POL00086839
POL00086839
Training Guide
Compliance audit tool
POL00086839
POL00086839
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
e 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 -1PS, 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
e 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
« 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.
Syne. Change Syne. Sync
Settings Status I
Sync i:
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Double click on the CAT Tool and the ‘All Branches Database’ to open them.
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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
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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
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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.
[Audit Detais
I
uit Code
Select
ed Audie
aa)
Other Ausitors
1)
‘Audit Detaits
‘uit Code
150 - Random Audit
eed huditor
‘Same Harper
Core
Dete of eusie
> [15/11/2013
a)
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
‘Someone who you know to be receiving
benefits and is known in the area to be
involved in petty crime wants to purchase
£4k of US dollars and pay in cash. What
would you do & why?
1.4 - Question the customer further to ascertain details of what the money is being used for end
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
1.2 - If suspicious & able to defer transaction by 7 working days. f suspicious obtain customer's
identification and as much information as possible about the transaction 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
collection (including priority service ites)
are kept secure?
13:4 - They must be in a lockable container, on 2 leash, behind the counter or held within the
secure area. All priority items must be held within the secure ares
Please also fill in the severity if CORE46 is a fait:
0 - Answer incorrectly
1 - A couple of non priority items
2 - Several non priority or one unsecure bag
3 - Priority Service items or multiple unsecure bags
Ace there integrity issues due to space issues? Yes 7
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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
lable for all branch staff for current
compliance training?
204 Check training records for AML, Mails, Financial Services, Data Protection,
Homephone/Broadband, Dangerous Goods & any other applicable training. If training records not
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 from handling mail until both tests have been
passed.
NB. It is permissible for relief SPMR’s, National Multiple area managers and other transient staff to
have taken the test at an alternative branch, carry 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
CORE24:
Pass
Fill in the total number of staff that were missing receipts for each test.
‘Then enter any usernames and the tests that are stil outstanding after the audit that branch standards will need to chase.
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CORE25 - If this is a failure you now need to enter the names of any staff that are not registered. This is a better fol
process and again something requested by clients
low up
staff?
‘Agent only (Including WHSmiths & National
Multiples)- What HR procedures must you
follow when employing a new member of
21.4 - Notify HR using the P250 pack for new staff employed since 1st January 2006. Contact
‘When employing new staff the following should be adhered to:
> Notify HR using the P250 for new staff employed since 1st 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.
lease enter any staff names for Branch Standards to follow up
[Add another person
Comments — The comments.
is on th
and stores all the comments togeth
By interview with Operatr/Manager ar random saff member working in Branch CORES
what 60 you do i a customer doesnt I The parel cannot be accented ifthe customer cart confirm the contents, om
now wht pare! contains. or refutes to I Wthout knowing the contents, you can tl if the parcel has dangerous or reticted goods ine.
tall you? 50 cannot be sure whether the item i legal to send (prohibited), or must be controle in
certain wey (estriced)
Comments
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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.
Government POCA
if Mark as not applicable }
Question to be asked Answer Required Mark
Are under copies (p5035s) accurately Check 2 weeks under copies to ensure that they are fully completed, correct fees applied and I IPSO01:
completed and retained as appropriate? Le. _I retained as per guidelines. NA
total vaiue/volume, branch code, date, week
number initials, date stamp & the correct
charges applied
What would you do if customer presented I Accent the application checking fee only. Complete a Passport Application Receint P4921 with I IPSOO2:
ineorreet 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 en adcitional checking fee.
Describe what you would do with passports I Applications are stored inthe safe prior to derpatch the following day (P5003
that are acepted after the cut off me? NA
Describe what you would do when you receive I A full physical check with any variance reported to the NBSC on the same day. Discs quantity I DVLAO1:
‘a new supply of MVL discs. & serial numbers recorded on Horizon on line.
What would you do if MVL discs were lost or I Report tothe NBSC & record on Horizon on line DvA02:
olen? y
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
a Sr
(Ci erkes ttyomotione (Cc Meehan net teed)
[POCA IS NOT CURRENTLY BEING TESTED _I
Question to be asked Answer Required
When opening « POs account what
would you check ot en the azpliation
form (26829)?
‘Be completa in CAPITAL LETTERS in black in
Sesion 1 Pre-populated teion of appization score and correspond with ID presented
Contain customers DOB & NI number
jon 2 complet and al tree pars ofthe customers Security information i completed
Check that 1D has been documented on EOI (P6343)
Seaion 5 competel Crossed
(NB: ere there arene application forms en han, how branch staff your copy ef the application
5 go through requirements)
Poco:
NotTened +
When opening « POce account. what
vould you check for on the szpication
form (26829)?
‘Section 3 is completed (NB: if Section 3 i applicable then Section 4 must be completed)
Sesion 7 signed by customer
Otic Ute section contain
Branch code
8. Date samp and clerk inti,
Date
Poca:
Net Tested
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Confirmation
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.
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Who needs to know?
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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].