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POST OFFICE INTERNAL
Network Support Team Policy/Process
Document Information
I Audit Process Manual
Chapter 6 of Audit Process Manual -- Robbery/Burglary Audits
V6
Process followed by Network Support Team following a
robbery/burglary incident
_I Network Services Team
I Next Review
[date
June 2017
Stakeholders
Stakeholders
name
Responsibility
Paul I Smith
Branch Control Manager (FSC)
Alan Lusher
Contracts Advisor
Elaine Spencer
Helen Dickenson
Dave Posnett
Kevin Ryan
Security Managers
Jill Thompson
Chantelle Hird
Stock Control Team
Gill Hoyland FSC
Field Team Serious Incident visits
Leaders
Field Advisors
Audits
Responsibilities in Change
Role Job Title(s) Date
Author Mat Wilkes Field Team Leader 18/7/16
Assurance Field Support Change Advisor 26/7/16
Authorised Network Field Support Project &
Standards Manager
Training
Communication /
Communication
Field Support Change Advisor
Version control
Version I Reason for issue Date of
No. issue
Version I Annual Review - Adrian Paling has now been replaced by Mat I July 2014
4.0 Wilkes - The P32 is no longer in use and has been replaced by
the FAT (Financial Audit Tool). Extra information added at 2.5
to clarify how stock units not touched during the attack can be
accounted for if not verified. 2.6 new paragraph added to
explain how FAT must equal HOL.
Process owner:
1 mathew.r.wilk
Mat Wilkes i Am
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Version I Darrell Kennedy & Keith Gilchrist have both left the business 5% August
4.1 and have been replaced by Helen Dickinson (North) & Dave 2014
Posnett (South).
Security Team Tel no’s changed from
i cH ol
Version I Dawn Wall replaced by Lynne McMeekin - Lynne taken over 8 August
4.2 from Dawn. 2014
Version I Reference to MVL disks, serial numbers and balancing them 22
4.3 removed. 2.7 & 2.8 renamed as 2.9 & 2.10 respectively and September
new entry at 2.7 & 2.8. Wording on 2.6 changed to 2014
incorporate the fact that the HOL R&B figure plus the P3263’s
must now be recorded on the FAT
Version I P3262 - names to email changed - no longer Dawn Wall, 12" January
4.4 Robert Needham and Jane Graham - now only Paul 2015
Whitworth.
Lynne McMeekin replaced with Paul I Smith.
Version 5 I Annual Review - No Changes July 2015
Version Control - removed changes from V1.0 to V3.4 and
archived.
Version 6 I Annual Review - Name change Subpostmaster to Postmaster I July 2016
Index
Section I Title Page No.
Section 1 I Network Support Scheduling & Admin. Manager 3
Responsibilities
Section 2 I On Site Lead Field Support Responsibilities 4
Section 3 I Scheduling & Admin. Support Responsibilities 5
Section 4 I Recoveries 5
Process owner: Mat Wilkes +
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“POST OFFICE INTERNAL
1.1
1.2
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SECTION 1 NETWORK SUPPORT SCHEDULING & ADMIN MANAGER
RESPONSIBILITIES
Attendance should be arranged for the post incident audit to be carried out within
one working day after the initial report of the incident from the NBSC. Network
Support Scheduling & Admin Manager, should ensure that the lead Field Support
Advisor attending the incident is informed of brief details of the incident e.g.
damage, armed incident, injuries, etc.
If the branch is a multiple partner please inform the “multiples” mailbox and the
relevant contracts advisor plus the National Multiples Account Manager.
If the branch is a self-funded PO local, an audit may not be required if cash only
has been taken. If stock has been taken then an audit would be required. (if
amount taken exceeds £1000.)
Whilst in most cases there is a need for an audit to be conducted as soon as
practicably possible, the branch should be contacted to ensure that audit
attendance is acceptable. It should be borne in mind that such incidents are
traumatic experiences, and the circumstances may not allow for immediate
attendance, particularly at serious incidents.
A serious incident is classified as follows -
Loss >£25k
Firearm discharged
Injury to staff or public requiring hospital attention
Hostage incident
Incidents at Crown Offices
No compliance testing should be carried out at serious incidents.
1.3
1.4
Process owner: Mat Wilkes
Scheduling audits out of hours (weekends/after 6pm)
« Where possible audit attendance should be organised by the FTL who must also
inform Network Support Admin team (NSAT) by telephone, and leave
voicemail, of attendees and branch details. This is to be backed up by an email
as soon as possible.
For incidents where the loss is expected to be less than £1000, no audit need be
conducted, provided that agreement is reached with the Contracts Advisor. In
addition:
¢ The Postmaster must be informed that there will be no audit attendance.
e The nearest available manager will be contacted to visit the branch (usually a
Network Support manager / Team Leader/ FCA or Contracts Advisor)
e¢ The amount of the loss must be agreed with the Contracts Advisor and /or
visiting manager (whoever attends) and the Postmaster.
e Establish if any non-value items were stolen and ensure that all missing item
proformas, e.g. Travellers’ Cheques etc. are completed and e-mailed to the
appropriate people.
e If National Lottery Scratchcards (activated or unactivated) are stolen,
confirmation should be obtained from the Postmaster that the loss has been
reported to the Camelot Helpline ¢
¢ Inform the Postmaster to account for the loss in the suspense account using
the Robbery/Burglary icon on Horizon.
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e The visiting manager must forward a copy of their incident report (including
value and ty paul.whitworth¢” nd copy to
paul.i.smithf This will enable a Transaction Correction to be
issued.
1.5. Arrange for audit attendance to independently verify a recovery of cash and/or
stock. Section 4 ‘Recoveries’ refers.
SECTION 2 RESPONSIBILITIES ON SITE OF LEAD FIELD ADVISOR
2.1. The process for undertaking a financial audit and verification of reported figures is
covered in the Audit Process Manual Chapter 3, Section 2. Additional activity
required at robberies/burglaries is outlined in the R&B workaid on EASE
2.2 Documents for completion can be found in the incident pack at on EASE. This
includes:
¢ P3263 (Cash);
e¢ P3263 (Stock) - if any stock items have been stolen;
e Post Incident Report;
e Report of Stolen Non-Value - multi-purpose sheet for recording details of
stolen non-value or serial numbered stock;
2.3. Due to the unexpected nature of robberies and burglaries, NSAT may not
necessarily be aware that such an incident has occurred. It will therefore be the
responsibility of the lead auditor to contact NSAT to ensure remittance checks are
undertaken.
2.4 If the incident has been initially noted as non-serious, but it transpires that is
serious, the Security Team must be contacted on p/I
in order for them to enable their major incident process.
2.5 Where an attack is isolated to an individual stock unit within a multi-stock unit
branch, then providing all transfer activity between stocks can be confirmed as
having been processed through Horizon, the Field Support Advisor may use their
discretion (with the Postmaster/Manager’s agreement) to audit and balance just
the one stock unit concerned, the other stocks must be shown on the FAT
(Financial Audit Tool - formally known as P32) as assured.
2.6 The discrepancy identified on the FAT should equal the figure as declared on HOL
(Horizon) which has been settled to the suspense account for the Robbery or
Burglary, which in turn must be exactly the same as the combined totals of the
P3263’s (cash, currency and stock). All these figures must now be recorded on the
FAT Results/Snapshot page just below the “current trading position”. If these
figures do not agree then an explanation must be shown on the FAT - the reason
for this is to help the relevant duties identify the correct losses associated to the
R&B and understand the differences.
2.7. When completing the FAT any “outstanding debt” must not be recorded unless it is
relevant to the loss.
2.8 Any prior discrepancies carried by the branch should not be accounted for in the
R&B loss posted to HOL suspense account (e.g. FAT discrepancy arrived at figure
of £2550, however branch carrying a £50 loss prior to robbery therefore amount
4
i mathew.r.wilkes¢
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Process owner: Mat Wilke:
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posted to R&B suspense should only be £2500. If £50 was a surplus then R&B
suspense figure would be £2600).
2.9 Procedural Security - If loss exceeds 5k, or where there is evidence of negligence
and incident is not serious - complete relevant procedural security CAT as
appropriate. An incident is deemed serious if: loss>25k, firearm discharged,
injury to staff or public requiring hospital attention, hostage incident, or if a Crown
Office (if in doubt whether the incident is serious or not contact your line
manager). Findings must be reported via the Procedural Security link as
appropriate.
2.10 Explain to the Postmaster/Manager that a transaction correction that is without
prejudice will be raised by the Branch Control team, and that they should:
e Accept the transaction correction immediately upon receipt;
e Return the signed compliance certificate upon receipt of the report;
¢ Inform NBSC if any cash/stock is returned to them as recovered by either the
Police or public.
Report loss to the Security Team oni
“I (Postlin
SECTION 3 NSAT RESPONSIBILITIES
3.1 Verify remittance details against POLSAP system on the day of the audit.
3.2 R&B FAT’s to be dealt with in the normal manner.
SECTION 4 RECOVERIES
4.1. Cash, stock or vouchers recovered as the proceeds of a robbery or burglary will
normally be retained by Police for investigative purposes, or production at court
as evidence, and return of the property may not take place for a considerable
length of time.
4.2 Where a return of property is to be made, communication will normally be
established between the Police and Post Office Security via NBSC, and details
obtained relating to the incident and nature of the property.
4.3. If the Police return actual cash and/or stock, the amount should, where ever
possible, be independently verified by a Field Support Team member and
confirmed via paperwork supplied by the Police. This may not always be possible
or deemed to be necessary.
4.4 — If operationally possible, arrangements should then be made by The Security
Team, or Network Field Support Team member for retrieval of the property and
conveyance to a Crown Office (using CiT if necessary).
4.5 Recoveries of cash or stock from a robbery or burglary are paid into a Crown
Office to ensure we have full control of the process,
F i mathew.r.wilkesi
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Process owner: Mat Wilkes c
4.6
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The branch, with assistance from a Network Field Support member if necessary,
should account for any recoveries as an emergency transaction receipt on Horizon
as follows:
From - Front Office Home
Back Office (F14) >
Housekeeping (F6) >
Emergency Transactions -
Receipts (23) >
ENTER TOTAL CASH VALUE OF ALL RECOVERED CASH/STOCK
Enter
This places the amount into suspense.
4.7
4.8
4.9
Process owner: Mat Wilkes [~
Where the recovery is dealt with by Network Support, a P3263 (cash or stock
version as appropriate) should be completed indicating the amount of the
recovery and ori ere the loss occurred. _and be forwarded by email
to paul.i.smith¢”
The processing branch should be informed that a transaction correction will be
issued by the Branch Control team to clear the amount from suspense.
If recovery is made straight to a Branch by Police without Network Support
intervention, the branch should contact NBSC to report the recovery.
NBSC will pass details to the Branch Control team.
Arrangements should be made by NBSC, The Security Team, or a Network Field
Support Team member, for retrieval of the property and conveyance to a Crown
Office using CiT.
Alternatively the process may be undertaken remotely under instruction from the
Branch Control team or a Network Field Support Team member. They will advise
the branch to follow the accounting instructions as in Sect.4.6
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EXPLANATORY NOTES:
When entering recovered cash and/or stock into Horizon, it is all treated as being CASH.
Therefore, the amount entered is the TOTAL CASH VALUE of all recoveries.
This will INCREASE the value of CASH expected to be in the office.
REUSE OF CASH AND / OR STOCK.
Any recovered cash and/or stock can be re-used by the office if it is in good condition.
RETURN OF UNFIT / SPOLIT CASH / STOCK.
Any cash/stock which is unfit or surplus to requirements can be remitted back in the
normal way.
END OF WEEK BALANCING
When a STOCK UNIT BALANCE is carried out, any amount of recovered stock will show
as a GAIN since you will have that stock on hand but it has been charged to the office as
CASH.
On the other hand, the CASH will show a LOSS since CASH was booked into the office
which was actually STOCK.
This LOSS and GAIN will be equal.
In order to make the stock figures correct, they will need to be adjusted on Horizon as
follows:
From - Front Office Home
Back Office (F14) >
Stock Balancing (F3) >
Stock -
Adjust (44) >
¢ Increase values of stock to INCLUDE amount recovered
« Enter
This process will not affect sales
SUSPENSE ACCOUNT ENTRY
The ‘EMERG TRANSACTION RECEIPT’ entry will show in the suspense account until a
Transaction Correction is received to remove it.
This Transaction Correction will only remove the entry from the Suspense Account and
will not affect any other figures.
Queries regarding recoveries should be addressed to Paul I Smith o
lor Paul Whitworth on
1 mathew.r.wilkes,
POST OFFICE INTERNAL
Process owner: Mat Wilkes