Fig. D.1: Analysis of post opening procedures

Observation

BFI comment

BFI recommendation

1. Delivery

Post is delivered by Royal Mail and is locked in a secure room. Post is taken to the central services room by the security guard and central services manager. Post in the locked external post collection box is taken to the room at the same time. The key for the box is held by the security guard.

We consider that there are excellent management controls around this initial process. The initial process is strengthened by issuing the Royal Mail with a key to secure the post in the locked room in the absence of a security guard. No other staff member can access the room.

We commend the excellent initial delivery process.

2. Physical arrangements

The post is opened by up to 4 officers, within the Central Services room. The room is not secure and is not used exclusively for post opening. It is the main working room for the post opening officers who do other duties. The central services supervisor helps the support staff to sort the mail into labelled boxes relevant to the internal departments.

We consider that there are insufficient management controls around this area. Post is opened in an insecure environment. There is no security lock and no signing-in procedure. There were several interruptions on the day of our observation. Members of staff have free access to the post opening room and several entered the room to place post in the boxes during mail sorting. XXXXX XXXXX XXXX XXXXX XXXX.

We recommend setting aside a designated area for post opening. At least 2 people should be present throughout the whole operation and no other person should interrupt the process.

Post opening clerk(s) should not be responsible for any other duties while post opening continues. The door of the post opening area should be secure throughout the process.

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3. Receipt of valuables

Any post received that has no departmental address is slit open to identify the relevant destination. XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX.

We consider that there is insufficient security control around this process. XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XX.

We recommend that EP&NBC reviews the current procedures.

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Items over £500

Any post for the Benefits section and Borough Treasurers Department is picked up by the treasurer’s officer and taken to the Borough treasurers office. Any contents of slit envelopes are stapled together. Cheques, cash and postal orders to the value of £500 and over are recorded in a valuables book, which records the sender’s name and the amount. Cheque registration numbers are not recorded. Items of value above £500 are collected from the treasurer’s office and are signed for by the recipient.

The registration of items of value is considered good practice.

However, the process of delaying the recording of valuables and recording of cheque and order book serial numbers at the time of opening is unsatisfactory (see 3).

The items of value should be passed to a nominated valuables officer for entry into the cash valuables book immediately after opening (see 3).

The cash should then be passed to the cashier and signed for. Post opened by the Borough Treasurers Department which contains items of value should be treated in the same way, registering any relevant serial numbers of cheques or benefit books.

We recommend that the date of the first uncashed order should be noted as a further security measure, reducing the risk of internal fraud. Recording the first uncashed order of any benefit order book received at the LA would show a clear audit trail.

Items under £500

The Borough treasurer’s officer enters the total number of items received under £500 into the valuables book.

We consider the bulk recording of items under the amount of £500 to be insecure. The items are not signed for at hand-over and do not show individual entries in the valuables book. The LA is at risk to internal fraud or an unscrupulous claimant. No clear audit trail would be available.

We recommend recording all cash irrespective of amount.