POL00088830 - Checklist for Audits

Evidence on official site

POL00088830
POL00088830

Checklist
Tier 1 checklist

Complete I Area
Y/N

Has branch Produced end of Day/Week Reports

~ see weekly procedures balancing

Has branch Produced a Balance Snapshot

- see weekly procedures balancing

Has branch Made Declarations on Cash, stamp, Currency
- see weekly procedures balancing

Check for Negative Stock

- see weekly procedures balancing

Producing a Balance Report

- see weekly procedures balancing

Does the discrepancy need further investigation by tier 1?
General Check list

- see Weekly Procedures — Discrepancies

Specific checklist

— see Weekly Procedures — Discrepancies

Is discrepancy resolved (if no email case from Dynamics to tier 2)
Case emailed to Tier 2

Tier 2 checklist

Complete I Area

Y/N
Review tier 1 case and investigation
Establish discrepancy issue while reviewing case
Establish when Branch last balanced/ or when they were working ok
Establish branch balancing capability
Review previous cases on Dynamics
Review BIT file
Review Horice
Review Credence
Has the cause of the discrepancy been identified
Yes No
Can issue be resolved over phone Can issue be resolved over phone
Update case with issue Does the branch need highlighting

to other teams for further
investigation

Does a TC need raising?

Is there a training issue

Does the training require field
intervention?

Complete training over phone

04JUL19