Appendix B: Post opening
Introduction
Secure post opening procedures are an important factor in securing the gateway to HB and CTB. They help ensure that items of mail sent to Lambeth are not lost or stolen and reduce the risk of fraudulent documentation entering the system.
Conclusions
Lambeth’s post opening arrangements are not fully secure and need to be strengthened to reduce the possibility of internal fraud. In particular we found:
· post opening is not fully supervised
· the post opening area is cluttered and access to it is not restricted to staff involved in the opening process
· arrangements for recording and handling cheques and valuables are poor.
Background
To assess the security of Lambeth’s post opening, we observed the delivery of Royal Mail to the post room at OMH in Brixton on 3 October 2000. Post is delivered between 08.15 and 09.00 each day by Royal Mail to the Finance room at OMH. An internal courier service delivers post from other authority sites between 10.00 and 11.00 on a daily basis.
Findings
Figure B.1 provides a summary of our findings on post opening set against a summary of the guidance provided in the BFI’s Good Practice Guide.
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Fig. B.1: Observation of Lambeth’s post opening arrangements |
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Good practice |
Met by Lambeth? |
BFI observations |
Post received in a secure, locked area. |
4 |
Incoming post is immediately taken to the Finance room, which is a secure area. As well as being the area where post is delivered and opened, the cashiers function is co-located in this area. |
Post is opened in a secure area. |
4 |
The Finance room is a secure area and access to it is through electronically controlled doors. Those entering and leaving the room are required to sign a register. |
Restricting access to post opening area. |
6 |
Staff not involved in post opening were observed walking around the post opening area. |
Post opened in a secure controlled area free from papers. |
6 |
The post opening area was cluttered with papers and documents. |
Adequate segregation of duties. |
XX |
XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XX |
Post opening supervised. |
6 |
There was no formal supervision of staff during the opening of post. The Finance team leader observed the process occasionally. |
Restriction of personal belongings permitted in post opening area. |
6 |
There were no restrictions on personal belongings being allowed in the room. |
Access to post opening area restricted after commencement of procedure. |
6 |
Staff were allowed in to the area after post opening had commenced. One member of the team arrived after the post opening had started. |
Post is date stamped. |
4 |
All post was date stamped. Where post received had more than one page, all pages were stamped. |
Post is opened on receipt and dispatched to addressee. |
6 |
Not all post is opened on receipt. Mail addressed to Capita Managers is not opened. Recorded delivery post marked "staff in confidence" is passed to addressee unopened. |
Post passed to addressee is opened in the presence of the post opening team. |
6 |
The addressee is not asked to open the post in front of a member of the post opening team. |
Original documents stamped as original seen and returned to claimant. |
4 |
Items such as passports, pension books, birth certificates, savings books are immediately photocopied and returned to claimant by recorded delivery. A scanner is used to check authenticity of documents. |
Items of value recorded immediately countersigned and passed securely to cashier. |
XX |
XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XX |
Valuables register kept securely. |
6 |
There is no register for cheques. Register for cash is not kept securely. |
Procedure for returned HB cheques. |
4 |
Details are entered in the "returned cheque" book with the following details; date, amount, date cheque issued, serial number of cheque and name of claimant. Returned cheques then go to the "control" section. |
Cheques are cancelled immediately on receipt. |
XX |
XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX |
Cheques are passed by hand to cashier immediately. |
XX |
XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX X |
Cashier acknowledges receipt of valuables in presence of post opening clerk. |
XX |
XXXX XXXX XXXX XXXX XXXX XXX |
Recorded and registered posts are recorded. |
4 |
Items are recorded in register. Individual registers are kept for CTB and HB recorded delivery post. All recorded delivery items are opened on day of receipt. The PAT signs for CTB/HB recorded delivery items. |
Post received in the mail box at reception is collected securely. |
XX |
XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXX |
Source: BFI Good Practice Guide and BFI observation