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Security
Operations
Casework Review
Paragraph
Contents
Case Raised
Interview Timescales
Background Checks
PORA
Interview
Searches
Post Interview (Report)
Report
Statements
Business Failings / Lessons Learned
File Construction
File Submission
Summons
Interview Committal
Court
POCA
Funding
Current Process
Gaps / improvements
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Case Raised
Cases are raised from various sources, in each
instance (apart from Post Office Card Account
(POCA) cases) the information is passed to the
relevant operational Team Leader and they access
the information and make the decision whether to
raise a case or not.
Raised due to audit shortage — A shortage at audit
will result in the completion of an ECF report by
the lead auditor, this ECF report is emailed
thorough to the Post Office Security Casework
Team. On receipt of the ECF (where a suspension
has taken place) casework pass this onto the
relevant Team Leader who will make the decision
whether to raise a case or not
- No record kept in casework
whether case raised or not if TL does
not raise.
- No process for multiple or crown
losses due to no suspension.
Post Office Card Account (POCA) cases
POCA cases are raised direct from Helen Rose.
Other sources
Cases can be raised from various other sources.
* Direct From Investigator via their Team
Leader.
From the commercial Team
e From Grapevine Team
e From Contract Managers
© From Police
These types of enquiries are sent to the relevant
Team Leader who will make the decision whether
to raise a case or not.
The Team Leader informs the Casework Team via
email that a case is to be raised and which Security
Manager will be dealing with the case.
The Casework team then complete the new case
raised document and email this to the security
manager along with any ECF or audit reports which
they have received.
This Document Should include all
background data such as P32
document and Extra Audit Report,
this should also include any Credence
Data produced by the Grapevine
Team in Chesterfield.
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During case raised process can
Casework get HR reports and
assistant list before being raised??
Possibly POL208 as well??
Stakeholder Notificatio -Stakeholder Changes, John Breedan
This should be emailed to all stakeholders, will assign to different CM depending
Casework Team and Team leader and a copy of the I on their workload.
email printed off and associated in Appendix C
Formula linking to case raised doc has
been removed???
Communication
¢ Auditors - Communication with the auditor
on the day of the loss is essential to gain an
understanding of the loss and to ensure
they will send you everything that you
need.
e Contract Manager
e Other Stakeholders
Interview Framework / Timescales
Interview Date
Offender should be contacted and Interview
should be arranged without delay timescales will
depend on investigation that needs to take place
prior to this.
Include Interview Timescales.
Background Checks
Local Management
Communication with the Contracts Manager at the
earliest opportunity is essential.
POL Human Resources Printout
The Sub Postmaster Printout or employee printout
should be obtained for all cases by emailing
Human Recourses using the HR Assistant Checks
email address.
This document can provide the following
information -
* The subject’s personal details, such as NI
number, home address, bank account(s),
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next of kin,
* Date the SPMR was appointed.
* Claims data (i.e. holiday pay) & dates the
SPMR was on holiday.
The full SPMR file can be requested by emailing
‘Contract Admin Team’
P356 Assistant List
The P356 Assistant list should be requested at the
same time as the HR Printout from the HR
Assistants Check email address.
This report can provide the following information
* Name, date of birth and NI number
* Persons registered to access Horizon,
(users) at that Post Office
* The Horizon users identities for each
assistant.
* Whether the assistant is a permanent
assistant or temporary/holiday relief
* Date the person was activated to use
Horizon and the date users were removed
from the Horizon system.
SPMR Remuneration
The remuneration from a particular branch can be
obtained via an e-mail to HR Agent Remuneration.
Police National Computer (PNC)
Post Office Limited PNC checks can be made for
intelligence gathering purposes in respect of
individuals and vehicles suspected or known to be
involved in crime against the Post Office Ltd.
Examples of authorised use are as follows:
1. To assist authorised personnel with
intelligence gathering around individuals
suspected/ known to be involved in
committing criminal offences.
2. For operational Health & Safety
considerations and evaluations prior to
suspect offender engagement as part of the
operational risk assessment.
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3. To obtain previous conviction details of
defendants and witnesses for cases being
prosecuted by Post Office Ltd.
4. To establish intelligence in regards to
vehicles and occupants suspected to be
involved in criminal activity against the Post
Office.
5. To identify the registered keeper of
vehicles connected to the address of a
suspect/known offender involved in
criminal offences against the Post Office
Ltd.
Do not conduct checks for the following reasons:
1. Unsubstantiated allegations about an
individual.
2. “Fishing trips”, for example blanket
checking vehicles or persons such as all
vehicle in a staff car park in an effort to
identify a suspects vehicle.
3. To identify ownership of a vehicle in
accordance with Proceeds of Crime Act.
Equifax
NBSC Call Logs
NBSC call logs can be obtained by emailing the
Branch and IT System Team at Dearne House.
These logs will detail all calls made by a branch
into the Network Business Support Centre (NBSC).
These logs can be very useful where a SPMR or
employee claim that they have reported the loss or
incident.
Credence
Credence is a tool used to analyse detailed
transactional data from a particular branch, this is
useful to prove details of particular transactions or
events.
Only data, up to 90 days, can be extracted and
analysed by POL Security
An Application to Fujitsu will turn the MI data into
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data/documentary evidence for use in the criminal
courts. Older/historic data can be obtained too.
Fujitsu will provide a witness statement relating to
the authenticity of the data only, not the specific
transactions relating to your enquiry
ONCH
The Cash Management team can provide Over
Night Cash Holdings (ONCH) data for a specific
branch. This data gives in depth cash analysis for a
branch including what denomination of notes a
branch has declared on a given date along with
cash remittances in and out.
A request for this data can be emailed to Andrew
Keighley (Retail Cash Manager) Andrew and his
team will also highlight any concerns they might
have with the branch.
The same information can be requested for
Foreign Currency holdings.
Enquire whether the cash
management team have a generic
email for such requests?
Full Rota Check
A ‘full rota check’ allows for a full data search for a
specific branch relating to transaction issues. This
can include and transaction corrections (TC’s),
scratch card, remittances, stock adjustments and
other specific office’s products.
This check can be arranged via POL Security's
Grapevine strand, Analyst & Support team in
Chesterfield.
Post Office Risk Assessment (PORA)
Interview
Searches
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POST INTERVIEW
48 Hour Offender Report
To be emailed to Team Leader, Casework Team,
Financial Investigator (if appointed) Primary
Stakeholder within 48 Hours of the interview.
FES Report
Financial Evaluation Sheet to be emailed to
Financial Investigator within 72 hours of the
interview.
Trigger Points for FES to be
completed?
Tape Transcripts
To be completed by the individual or when
appropriate send to the typist — Cath Philbin Post
the tapes to Cath By special delivery (address on
the form) and email the form to (See Link Below)
cathphilbin GRO }. Copy in Helen Dickinson
because sh pitKs up the tapes to post back.
Guidelines for when to get tape
transcribed eg do we need for No
comment interviews and where
admissions at interview?
Report
Write Offender Report Legal
Offender Report to be written using example
report and guidelines. This has to be submitted in
the complete file within 15 working days to the
casework team.
Write Discipline Report
Discipline report to be written using example
report and guidelines. This has to be submitted in
the complete file within 15 working days to the
casework team.
Statements
Business Failings
If business failings or procedural weaknesses
identified this should be completed on the relevant
tab of the new case raised form and emailed to all
stakeholders. This should be printed off and
associated in appendix C of the file.
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File Construction
Green Jacket
e Green Jacket should be put together as per
the compliance guidelines (See Link below)
with report, tape transcripts and all
evidence etc in the correct appendix.
e General Rule Appendix A = Witness
Statement B = Evidence C = Other
Body Of The Report Disclosure documents are currently
e Case Raised Sheet not inserted into the green jacket, a
e Interim Report separate committal bundle is put
e Report together and sent to Cartwright king.
e Tape Transcript These will be in the body of the file?
Appendix A
e Witness Statements
e¢ Summons Documents
Appendix B
¢ POLOO1
e Evidence
e Notebook Entry
e Search Documents
e Working Tapes
Appendix C Currently Appendix C is submitted
e Stakeholder Notification with the file to Cartwright King — Can
e HR Printout this be omitted?
e Assistant List
e Interview Letter
e POLOO3
e Business Failings
e Discipline Report
¢ Antecedents
¢ =NPAO1
FILE SUBMISSION
Once the case file is constructed and ready to Should the file go to Team Leader and
submit for consideration the investigator willsend I them to send to casework? What is
this to their team leader to review, the role of the TL in reviewing the
file?
Each case file should the follow the stated process
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Investigator > Casework > Criminal Law Team >
Cartwright King > Casework > Head Of Security >
Casework > Investigator
Investigator > Casework Team
Once the file has been reviewed by the
investigators Team Leader the file will then be
forwarded to the casework team. The investigator
will email electronic copies of the offender report,
tape transcripts and discipline report to Post Office
Security email address.
Casework > Criminal Law Team
The Casework team will then forward the file to
the Criminal Law Team (CLT). The file will be
reviewed by the CLT and a decision made whether
further progression be made with the case. If the
decision is No Further Action the file is returned to
casework at that point (next step 5.6).
Criminal Law Team > Cartwright King
If the decision is to proceed with the prosecution
case the file is the forwarded to Cartwright Kings
for advice on charges. (In some instances CLT will
put charges together).
Cartwright King > Casework (Or Jarnail)
Cartwright King will prepare advice and charges for
the case (or advise no further action). If further
enquiries are required they will contact the
investigator direct and send advice detailing the
further enquiries.
The advice along with charges and case file is then
sent back to casework.
If Cartwright King decide there are
further enquiries to be made the
advice is emailed to the investigator.
The file is kept by Cartwright King
while the enquiries are carried out —
casework have no record of these
enquiries taking place and sometimes
further enquiries can drag on due no
visibility.
Casework > Head Of Security
The file is then forwarded to the Designated
prosecution authority (DPA) for authority to
proceed. The DPA will review the case file and
decide whether to proceed with the advice from
the CLT and Cartwright King or whether to take a
different course of action. The authority to
proceed (or other instruction) will be inserted into
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the case file.
Head Of Security > Casework
The file is the forwarded back to the casework
team.
Casework > Investigator.
The file is returned to the investigating officer with
advice and charges submitted in the case file for
the investigator to proceed.
Every other Month Cartwright King
send a list of Post Office Cases and
indicate what stage they are at to
casework and CLT — Can this be
passed to TL’s to enable where they
are up to?
SUMMONS
If advice is prosecution — need to obtain summons.
Contact the Magistrates court where the offence
took place and confirm that, that court deals with
the matter and the address where the summons
are to be sent for signature..
Speak with listings and inform them you are a
private prosecution — (reason certain courts have
set days for non police prosecutions).
Obtain a date normally six weeks from date of
request but no more than 8 weeks.
Acquiring AS Number
e Update the front of the NPAO1 with the
date of the court hearing and the details of
the court,
e Complete the offence and the method used
in offence section on the front of the
NPAO1. If more than one offence, then
complete the NPAO2 for the relevant
number of offences.
Email the updated NPAO1 (and NPAO2 if required)
to the casework team. This will generate an AS
number which is required for the court to sign the
summons, the AS number will be emailed back
within a few days of the submission of the NPAO1.
With the New NPA form is the NPA 2
still required or can all charges go on
NPAO1?
Prepare three copies of the summons
Prepare one information sheet.
Send to the court for signature with covering letter
—all three copies of the summons should be
returned and signed.
Court will retain the information sheet.
Inform the agents Solicitors appointed by CLT) of
the time and date of the court appearance.
Query for CLT — Courts tend not to
sign the summons now, is this
acceptable?
aT
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On receipt of the summons
Take a photocopy of the defendant’s copy of the
summons.
Send the original copy of the defendants summons
together with a POLO44 (Charge or summons
notice) and a copy of the means form.
Summons can be either served personally or via
Royal Mail Special Delivery to the offender.
a. If served personally see part c.
b. Check to see when the Special delivery was
accepted and obtain a print out of the track and
trace record.
c. Inform CLT that the summons has been
delivered. (Confirmation of serving of summons).
By endorsing on the back of the defendants
photocopied summons the following:
1. I certify that today, (date), I personally
served a copy of the summons upon
(Name), the defendant named overleaf.
or
2. I certify that a copy of the summons
overleaf has been served upon
(Name), the defendant named
overleaf. The summons was sent via
Royal Mail Special Delivery (number)
and was delivered (date and time).
Prepare and send to CLT covering letter (see
appendix a) confirming the summons has been
served, together with a copy of the POLO33 and
any TIC’s by post.
Update the front of the NPA form with the date
you applied for the summons and the date the
summons was served.
Complete the offence and the method used in
offence on the front of the NPAO1.
If more than one offence, then complete the
NPAO2 for the relevant number of offences.
Again query NPAO2
Email Casework team and Criminal Law Team the
confirmation of service letter together with the
NPAO1 and NPAO2 forms.
Does Jarnail want a hard copy of the
summons?
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Copies of the summons go in Appendix
file.
A of the
COMMITTAL
Committal Checklist
POLOO6B Self Disclosure
POLOO6c Schedule of non sensitive
material
unused
Sensitive Material
Cont Disclosure Report
Witness List
Witness Address
Witness Non Availability
List Of Exhibits
Memo to CLT
COURT
POCA
Funding / Recoveries
Body Of File
Appendix A
Appendix B
Appendix C
Case Raised Sheet
Witness Statement
GSo01
HR Printout
Interim Report
Evidence
GS003
Offender Report
Notebook Entry
Stakeholder
Notification
Tape Transcript
Search Documents
Business Failings
Working Tapes
Discipline Report
Antecedents
NPA1
Start construction of the File
e Type up NPA 01 and put in file
© Type up Antecedents and put in file
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e Type up any search documents and put in file
e Type up notebook entry and put in file
e Make copies of invite to interview letters
e Make copies of GS001 and put in file
e Make copies of GS003 and put in file
e Make copies of all evidence (no originals allowed) and put in relevant appendix
Other things to put in file — Equifax — HR Printout — assistant List — Stakeholder
notification — case raised form — FES form
Collect all relevant statements —
e Write all first officer statement
e get second officer statement
e Audit Statement —
e If any evidence is from another person eg Chesterfield get statement off them.
e Possible Statements from other members of staff depending on what is said at
interview
When tape transcripts returned proof read transcripts and listen to tapes to ensure that
all relevant admissions denials etc are recorded on transcripts. Ensure times are correct
and transcripts follow compliance rules.
Submit to Steve for him to check all reports and construction of File.
If any amendments are needed reprint report and page number etc and put in file.
Email Offender report, Tape Transcripts and discipline report to post office security and
hand the constructed green file in to Maureen
Andrew Wise
Security Manager Date: 04/02/13
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