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Training Guide
Compliance audit tool
Sept 2015
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Outline of the changes
What are the different pages?
* Printing the Working Papers - All Branches
+ Planning ~ to paste in the data from the All Branches Database, and some basic audit details
+ CORE - all the core questions - there are now also some extra MI sections for 16, 24 and 25
+ Procedural Security ~ all the security questions
* Government Services - IPS, AEI and DVLA questions - these are automatically marked N/A if the branch doesn’t do them
* POCA - these questions can be marked as fully compliant or not tested
* Confirmation - for entering the email addresses of internal people to receive a copy of the report, and confirming the form
is complete before submission
* 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 Syne’ tab along the top, and then click the ‘Sync’ button.
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Double click on the CAT Tool and the ‘All Branches Database’ to open them.
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Working papers
You can print the working papers by clicking on ‘Click this button to print CAT Working Papers’
N
Branch Code [116126 [Branch Name] [loate orauaie I\\ 24/06/2035 ]I__ Copy office Data to Clnboara }
‘Type the Branch Code here then press Enter” to update the sheet (Alternately. type the office name or partof Ng the right I Print the Office details }
hand box then press “Enter, select the office from the lst & click "OK*), II Ses ~
‘Also enter the date of audit, as this wil then add/remove any questions applicable to that date. ” viene oes sean }
View the Compliance aid
any items to the right have been excluded from the CAT a4 iE: =4 J Print CAT Working Papers )
working papers. Select to include > .
Office Selected: Wakes Col
The branch postcode is COS 20F click here t
view itin Google maps
i aa aoe Toon none baa oe] SOR aes [Alene ? [Asner nein Ponce
ri6ii6s Wakes Open SP50 Colchester Wakes Colne Colcheste Essex CO620F "037872:
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1. Paste String
Retrieve Branch Data from “All Branches Database”
Type in the Branch Code and press Enter, the details of the branch will be displayed
Branch Code [116116 [Branch Name] [bate ofaudit I 28/06/2015
‘Copy Office Data to Clipboard }
Print the Office details ]
(veri on see)
Wow the Compliance Aid I
Print CAT Working Papers
‘Type the Branch Code here then press "Enter" to update the sheet (Alternately, type the office name or part of it in the rg
‘hand box then press “Enter”, select the office from the list & click “OK™).
‘Also enter the date of audit, as this will then add/remove any questions applicable to that date,
office Selected: Wokes Colne
the branch postcode is COS 20F click here to vlew it in Google map:
healers te viet favs boon ecedediom wear (Ae }I } t }
working papers. Select to include >
‘W[ Branch Code 7 Jocation Namfrading Sub Stat Branch Type] 61S QgMet Address Line I Address line 2 I Address ine 3 [dress Lindidress Und Postcode flephone
S50
1161166 Wakes Open Colchester Wakes Colne CColcheste Essex
Select ‘Copy Office Data to Clipboard’
Paste the row into the CAT tool
Click into the green box on the Planning page. Do this by using keys ‘Ctrl’ and V.
Paste in All Branch Database data Paste in All Branch Database data
1. oan te Exc it 2. Coby he branch row 3, Pane he row inthe seen bx blow (t+
1 Goethe xa le 2 Cny the branch ow 5. Pash ow in he green Box bow (Ce =)
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.
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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. Note: The
lead auditor and other auditor fields are connected to an active directory, and as such need to be filled in when online. Make
sure you use the correct email name and include any initials. Click on the ‘Check Name’ icon to check your entry is correct -
it will show a line under the name if it is correct.
\
ea \
(Aude Det [
Date of audit idit Tool Type
Select.
Confirm Branch Wype
> Select. bd
Audit Code
Select.
Lead Auditor ‘Auditors (including Lead)
[Audit Detais
Date of audit Audit Tool Type.
Core/Outreach
Select. nd .
Select. bd
Confirm Branch Type
Select. bd
Audit Code
Select.
Lead Auditor
Sandra McBride
All Auditors (including Lead)
@)@ I Er)
person and press Enter, this will show all people with that surname.
McBride
‘4 Alpeople and groups (10) I
Organizations (10)
Amanda J McBride Branch Manager an
‘Amanda J Mcbride Branch Manager
Damien P Mcbride PG da
Drew Mcbride Regional Sales Manager. Ey
Eddie Mcbride ‘Ops Design & Efficiency ec
Gareth Mebride Postman/Postwoman ge
Kirsty M Mcbride Data Entry Keyer Late Shift A Work Area... ar]
Male Mcbride Advanced Customer Ad, Business mm
Michael L Mcbride WBC Admin Assist Normanton Walk Bundiin... mij
‘Sandra McBride Field Support Change A. ‘Network Field Support: sa
Select the person you require and click on Add then OK.
You can also search for a name by clicking on the ‘Add People from the address Book’ icon. Type in the surname of the
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CORE
Each drop down has the four options in. Every drop down must have something selected to allow you
failures are highlighted in red to easily review the end results,
to submit the form. Any
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
£6k 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 and
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
2 - If suspicious & able to defer transaction by 7 working days. If suspicious obtain customer's
identification and as much information as possible about the transaction and then apply for
CORE16 - 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 de you ensure ail mail items awaiting
collection {including priority service items)
are kept secure?
13.1 - They must be in # lockable container, on & leash, behind the counter or held within the
secure area. All priority items must be held within the secure area.
Please also fill in the severity if COREL6 is 2 fait
O ~ Answer incorrectly
41 A couple of non priority items
2 ~ Several non priority or one unsecure bag
3 - Priority Service items or multiple unsecure bags
Are there integrity issues due to space issues? Yes
CORE24 ~ If this is a failure you
now need to enter the number of gaps for each test.
Observation - were training receipts
available for all branch staff for current
compliance training?
201 Check training refords for AML, Mails, Financial Services, Data Protection,
Homephone/Broadband, Pangerous Goods & any other applicable training. If training records not
available for every memffer of staff, they must re-take the test and the receipts must then be filed
in branch. FSA to ensurf this is completed before leaving the branch wherever possible. For
Dangerous Goods this rust be done while the auditors are on site, and if the staff members are
‘must remove them from handling mail until both tests have been,
passed,
NB. itis permissible ff relief SPMR’s, National Multiple area managers and other transient staff to
have taken the test affan alternative branch, carry their training records with them and be able to
produce them if cu
PO Local branches
Foundation Modul
issued since.
tly working in the branch,
for recently converted branches with new staff, check training records for the
plus Mails, AML, Data Protection and Dangerous Goods training that has been
COREA:
Fill in the total number of staff that were mi
Then enter any usernames that stil have any;
need to enter each username once, no matte how many tests they have outstanding).
Wg receipts for each test
outstanding after the audit that branch standards will need to chase (you only
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ata Protcton I Farce Seréces I “ETAPN Mats Complance Pie vere owe
asow2oa3 I oaeuz014 auoune zenoz0s3 I a7meze1s I o2cyvecrs I onoezc1s I ormzz01
Horizon Username
‘Add another
username
a
You also need to fill in the Horizon names and tests missing for any staff that still haven’t completed the tests after the audit,
which will need follow ups. The extra MI is for provided to our clients who have requested this.
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Comments
The comments box is on the bottom of each test type, and stores all the comments together, so they will all show together.
If any tests are marked N/A or Not Tested then the details need to be included in the comments box. This also applies if a
branch does not transact Government Services.
‘By interview wth OpertariManager or rancom Half member working in branes CORESE:
vinat do you do if customer doesnt I The pare annct be acepted the customer cant confirm the conten or
now what a parcel contains or refuces to I Without mowing the contents, you cn tel if the pare! has dangerous or rei goods nie,
tal you? so cannot be ure whether the item ileal to ene (prohibited. or must be controled it
certain way (rete)
comments.
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, AEI and DVLA). These can be overwritten if it turns
out that the branch does do them.
Cantino boned a [ser
=
‘Are under copies (p5035s) accurately Check 2 weeks under copies to ensure that they are fully completed, correct fees applied and I IPSOO1:
total value/volume, branch code, date, week
‘number, initials, date stamp & the correct
charges applied
(N/A for PO Locals)
‘What would you do if a customer presented I Accent the application checking fee only. Complete a Passport Application Receipt P4921 with I IPS002:
incorrect documentation, or the form ail relevant transactions details including the reason for rejecting the application. Advise the oe
contained errors? customer that the Pessport Application Receipt P4921 must be resubmitted within one
(NVA for PO Locals) calendar month if they wish to have any subsequent passport application checked without
paying an additional checking fee.
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POCA
Each question has the standard four options. There are also buttons for quickly marking the whole section as compliant or not
tested.
Ifa test is answered N/A or N/T record the test number and the reason why in the Comments box at the bottom of the page
Question to be asked Answer Required Mark
When opening a POca account, what I Ensure that Original Identification has not been retained by the branch to despatch with application. I POCA42:
would you check for on the application we
form (P6629)?
(N/A for PO Locals)
When opening a POce account, what I Make a visual check on corresponding Acceptable Evidence of Identity form (P6363) to ensure branch I POCAA3:
would you check for on the application I has taken Identification in support of application. .
form (P6629)?
(N/A for PO Locals)
If Horizon online is down and you Rave I Make sure the Branch staff know the emergency payment process POCA:
offeres Obtain the customer's card
A Try another postion ‘Advise you can make an emergency payment of up to £20 per day but only ifyou are authorised to
Try # BOLATM ithe branch have I do 0 by obtaining authorisation from the banking team
one. Complete the manual fraud checks on the card including a visual check ofthe customers signature
C. Try another PO ‘Ask the customer how much they'd like to withdraw
Report
The RSM/ASM/Contracts Advisor email addresses are automatically populated but can be changed if necessary.
Please ensure that the Contract Advisor’s full email address is entered and i
in.
Any other internal email addresses that need to see the Compliance Audit must be typed or pasted into the ‘Other’
sure you enter the full email address. You can only enter Post Office Ltd email addresses.
Once the tool has been completed click on the button to email the report.
< CONFIRMATION Click here to emai
Branch RSM/RGM Branch ASM/CSCSM Branch Contracts Advisor
II
Field Team Leader
Select... bd
Other email alerts needed (separate with ;)
I
Compliance Audit Report
‘The above branch has been audited, below are any conformance gaps found during the audit. The follow up questions and answers
are also shown.
Branch Standards will post or email (depending on their preference) out a copy of the actions to the branch, and then telephone the
branch within the next 2-3 weeks to ensure the actions have been carried out,
CAT > Report Gi I
is missing you will need to type it
box. Make
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Further Comments
You can make further comments in the ‘Comments’ box at the bottom of the report.
This does not appear as a box unless you hover your mouse over it, see below (you will see
your previous comments from the tests if you have made any). Click in the box that
appears and type in any further comments you wish to add to the report.
Compliance Audit Report
‘The above branch has been audited, below are any conformance gaps four
are also shown
Branch Standards will post or email (depending on their preference) ouj/a copy of the actions to the branch, and then telephone the
branch within the next 2-3 weeks to ensure the actions have been cared out
during the audit. The follow up questions and answers
Code: CORES
Area: Mails
Non Conformance: Scales not tested weekly.
Impact: Customers inconvenienced should an itghn be accepted and sent underpaid/overpaid.
Action Required: Staff to make sure that scales are testéd weekly.
Question: How often do you test your scales? And where do you record this information?
Response: Weekly. anywhere as long as therg/is a record
Reference: Help > Help Home > F2 Postal Sérvices > F2 General Information > Fé Q - S > F15 Scales > FS Checking and
Testing
Help Link: Postal Services - Scales - Chéckino and Testing
Failed COREL9 - This is a test CAT y
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Confirmation
This is the final screen. Type in the postmaster’s name and answer if a FAT was completed with this audit.
Please enter the Agent/Operators letter name (e.g, Mr Smith, Mrs Jones), his will be used on the reports sent to the branch
Was a FAT completed?
Confirmation
Once you submit this compliance audit, Branch Standards team will post out the documents to the branch in the next 2 working days.
Please check back through each of the areas covered to make sure you have filled in everything correctly - there will be no further checks so itis essential you have
logged everything correctiy.
Areyouhapoy eenhing i file in correct th te cores sires mere?
You do not need to log your name, this will be captured automatically on submission.
If you are not happy with what is showing in the file, then please email branchstandardsdataanal
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.
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: [Branch Code]-[Date of audit].
Saving
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 to update it by double clicking on it, just like you would a Word document.
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