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Title Audit Process Manual
Subject Chapter 3b — Follow Up Audit Process
Version Control 3.0
Purpose Outline responsibilities and processes to perform a follow-up audit in all
branches
Audience Network Services Field Team
Next Review date I N/A
Stakeholders
Stakeholders Name
Responsibility
Drew McBride
Craig Tuthill
Lee Heil
Head of Network Operations
Head of Network Services
Network Support Admin Mgr: Reporting
Responsibilities in change
required, as the Branch Standards Team complete
follow up activity following an audit. This chapter
has now been made obsolete.
Role Job Title(s) Date
Author Field Team Leaders — Mark Sealey
& Kate Harrison
Assurance Field Support Change Advisor
Authorised Network Field Support Project
Manager
Communication Field Support Change Advisor
Version control
Version No. I Reason for issue Section No. I Date
V1.0 Process updated following Audit Review Oct 2011
V1.1 Name change amendments: Angela Van den Stakeholder I Sept
Bogerd replaced by Sally Buchanan s 2012
V2 Annual Review — Follow Up tool updated Mar 2013
V3 It has been agreed by Sue Richardson that this May
chapter of the Audit process Manual is no longer 2015
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Index
Section Title Page No.
1 Introduction 3
2 Field Team Roles & Responsibilities 3
App A_I Branch Standards Team follow up audits 4
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Owners: Mark Sealey Kate Harrison
Tel
E-mail: — mark.sealey
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Section 1 - INTRODUCTION
1.1. Types of Follow Up Audits -
Business as usual (BAU) Follow Up Audits (type 550) are performed to provide assurance
that gaps identified at a previous Audit have been addressed.
Follow Up Audits can also be scheduled as a result of a request by the Branch Standards
Team and this process is covered in Appendix A of this document (type 750 audit).
Section 2 - FIELD TEAM ROLES & RESPONSIBILITIES
2.1 BAU Follow Up Audits are scheduled in response to the risk rating identified on the most
recent CAT audit.
2.2 BAU Follow Up Audits will be on the Schedule, and the entry will have the branch code
and branch name noted, along with the relevant audit type number. (See EASE — Audit
Codes)
2.3 For BAU follow-up audits, the Field Team Member (FTM) must access the latest Follow-
Up Tool, and prepare it prior to the audit as per the BAU Follow Up User Instructions,
available on EASE.
2.4 On site, the FTM will test that all actions have been addressed and gain assurance that
there is evidence to support your findings.
2.5 A cash check must also be performed by the FTM attending the branch.
2.6 The FTM will perform a closing meeting, to discuss the findings on the day.
2.7 After the audit, the FTM will complete the relevant Audit Report, and post a copy to the
branch Copies should be emailed to all stakeholders as per latest Audit Report Matrix. (See
also Follow Up User Instructions for full instructions on report completion, and also for how to
report the findings back via Sharepoint).
2.8 The office should not be contacted in advance of the audit, and may be visited at any
time of the working day. That is, the Field Team have the option to visit an office prior to it
opening, as per a financial audit, allowing the cash check part of the visit to be carried out
first, and also to then carry out another Follow Up Audit later in the day, if scheduled to do so.
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FOLLOW UP AUDITS FOR THE BRANCH STANDARDS TEAM APPENDIX A
Follow Up Audits can be scheduled as a result of a request by the Branch Standards Team.
For example, the Follow Up Audit could be scheduled due to any observed or reported
security breach or other issues.
Branch Standards team Follow Up Audits will be on the Schedule, and the entry will have the
branch code and branch name noted, along with the relevant audit type number (750).
This type of Follow Up Audit will involve completing the full current CAT tool (NOT the BAU
Follow Up Tool).
As with the BAU Follow Up Audit process, the office shouldn't be contacted in advance of the
visit, and a cash check should also be carried out as part of the visit.
A closing meeting should be carried out at the end of the audit to discuss the findings and
recommendations resulting from the audit.
After the audit, the FTM should follow the audit reporting and Sharepoint process for a
standard full compliance only audit. (See relevant instructions on EASE).
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