POL00460601 - Post Office Limited Group Assurance April Dashboard v 1.0

Evidence on official site

POL00460601

POL00460601
Post Office Limited - Document Classification: STRICTLY CONFIDENTIAL ©
Group Assurance (GA) Dashboard as at 30/04/24
suodiz02 Functional activity progressI Group Assurance opinion’ I _ Status of Overdue Management Actions
Business Area Acivay Current] Previous I Movement] Current I PreviousI Movement [ Current I Previous [Movement
Function self assessment 18 16 oe Thematic =
Reta GA assessment sample checks o I o [CiWeM Potey -
GA assessment 16 9 oe lonr a
Function self assessment 16 ° oe [Speak Up oe
lLcas
IAsct inc! Speak Up [GA seoesement sample checks o I o
GA assessment 15 o 2
Non-Detriment review L i
Assurance Reviews (Overturned Convictions Review
Past roles assurance La II [
" GA's previous opinion is from the Q4 report
Legend [unsatisfactory {I ___improvement needed I Satisfactory WIP - GA Opinion TBC

Continuous Assurance - Group Assurance Opinion

Executive Summary

As the SEG is aware Continuous Assurance commenced in January 2024 and is continuing to embed
across the various functions.

As evident from the table above the outcomes of assurance range from Green to Red, which reflects the
divergence in the complexity of the functions involved and pace at which functional self-assessment is
becoming BAU.

The key messages as at 30" April 2024 are:
Retail

a) Functional self-assessments need to be significantly improved along with the quality of artefacts
forwarded to GA for our objective assessment.

b) The level of open management actions remains significantly high. Since the ClJ review only 16%
(13 out of 83) have been closed to date.

c) 36 overdue management actions relate to Postmaster Policies, majority of which have a reforecast
date for closure of June 2024.

Risk — the status of Functional Assessment and level of open management actions have a direct correlation
to Retails ability to demonstrate their conformance with the issue judgement and impacts on actions
delivered on Postmasters.

GA opinion - engagement and communication between GA and Retail is continually improving and we can
see Retail moving in the right direction, i.e., changing their approach to self-assessment and proactively
challenging artefacts before sending to GA. That said these improvements will take time to embed and
trickle through to the dashboard.

A&Cl

Engagement with A&Cl is exceptional with self-assessment fully imbedded and quality of artefacts to
demonstrate their control environment is robust.

Other

We have engaged with Culture and Remediation Unit from April 24 to commence their self-assessment
and should be reporting against these in Q2.

Please refer to Appendix 1 which shows the breakdown of Open Management Actions.

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POL00460601
POL00460601

Post Office Limited - Document Classification: STRICTLY CONFIDENTIAL &

APPENDIX 1

Status of Open Management actions as at 30" April 2024

Report by Function Open Open-due Overdue Overdue Closed Grand

within 30 <3 >3 Total
days months months

Culture (ClJ 9) 1 1

Common issues judgement 3 1 8 22 4 38

Postmaster Policy Review 36 9 45

QAF 4 6 4 77 1

Grand Total 7 1 50 26 91 175

Current open actions (CIJ & PM Policy Review) 30/04/2024
Operational Excellence/0-6mths programme 14
Awaiting one piece of evidence 10
Re-forecasted date 10
Awaiting re-forecast date 24
GA reviewing evidence 4
Awaiting QA 8
Total Open Actions 70
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