here.
Review Chapter ownership:
The current ownership responsibilities will be reviewed to ensure that Chapters that have significant cross-over will be owned
by the same person going forward.
Cascade revised material to all - NST, Stakeholders:
The final outputs will be cascaded first to the NST team including Head of Network Services, Regional Network Managers, Field
Team leaders and FSA's, Scheduling & Admin & Change Team Contracts Team, and the Network Performance Team. This will be
communicated at face to face events at the end of Q2 .Secondly via written communication to all other stakeholders.
Train the FSA's, and Team Leaders in deployment of new tools, processes and standards:
There will be a number of training events late Q2/early Q3 to roll out the process to the Field Team who will be delivering the
audit activity. GO live of the process is anticipated to commence in Q3 in advance of the next 5 year plan in 2012.
POL00085658
POL00085658
The Team Leaders
Over to you guys to tell us all about the
changes
Post Office”
POL00085658
POL00085658
Audit Review — Chapter 1
Audit plan & Scheduling
Lee Heil - Team Leader
Post Office®
Welcome everyone and give a brief description as to what this is all about.
15 mins
POL00085658
POL00085658
The Requests
KEEP
Stakeholder — John Breeden
Section 3.12 - A pian of activity for the week ahead should also be forwarded to the Contracts
Advisors, Network Support Projects & Standards Manager and the Regional Network
Managers.
Currently do this on a weekly basis for the week ahead and is sent te ail the above and Security.
This is make all aware of potential audit activity that may lead to suspension and so that
they can be prepared.
LOSE
FIL/FSA
Section 3.8 bullet point “Attendance by a Team Leader to be focused on Crowns or high risk
branches likely to lead to a suspension (e.g. investigation audits or speciaily requested
audits)
We will not lose this as we currently have a list of Field Team Members that can conduct these
Audits which is continually growing through development of the teams. This focuses the
team Leaders limited time on high risk activity where additional support is needed by Field
Team Members and allows time for all other performance management activity to be
completed.
Briefly go over what the chapter covers.
Where we get the data
What considerations
How we schedule
Then go into feedback. Should take no longer than 5 mins
The requests continued
POL00085658
POL00085658
CHANGE
Stakeholder — John Breeden
Section4.3 — does the FTL complete compliance audit at 3 month PTV?
Now done on the 6-9month audit but the FTL will lock at the New Agent Self Audit that the new agent
should have completed before the PTV.
Stakeholder — FSA/FTL
Keep e-mails listing staff on P356, but also include outstanding debt figure on e-mail.
When audit admin send out the office employee HR register for each audit they could include the
outstanding debt figure as well (I would prefer to see or hear that there is no debt than just not get a phone
cal
Receive cash management & agent debt prior to audit as often no phone reception in remote areas. As
above
All the above are asking for the same request. This would be of benefit to everyone but unfortunately this
cannot be done due to the data on SAP being updated daily. This data would then be out of date when the
audit is conducted.
Start of the Changes
5 mins max.
POL00085658
POL00085658
The requests continued
Stakeholder — Scheduling and Admin team.
38 “Declaration of interests, detailing any auditor's conflict of interests with the branches due to be
audited” add “e.g. FSA relatives working at a branch”
Add a builet point for: “The distance FSAs have to travel, plus the cost per mile”
The above relates to what the admin team consider when scheduling activity. We do look at conflicts of
interest and are shortly due to again ask the team. We also believe that the last point should be added
as it is one of the many factors we consider when scheduling.
Change the current attachment for stating resource at a post office and replace with an up to date
version. Ensure the version used for this years audit plan is the one on Ease, any updates can be used
to form next years plan.
Resource is reviewed yearly and we have added current resource spreadsheet which formed the plan for
this year.
ADD - Stakeholder ~ Scheduling and Admin Team.
Add details of some of the Audit Admin duties relevant to the daily audit procedures e.g. acquiring and
disclosing / emailing debt, REMS and staff details, P32 electronic filing, Compliance Certificate returns
and reminders as follows: all added to Chapter 3 feedback for consideration
Changes continued
Go into things that we would like to ADD.
Approximately 5 mins
POL00085658
POL00085658
Chapter 2
Sandra McBride & Paul Humber
Post Office®
2mins
Who
Angela
Angela
Julia
Request
Update ECF to include
all attendee’s
Stress importance of
completing commenis
box.
P32 — there are
tabulation and print
issues between the
P32 and report
templates
To include AEI
branches (this will
remove the need to
took at another
database)
What Done
ECF updated to include all
FTM's assisting with audit
and option for any additional
presence (e.g. Security
team).
Explanation of when to
complete comments box
added
All report templates have
been removed and reports
will now print directly from the
tool.
Contacted Peter Millington to
see if this is possible. Reply -
under current conditions “no”
but Peter is looking into the
information being added to
the databases he uses.
Benefit
Allows all addressees to
see audit team members
and other persons
present.
Clarification of when
comments box must be
completed for purpose of
audits and QAR's.
No need to copy and
paste saving time.
If possible it will save
time in future and all
relevant planning
information will be in one
place.
POL00085658
POL00085658
2mins
Who
Julia
Frank
Request
Lose the need to complete
an ECF where there is an
audit surplus in excess of
£1000 or if the outstanding
debt figure has caused the
audit discrepancy to
exceed £1000
A suggestion to improve
the way we work
(Lose/change/keep) & cut
down errors; we do use
too many acronyms on
EASE {itself another
acronym!), maybe that
could be looked at under
‘change’
Action Taken
No Action — reason this is
included on FAA P32 is due to
the fact that CA's are not
always aware (or may need
reminding) that there is
outstanding debt at the
branch. This in tum could
have a bearing on their
decisions.
All abbreviations on Event
Capture Form (ECF) changed
to full unless already
explained. Also on ECF area
covered now added to John
and Lin’s names, Cathy's
name spelt correctly & “p”
changed to Capital on
Security Programme Manager.
Benefit
Benefit in completing
ECF on FAA P32 if
outstanding debt takes
amount over £1k is that
it highlights other
possible issues apart
from those found on
audit which may need to
be taken into
consideration by the CA.
Clearer identification of
individual titles and who
to send copies of the
ECF to.
POL00085658
POL00085658
2mins
Who
David Patrick
Sue
Richardson
Paul Humber
Request
Comments box on planning
page of P32 - if the audit is an
‘intervention Request’, then
specific details of what the
request is, MUST be noted
{QARs will be marked down if
there are no notes).
The comments box can be used
for any other notes or left blank,
but, as stated above, MUST be
utilised when it's a specifically
requested audit.
Do we need to record the
Remittances on an FAA P32?
Do we need to reconcile the
Traveller's cheques on the FAA
P32?
Action Taken
Extra question added to
Planning page of P32 re:
“{s this an intervention
request” answer yes or
no and the comments
box changes
accordingly. If yes then a
statement appears
saying that the
comments box MUST be
completed with the
specific intervention
request.
Remittance input section
removed ~ still need to
obtain printouts but not
to record on FAA P32
Traveller's Cheque
reconciliation section
removed. Now only need
to balance to those
Benefit
identifies when the
comments box on the
P32 must be
completed.
Saves time recording
information not
required.
Saves time and FAA is
supposed to be a quick
balance of the branch
assets.
recorded on Horizon.
2 ee ee ee er eet 7
POL00085658
POL00085658
2mins
Who
Compliance Team
Pete Jackson
Fieic Team
Sue Richardson
Request
For branches at audit where it is.
found that there are nil stocks of
POCA cards, could this be
reported as part of the financial
audit findings and reported to the
conformance team in order to
address & also be included as part
of the branch performance.
List of WYPTE and Salford HCS
to be acided to EASE, so that the
details can be copied and pasted
into the Tier 2 P32, Extra lines will
be needed on the P32.
To make the MVL discrepancy
information clearer
Can reports be printed direct from
the P32 insiead of using the
tempiates
Action Taken
Added celis and formulas to P32's
to highlight if nif stock of POCA
catds on hand Network Compliance
Team must be contacted. Also
feeds through to relevant reports.
Extra lines added to Tier 2 P32 and
lists added to EASE.
Checked information with P&BA.
Added instructions which can be
accessed when a discrepancy is
shown
Reports on the P32 can now be
adjusted/amended /changed as
required and printed without the
need to copy and paste toa
template.
Benefit
Will save input time
Correct process can be
followed when an MVL
discrepancy is found.
This will save time, stop
duplication, save on
memory space and
make reports easier.
POL00085658
POL00085658
POL00085658
POL00085658
Who Request Action Taken Benefit
Frank ECF can this be formatted Macro introduced to _This will save time
so we can “save a copy" the both the FAA and Tier and eliminate
reason being we have taken 2ECF's to produce a possible errors
out all the tempiates so no copy which the audit — which can occur
more copying and pasting leader then needs to when copying and
basically anyone requesting save in the correct pasting toa
reports will now get the P32, format. template.
but if the Audit goes to a tier
2 the ECF has to be sent
within 48 hrs to various
stakeholders who will not
want the P32 and we want
to get rid of copying and
pasting.
1 min
Who Request
Sue Best practise to be added to
Richardson User Instructions — Team to CC
in FTL on email when submitting
to the P32 file
Frank Why do we need to send the
EFC to so many different
people/sections? Could we have
a central email contact where
the report is sent?
Julia Can the headings of the Find a
Branch database be frozen?
Action Taken
Instruction added to
User Instructions for all
P32’s
No Action — Reports sent
to Stakeholders as
required. (An emait
group of the recipients
could be set up by FSA
to make this easier.)
if this was passed to
someone who wouid it
be?
POL Mi Feedback have
agreed that this can be
done.
Sandra will also check,
and if necessary alter,
before the database is
added to EASE.
Benefit
FTL’s can ensure ail
audits completed have
had a file submitted
NWA
Easier to find
information on Find A
Branch database.
POL00085658
POL00085658
1 min -Sandra
POL00085658
POL00085658
Chapter 2a — Julia
Feedback received from Chris Fayers — asking if Summary Sheet could
only be completed when submitting paperwork for QAR’s
This was discussed & decided that the Summary Sheet has no purpose
even for QAR’s, however it would still be required if Security requested
paperwork within the 60 days, this has now been renamed as Security
Request Summary Sheet
Benefits to Team — 1 less form to print for the majority of Audits
Post Office”
Time Required 5 mins
POL00085658
POL00085658
Gs)
Chapter 3, 3A and 3B
RUNNING TIME - 45 MINS
As you will see from the very first slide, as a result of feedback on the ever expanding chapter 3 “how to perform a branch
audit”, we have introduced a chapter 3A. and a chapter 3B .
POL00085658
POL00085658
The Stakeholders are
Angela Van Den Bogerd — Head of
Network Services
Anne Allaker — Network Co-ordination
John Breeden — National Contract
Manager
John Dutton — WHS Account Manager
Product and Branch Accounting
Field Team Leaders
Field Advisors
Go through the Stakeholders
POL00085658
POL00085658
Chapter 3
Performing a Branch Audit-
Changes
POL00085658
POL00085658
Action required on feedback
MVLs - request made to physically count all discs No change —
resource issue; unused packs will continue to be sampled and
assured
PING — request made to update chapter to incorporate PING
Amendments made to cover transaction acknowledgements
Clarity for accessing HOL - Appendix G has been rewritten to
provide instruction
POST & GO cash assured — add to list of non-standard
transactions — reference 5.4 List updated
MVLs - Anne Allaker
PING - Anne Allaker - see 8.3.1a & 8.3.1b (until whole network has gone to TAs)
Accessing HOL - Angela VDB - App G altered
POL00085658
POL00085658
Texting CA at outset of audit - will remain as part of
process
Request to cease texting CA at outset of audit No
change — no capacity in Salford and one text per person
is more ideal
Record of conversation — not everyone aware of its
existence Amendments made to raise the profile of
the process
Post Office”
Suggestion was that OFS send e-mails to CAs each morning, but this not practical
Record of Conversation - Ch 3 now refers to this in 9.3.4 - documents not now all embedded, and so should be easier to find
too
POL00085658
POL00085658
P242 — request made to change layout and wording
No change — P242 not owned by our team
Cash management phone call — request made to
cease No change — needs to remain to assist in
reducing cash in the network. New section 8.9
introduced
Two day follow up phone call for audit report -—
request made to transfer this work to admin team No
change — current process will remain; admin team
already pursue non receipt after 3 weeks, then escalate
to CA
Post Office”
POL00085658
POL00085658
HR records checking — request made to exclude this
from audit No change — process to remain
Working papers — request to print in advance No
change — only current versions to be used to adhere to
external audit requirements i.e. Ernst and Young
8.6.1 Lottery — request for clarity - Amended
reference to section 9 now included
9.3.2 — request for clarity in relation to contacting CA
~ Amendments made
Post Office”
POL00085658
POL00085658
9.3.4 reference - request to obtain 6 periods worth of
branch training statements — Amendment made to
reflect the facility to now obtain TP for previous 6 months
from HOL system
8.2.4 request to reference unreconciled transfer
report — Amendment made to reflect that report must be
obtained at outset
Request to change meeting time prior to audit
(currently 20 minutes) No change — current time of 20
mins deemed suitable
Appendix F —- ATMs request made to clarify number
of machines subject to audit ~- Amendments made
Post Office”
POL00085658
POL00085658
9.3.2 reference — remove bullet point says about
transactions not actioned to timescales ~ As TCs
would have to be accepted by TP end anyway
3.7 reference - to name badges worn & ID card
carried No change — name badges still to be worn
3.8 reference — change - all FTMs to have to take
laptops — Changed to say lead plus one more FTM to
take laptops
Appendix E ~ says that all PO Locals are self funded,
but this is not always the case -change this —
Amendments made to clarify
Post Office”
POL00085658
POL00085658
* 9.3.2 reference — change so that we don’t need to
contact CA for unexplained SURPLUS of £1000 or
more? No change — Stakeholder Requirement
« Change so that it’s not necessary to complete a
P32 for a FAA if there’s no cash discrepancy? No
change — Regulatory Requirement
¢ Appendix D — Request that rem pouches ready for
dispatch are checked at WHS audits. — New
requirement added to this Appendix
Post Office”
POL00085658
POL00085658
Chapter 3A Core and Outreach
Chapter 3B Follow up Audit
POL00085658
POL00085658
Action required on feedback
Request to include 3A and 3B within chapter 3 No
change — Chapter 3 too large to incorporate
Request to make follow up a full day activity No
change — due to resource that would be required
Post Office”
POL00085658
POL00085658
Any questions?
POL00085658
POL00085658
Audit Process Manual Review
Feedback
Chapter 4 - Transfers
Post Office®
Time to deliver - 20 minutes
Stakeholders
POL00085658
POL00085658
The following were identified and contacted as Stakeholders for Transfer
Audits:
HR Farnworth
Network Support Admin Team
Product & Branch Accounting
Network Hub - Anne Allaker
Contracts Managers
Field Team Leaders and Field Support Advisors
Agency Recruitment
Paystation — Jane Adcock
Branch Support Team
List of Stakeholders is at the front of the Chapter.
The Stakeholders were asked for any improvements or changes that they felt were necessary to the Chapter
POL00085658
POL00085658
Feedback Received
There were not many areas that were identified to improve or change with
the Chapter.
Feedback was received in the following areas:
Appendix B — Transfer Letter
Appendix D — Key holder Proforma
DDARS110 — Item in the Transfer Pack for Property Transferred
Appendices F & G
Attachment for Mailwork Resignation Action Matrix
P242 — Final Account
Recording evidence of what has been checked at Transfer
Post Office”
Go through this in more detail on following slides
Feedback - Changes
POL00085658
POL00085658
Appendix B, the transfer letter, is being reviewed to deal with issues that
arise with transfer of Subpostmaster owned telephone lines, but the
revised letter has not been received yet.
Appendix D — Key Proforma is very useful and should be kept
Additional information has been requested for the DDAARS110 on the
number and location of Paystations, and aiso clarification of what happens
if not all the safe/alarm keys are handed over at Transfer.
Appendices F&G were asked to be removed as they are not currently in
use.
Mailwork Resignation Notice — this was attached to the Chapter but is
proper to the Contracts Team so this has also been removed
P242 Final Account — change Outgoing Agent to Incoming Agent signing
for the keys
Cont'd
fice
DDARS110 - this request was forwarded to John Jenkinson to complete as we are not the owners of this item. There is some
discussion as to who the actual owner is and until this is agreed the item will stand as it is currently.
Appendix F&G related to Crown Office conversions and had not been updated
Mailwork Resignation Notice - this is the process for ensuring that when a Mailwork office transfers Royal Mail are notified and
can arrange mailwork training for the new agent. Not regarded as part of the Transfer process from Network team,
POL00085658
POL00085658
Feedback Changes
Request for a record of items checked and transferred to be
completed
National Contracts Managers asked for transfers to be
recorded in case of issues arising following transfers to new
agents.
There were discussions throughout the review of this chapter
whether an actual audit should be completed at a transfer.
Instructions within the Chapter are still to oversee the transfer
and act as an independent witness.
Cont'd
Post Office”
POL00085658
POL00085658
Changes Made
Instructions have been added to the Chapter and the Work aid for the completion
of a FAA P32 for all transfers and to complete SharePoint
Completion of the FAA P32 should not have any impact on the time taken to
complete a Transfer Audit .
Audit Codes have been added to the FAA P32:
5 — BAU Transfers
10 ~Transfer to Temporary Agent
15 — Transfer to re-instated Agent
Benefit
This will provide an adequate record of the cash and high value stock transferred in
the event of any issues arising following the Transfer.
Section 4.12 in the Chapter ‘Complete the P32 for an FAA audit (code 5, 10 or 15 as appropriate) using all information gathered
from verifications. Complete SharePoint as usual following the transfer’.
POL00085658
POL00085658
P32 and Audit Report
It was felt that a report for the Transfer to be sent to the
outgoing Agent would not be of interest to someone leaving
the business and therefore not necessary.
Historically, when full audits were completed for transfers, no
report was completed or sent to the outgoing agent.
The current report would not be appropriate as it does not fit
the purpose of the transfer audit so would require quite a lot
of altering, or a new template would have to be produced.
Altering the report or using a new template would add to the
FSA’s time for a transfer audit.
Post Office”
POL00085658
POL00085658
Additional Changes
All Appendices have been removed from the Chapter and
included in a zip file, named as the appropriate Appendix
letter and Title
The Chapter has a footer giving Chapter owner’s name and
telephone number
Appendix F & G which related to On Site Conversions have
been removed as they were not in use
Post Office”
POL00085658
POL00085658
Network Field Support Team
Audit Process Review
Chapter 5 - Closure Process
SUMMARY
Sl
Post Office”
I worked with Sue on the Closure Process - Chapter 5.
POL00085658
POL00085658
The Stakeholders are
Outlet Field Support Team (P32 File) - Peter Millington
Regional Network Managers - Adrian Wales, Sally Buchanan,
Sheila McCann, Tony X Jones, Mark Lawrence
Cash Management Support - Andrew Keighley
Head of Network Services - Angela Van Den Bogerd
Contracts Team - John Breeden & Lin Norbury
Cash Centre Manager. Appropriate to area- Vaulting cash &
stock only
P&BA - Alison Bolsover
Post Office”
Go through the Stakeholders
POL00085658
POL00085658
Changes requested
Change the name of the NBSC as it was incorrect It
stated National Business Support Centre instead of
Network Business Support Centre
The decision the Contracts adviser takes regarding
defunding or not The Contracts Advisor will make the
decision whether to secure the Cash and Stock or
defund.
Lose WH1 as a separate icon Alterations as to how
attachments are stored on EASE are being implemented
Post Office”
Change the name of the NBSC as it was incorrect - It stated National Business Support Centre instead of Network Business
Support Centre
The decision the Contracts adviser takes regarding defunding or not - The Contracts Advisor will make the decision whether to
secure the Cash and Stock or defund.
Lose WH1 as a separate icon Alterations as to how attachments are stored on EASE are being implemented
POL00085658
POL00085658
And these changes
Remove references to Smoke and Dye packs and the
PMMNC and Pin This should have been removed when
HOL was migrated
Add the process for the destruction of Travellers
Cheques It has been added to the Work aid.
Advise Supply Chain that an office will be closed for
more than 24 hours Instructions added to Section 5 -
Field Team Member
Post Office”
Remove references to Smoke and Dye packs and the PMMC and Pin - This should have been removed when HOL was migrated
Add the process for the destruction of Travellers Cheques - It was felt that the process on HOL Help was hard to navigate and it
is a process that is not often used so advisors need to refresh. It has been added to the Work aid.
Advise Supply Chain that an office will be closed for more than 24 hours Instructions added to Section 5 - Field Team Member
POL00085658
POL00085658
And these changes
Add process for POCA -lt has been added to the Work
aid.
Add process for National Lottery Cheques -It has
been added to the Work aid.
Post Office”
Add process for POCA It has been added to the Work aid.
Add process for National Lottery Cheques It has been added to the Work aid.
POL00085658
POL00085658
JOB DONE
BUT IT IS ALWAYS AN
ONGOING PROCESS TO
IMPROVE OUR WORK
POL00085658
POL00085658
ANY QUESTIONS?
af
POL00085658
POL00085658
Chapter 06 Robbery & Burglary
(R&B)
David Patrick
R&B Process
Stakeholder
Anne Allaker
Request
Recovery process for NBSC
notification to OFS & security only
Change made
None
Reason
As per current process
Stakeholder
John Breeden
Request
Losses > £1k — who decides on
amount & should we not always
attend
Change made
None
Reason
SPMR reports shortage amount &
Serious Incident process covers
attendance as required
Post Office”
POL00085658
POL00085658
R&B Process
Stakeholder
John Breeden
Request
Reference to PO Local contract
Change made
Reference added in process
Benefit
Clarifies attendance requirement
and reporting of losses
Stakeholder
Various via Kev Orgill
Request
Change of names following
restructure
Change made
Yes, 3 on work aid
Benefit
Ensures correct people are point of
contact & in receipt of appropriate
reports
Post Office”
POL00085658
POL00085658
POL00085658
POL00085658
Chapter 7 - Cash
Centres
Bob Collins
Post Office®
Delivery time 15 - 20 mins
POL00085658
POL00085658
Summary of Changes
Supply Team Chain
Cash Centre Managers
Process changes highlighted
Minimal changes following feedback
All changes related to the Cash Centre Control
tests (CC CAT’s)
Post Office”
Stakeholders Name Responsibility
Keith Rann Head of Supply Chain POL
Sandra Murray Operational Compliance Manager, Supply Chain
Paul Meadows Head of Compliance, POL
Stephen A. Collins Internal Audit & Risk Management RMG
Paul McDonald Senior Wholesale Inventory Manager
Angela Van Den Bogerd Head of Network Services
POL00085658
POL00085658
Process Changes
Incorporated the new finance process within Cash
Centres
All changes from SAPADS to POLSAP
Introduced two tier audit reporting
Changes to working papers
Post Office”
High Level
ie. CC13, CC9, CC9a
POL00085658
POL00085658
Feedback Changes Ge)
Notes added to the Cash Centre Control Tests to Highlight
variations in:
Opening procedures due to varying locale
H&S regulations for each site
Security procedures in different sites
Clarification of the opportunity to check any discrepancies
- OPENING PROCEDURES
The meeting points will be different at each Cash Centre as agreed with Security.
Minimum three Cash Centre personnel meet away from site, not in view of centre, and by questioning determine whether the
meeting location is changed periodically. The meeting points will be different at each Cash Centre as agreed with Security.
Some sites park away from the unit but in sight of the front door. Some sites will drive around the site to view the perimeter, as
itis safer.
Two Cash Centre personnel must inspect the perimeter fence and windows to ensure they haven't been breached. Third
person waits with mobile phone at the entrance, with a car parked at front gates to reduce threat of unauthorised access. Some
sites park away from the unit but in sight of the front door.
- H&S
Depending on the risk the designated area for protective footwear will be different across the sites
Cash Centre staff to ensure Field Support Team have protective footwear before access to Banking floor by asking the Lead
Auditor to verify. Protective footwear is not required in all areas at every centre- the H&S guide for the centre should be
checked at each site whilst completing the Control Test for site agreement.
- SECURITY
In some sites overnight trunkers will have deposited Rems into R&D. A conscious decision is taken to leave the vaults shut all
night to protect the majority of the cash.
Field Support Team to walk around Banking floor and despatch area to ensure that no items have been left unsecured
overnight. In some sites overnight trunkers will have deposited Rems into R&D. A conscious decision is taken to leave the vaults
shut all night to protect the majority of the cash.
In some sites route coin will be outside the vault - either because it is worked on overnight or because it means the vaults can
remain closed for longer.
Confirm if any cash or pouches were left outside the vault overnight, unsecured and/or unattended. (Bronze can be left outside
secure area/cage if cash holdings are high)
POL00085658
POL00085658
Site have different arrangements that do not necessarily involve codes. I.E. Automated sites have remote unsetting of the
vaults.
Confirm that two personnel each hold part of the vault code and not the full code where applicable i.e. non automated sites.
We don’t have vault logs in all sites. Not part of our processes.
Confirm that the Access Log has been maintained for all personnel accessing the vault. (Only applicable for Midway CC, not
applicable for all other CC’s).
- CHECKING SHORTAGES
The processing clerk or Manager should be given the opportunity of checking the cash themselves if a discrepancy is identify by
auditor.
If significant, discuss with the Field Team Leader and agree when the Shift/Unit Manager should be made aware of the
discrepancy. The processing clerk or Manager should be given the opportunity of checking the cash themselves if a discrepancy
is identified by auditor.
POL00085658
POL00085658
Further Changes
Identified during review
Section 10 reduced from three pages to one
question
The Cash Centre Control Tests have been used in
the new format — with favourable feedback
Post Office”
Section 10 related to Audit process as opposed to Cash Centre process - THERFORE REMOVED.
Used at Hemel Bureau - Tony Jones
POL00085658
POL00085658
And finally
Post Office”
POL00085658
POL00085658
Chapter 8 and 9 Review
Frank Martin
Post Office®
Sue Should take about 20 minutes
POL00085658
POL00085658
Stakeholders
Chapter 8
Everybody Named on the Matrix
Chapter 9
Everybody Named on the Matrix
Post Office”
POL00085658
POL00085658
Chapter 8 Feedback and
Answers
Only received feedback from 4 people ( Judy Balderson,
Linda & John Breeden and unidentified)
Too much time is being wasted on copying and pasting
reports on to templates. We can print a copy direct from the
tool to send a hard copy to the agent. Why can we not just
send the completed tool to all other relevant parties and they
can print off the report if they feel it necessary and also have
access to any other information they want. This would save
time, ink and paper.
Look at renaming the audit reports to reflect type of branch for
consistency and clarity? BEGIN WITH CODE?
Section 8.2.5 —Horizon User Report details recorded on a
spreadsheet with User Names and all anomalies reported
including non registered staff — This report sent to Contracts
Advisor if with Appendices A & B. Add CA to matrix for audit
Post Office”
Chapter 9 Feedback &
POL00085658
POL00085658
Answers
Received feedback from 3 people (Shirley Hailstone, Judy Balderson,
& Dave Patrick)
Retention of papers. Recommendation: to lose the chapter but include
reference to retention of papers in the appropriate chapter e.g. Quality
Assurance, Performing a branch audit, Robbery & Burglary Audits, etc.
Declined on the basis we would have to add to all other chapters.
“I note on the robbery/burglary work aid that the retention period for the
papers is 60 days unless there is a suspicion of negligence. Obviously
there are people with much more knowledge than me but in all my years in
audit up until I have always retained the papers and submitted these for
retention. Could I just enquire is 60 days enough?” Yes this is the
business standard based on , need, storage availability and cost .
Introduction — states that if the Security Manager has not requested
paperwork, following an inegularity, then you must shred the papers after
60 days (investigators and Contracts Managers can request these
documents after the 60 days or even just ask questions concerning the
paperwork. This is a rare but can happen — there is no mention of where
we can archive papers for retention). We can’t go beyond 60 days as per
e
POL00085658
POL00085658
Changes Made to Chapter 8
Removed all templates
Only has Three reports P32. CAT, ECF
All reports printed directly from Tool (ECF can save a copy)
Benefits
No more copying and pasting saving time and errors.
Less time spent sending reports to various people as they
will
all get the same
Should reduce the amount of changes to the matrix enabling
(55)
team to be up to date with who gets what
Post Office”
Chapter 9 Changes
POL00085658
POL00085658
The main changes are we have taken out the last page on how to name
files and replaced it with emailing results and how to name the P32.CAT,
and ECF.
How to complete reports and reminders to delete unwanted lines and use
of comments box if required before printing off a hard copy.
How to name them
Benefits
As before reduces the time spent on doing all the various reports, how
they should name them (everyone should now be using the same format
no worries about dots, what goes first etc).
No Errors.
Post Office”
POL00085658
POL00085658
Summary
4. In all both chapters have been reduced significantly, the need to
complete so many different templates has now been removed and
this has now made it a lot user friendly for all, we don’t have the
issues of copying and pasting any more which should reduce the
amount of errors significantly.
2. Time spent on copying and pasting and pulling all the different
reports together has gone.
3. The Matrix is now user friendly with only three reports to send.
4. The guide to sending reports is a lot clearer and with only three
reports the naming of reports should not be an issue anymore.
5. The ability to save a copy of the ECF should heip in getting the
report of in the agreed timescales.
Post Office”
POL00085658
POL00085658
Health & Safety (Chapter 10)
Chapter removed from Audit Process manual — (feedback
from Compliance Team)
Added to Admin page of EASE
Embedded Appendices removed and added to EASE in
separate file
All items are covered by POL Business Policies and can be
accessed via Intranet.
Post Office”
POL00085658
POL00085658
Chapter 11 Quality Assurance
Review (QAR)
QARs
Stakeholder
Unknown?
Request
Separate Tier 2 QAR
Change made
No
Reason
Current process requires QARs to
be undertaken on ail the various
types of audit / current tool can
accommodate
Stakeholder
David / Sue
Request
Clarify sample size
Change made
Yes
Reason
CAT working paper amended to
ensure that requirement to sample
size at least 50% of available staff
is noted. Ensure adequate sample
size to gauge level of compliance
Post Office”
POL00085658
POL00085658
POL00085658
POL00085658
QARs
Stakeholders —- FTLs
Request — Amend QAR tool to clarify understanding & uniformity
Change made — Numerous:
P32 — Planning box ~ Intervention Request details noted
Comment boxes -- Check for expanded text and line deletion i.e.
£.00
CAT — Comment boxes — What to note from previous audits
Audits > 3yrs no longer applicable
Evidence ail questions asked with a 1 or 0
Post Office”
POL00085658
POL00085658
QARs
QAR tool notes — Best practice to lift files straight from database
Question amendments — reference to PTVs taken out — N/A
CAT Ques 2.1 — Refers now to check of facing sheet only
... avoids confusion with ques. 2.2/2.3 & 2.4!
THAT'S ALL ... ONLY MINOR TWEAKS THROUGHOUT!
Post Office”
POL00085658
POL00085658
Feedback received from —
John Breeden - Section 1- if a code 200 Audit is cancelled at
short notice due to unforeseen circumstances the Contract
Advisor should be informed
Shirley Hailstones - Recommendation: Requires to be
more condensed i.e. too much additional information
present e.g. section on Computer Security; there are
currently policies in place which cover this. Also is there any
need for succession planning & exiting planning to be
included within this chapter?
Post Office”
Time Required 5 mins
POL00085658
POL00085658
These were discussed & decided that there is no need for
the Contract Advisor information to be added and the
Continuity Planning-Chapter 12 will be removed from the
APM Chapters and added to EASE within the Team Admin
section along with other H&S NFS Team information
Benefits to Team — A more condensed version (i.e. not
duplicating existing Business policies) applicable to all NFS
Team activities available on EASE with all other relevant
H&S information.
Post Office”
Time Required 5 mins
POL00085658
POL00085658
New Chapter 12- CAT Tool
A new chapter has been introduced for the CAT Tool and
User Instructions.
¢ This will keep all audit tools together within Audit Process
Manual.
Post Office”
Sandra
Headlines
+ All chapters reviewed with the Team Leader Owners considering all stakeholder feedback
+ Changes made to varying degree’s in every chapter ~ clarification given and standards set
All print templates removed- all reports and working papers now printable direct from the tools.
Potential Admin time saving of 40 mins per Compliance audit i.e.. c 1100 hours
Potential Admin time saving of xx mins per Financial audit i.e.. c xxxx hours
Chapters 3a Core & Outreach and 3b Follow Up developed and added separately to Chapter 3
FAA audit added to the Transfer process — but no reports will be sent te Agents
Chapter 10 Health & Safety removed and placed elsewhere on Ease — not an audit process
Chapter 12 Continuity Planning removed and placed elsewhere on Ease ~ not an audit process
New chapter added (Chapter 12 replacement) for CAT Tools and user instructions
New Chapter 10 under consideration to cover T&D.
All Appendices have been removed from the Chapter and included in a zip file, named as the appropriate
Appendix letter and Title
+The Chapter has a footer giving Chapter owner's name and telephone number
POL00085658
POL00085658
POL00085658
POL00085658
Next Steps
° All chapters and tools now on Ease
* Revise chapter ownership?
* Plan new calendar for BAU revision
+ Deliver training to FSA's through WTLS in October
« Send report out to all stakeholders
« Return to BAU revision timetable
Post Office”
POL00085658
POL00085658
Any last questions?
?
sy)
?
Post Office”
POL00085658
POL00085658
Safe journey home
Post Office®