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2.4. DETAILED AUDIT FINDINGS AND RECOMMENDATIONS2.4.1 Non Compliance Issues                                        Finding...
Yes                 Findings        Policy & Procedures/                      Recommendation                         HQ Ac...
Findings                          Policy & Procedures/                        Recommendation                        HQ Act...
Findings                     Policy & Procedures/                       Recommendation                                 HQ ...
Findings        Policy & Procedures/                      Recommendation                                   HQ Action Plan ...
Findings        Policy & Procedures/                      Recommendation                     HQ Action Plan Post Office   ...
Findings                          Policy & Procedures/                          Recommendation                            ...
Findings        Policy & Procedures/                       Recommendation                                  HQ Action Plan ...
Findings        Policy & Procedures/                      Recommendation                                 HQ Action Plan Po...
Findings                          Policy & Procedures/                           Recommendation                        HQ ...
Findings                     Policy & Procedures/                                   Recommendation                        ...
Findings        Policy & Procedures/                      Recommendation                                   HQ Action Plan ...
Findings                         Policy & Procedures/                      Recommendation                         HQ Actio...
Findings                           Policy & Procedures/                          Recommendation                           ...
Findings        Policy & Procedures/                      Recommendation                                   HQ Action Plan ...
Findings        Policy & Procedures/                      Recommendation                     HQ Action Plan Post Office   ...
Findings                    Policy & Procedures/                            Recommendation                          HQ Act...
Findings                          Policy & Procedures/                      Recommendation                                ...
Findings        Policy & Procedures/                      Recommendation                                   HQ Action Plan ...
Findings        Policy & Procedures/                      Recommendation                     HQ Action Plan Post Office   ...
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
Detail audit finding  recommendation selangor05092012 update  bhari
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Detail audit finding recommendation selangor05092012 update bhari

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Detail audit finding recommendation selangor05092012 update bhari

  1. 1. 2.4. DETAILED AUDIT FINDINGS AND RECOMMENDATIONS2.4.1 Non Compliance Issues Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/ (visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) NoJeram PO a. ID Management DRB part 1 Section III item no. i. Issuance of warning letters a. RSSM Response i. Creation dates for 3 user IDs to staff who does not comply / b. HQ – Action Plans(31.7.12) 65 has stated that all ID user were not updated into ID record and level of ID created must be with operation procedures Item a book. recorded in Buku Kawalan ID. which will have an impact on All shortcomings Root Cause the bonus of staff involved at highlighted are clearly non- year end appraisal. This is to compliance issues to the The reason for the non- send a strong message to current SOP. compliance was due to the staff in charge was ignorant of the staffs that non compliance Reminder letter was issued procedure with procedures is a serious on 11/7/2012 to the branch matter. manager to adhere to the ii. The management of procedure. A show cause / PosNiaga is required to have letter was also issued on an effective mechanism in 28/8/2012. All non- place for ensuring all staff compliance shortcomings especially Post Masters were recorded in POOLS understand the daily (post Office Log System) operation procedures and which it will be taken into adhere to it. account during their iii. ASSM and RSSM must performance appraisal at / ensure all the Post Offices the end of the financial under his/her control are year. operated according to procedure. ASSM and ID record book was RSSM should be updated on
  2. 2. Yes Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No accountable for ensuring ................................ compliance. Issue highlighted is expected to be fully addressed once the Postal Retail System (PRS) goes “LIVE’. The ID Management Module in the system is able to automatically update the respective user profile with all critical information i.e. date Id created, date of 1st used and other information. The system will also able to perform auto housekeeping of any inactive IDs based on the agreed parameters or rule. The system will be able to provide maintenance record of each ID for control and auditing purpose. JD for RSSM and ASSM has been refined to reflect clear
  3. 3. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No responsibilities on matter with regard to sale and operation. The JD will be forwarded to them by 5/9/2012. With the refinement of the JD the KPI of RSSM / ASSM will also be refined in accordance to the responsibilities carried by them and also target set by the Management. On the proposed implementation of Force Leave” and Rotation of Branch Manager, PosNiaga will explore on the feasibility as it might have an impact on cost and manpower at state level. Findings Policy & Procedures/ Recommendation HQ Action Plan No. Departmental Rules Book (DRB)/ (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) Yes NoBandar Tasik a. Reversal of Transactions. Memo PosNiaga Department, i. Issuance of warning letters toPuteri PO staff who does not comply with / HQ – Action Plans dated 14 December 2009, i. One reversal of transaction(2.8.12) operation procedures which Item a Allowable type of reversal has without customer’s memo. stated that any reversal or will have an impact on the All shortcomings
  4. 4. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No Date Value Type of amendments made on bonus of staff involved at year highlighted are clearly non- (RM) Agency transaction must be supported end appraisal. This is to send a / compliance issues to the 22.6.12 519.86 TNB Bill with customer’s memo strong message to staffs that current SOP. Root Cause (customer’s request). non compliance with The reason for the non-compliance procedures is a serious matter. Reminder letter was issued was due to the staff in charge was ii. The management of on 11/7/2012 to the branch ignorant of the procedure PosNiaga is required to have manager to adhere to the an effective mechanism in procedure. A show cause place for ensuring all staff letter was also issued on especially Post Masters 28/8/2012. All non- understand the daily compliance shortcomings operation procedures and were recorded in POOLS adhere to it. (post Office Log System) iii. ASSM and RSSM must which it will be taken into ensure all the Post Offices account during their under his/her control are performance appraisal at operated according to the end of the financial procedure. ASSM and RSSM year. should be accountable for ensuring compliance and Issue highlighted is competency of the front expected to be fully counter staff. addressed once the Postal iv. ASSM and RSSM must Retail System (PRS) goes ensure all the Post Offices “LIVE’. The ID Management under his/her control are Module in the system is operated according to able to automatically
  5. 5. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No procedure. ASSM and RSSM update the respective user should be accountable for profile with all critical ensuring compliance. information i.e. date Id v. Proper and effective created, date of 1st used continuous training program to and other information. The Post Master, RSSM and ASSM system will also able to related to Post Office perform auto housekeeping operation, new system (i.e of any inactive IDs based on / SMS), and new product. The the agreed parameters or risk of not understanding such rule. The system will be able procedures and non- to provide maintenance compliance to the policy & record of each ID for procedure could be mitigated. control and auditing vi. Clear and formal JD, KPI and purpose. reporting structure should be established and communicated RSSM was also reminded to to RSSM and ASSM. The seriously monitor scope of work under compliance of Branch / monitoring of Post Office Managers to the procedure operation is clearly defined in (as per memo issued on details. 12/6/2012 and 2/7/2012) vii. Preventive and detective and ensure that all ASSMs mitigation plan should be under his/her control to implemented such as consistently check on the frequently rotate of Post issues highlighted during Master and the policy that Post / their inspection on the Post
  6. 6. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No Master must vacate the office offices Ref No for one week continuously at .POS:UOP/201/669/620/664 least once a year. The rotation /147/948/2011(22) and (24) process should also be imposed similarly to RSSM and JD for RSSM and ASSM has ASSM. been refined to reflect clear responsibilities on matter with regard to sale and operation. The JD will be forwarded to them by 5/9/2012. With the refinement of the JD the KPI of RSSM / ASSM will also be refined in accordance to the responsibilities carried by them and also target set by the Management. On the proposed implementation of Force Leave” and Rotation of Branch Manager, PosNiaga will explore on the feasibility as it might have
  7. 7. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No an impact on cost and manpower at state level. Findings Policy & Procedures/ Recommendation HQ Action Plan No. Departmental Rules Book (DRB)/ (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) Yes NoBatu Arang a. Reversal of Transactions. i. Issuance of warning letters to HQ – Action Plans Memo PosNiaga DepartmentPO staff who does not comply / Item a dated 14 December 2009,(3.8.12) i. One reversal of transaction to with operation procedures All shortcomings Unallowable type of reversal reduced amount which is which will have an impact on highlighted are clearly non- has stated that any reversal to prohibited has been performed by the bonus of staff involved at compliance issues to the reduce amount is prohibited the counter staff. year end appraisal. This is to current SOP. Date Value(RM) Type of send a strong message to Agency staffs that non compliance Reminder letter was issued From To with procedures is a serious on 11/7/2012 to the branch 27.612 121.65 70.70 Utility matter. manager to adhere to the ii. The management of procedure. A show cause / PosNiaga is required to have letter was also issued on an effective mechanism in 28/8/2012. All non- Root Cause place for ensuring all staff compliance shortcomings The reason for the non-compliance especially Post Masters were recorded in POOLS was due to the staff in charge was understand the daily (post Office Log System) ignorant of the procedure operation procedures and which it will be taken into adhere to it. account during their iii. ASSM and RSSM must performance appraisal at /
  8. 8. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No ensure all the Post Offices the end of the financial under his/her control are year. operated according to / procedure. ASSM and RSSM Issue highlighted is should be accountable for expected to be fully ensuring compliance and addressed once the Postal competency of the front Retail System (PRS) goes counter staff. “LIVE’. The ID Management iv. ASSM and RSSM must ensure Module in the system is all the Post Offices under / able to automatically his/her control are operated update the respective user according to procedure. ASSM profile with all critical and RSSM should be information i.e. date Id accountable for ensuring created, date of 1st used compliance. and other information. The v. Proper and effective system will also able to continuous training program to perform auto housekeeping Post Master, RSSM and ASSM of any inactive IDs based on related to Post Office the agreed parameters or operation, new system (i.e / rule. The system will be able SMS), and new product. The to provide maintenance risk of not understanding such record of each ID for procedures and non- control and auditing compliance to the policy & purpose. procedure could be mitigated. vi. Clear and formal JD, KPI and RSSM was also reminded to
  9. 9. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No reporting structure should be seriously monitor established and communicated / compliance of Branch to RSSM and ASSM. The Managers to the procedure scope of work under (as per memo issued on monitoring of Post Office 12/6/2012 and 2/7/2012) operation is clearly defined in and ensure that all ASSMs details. under his/her control to vii. Preventive and detective consistently check on the mitigation plan should be issues highlighted during implemented such as their inspection on the Post frequently rotate of Post offices Ref No Master and the policy that Post .POS:UOP/201/669/620/664 Master must vacate the office /147/948/2011(22) and (24) for one week continuously at least once a year. The rotation JD for RSSM and ASSM has process should also be been refined to reflect clear imposed similarly to RSSM and responsibilities on matter ASSM. with regard to sale and operation. The JD will be forwarded to them by 5/9/2012. With the refinement of the JD the KPI of RSSM / ASSM will also be refined in accordance to the
  10. 10. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No responsibilities carried by them and also target set by the Management. On the proposed implementation of Force Leave” and Rotation of Branch Manager, PosNiaga will explore on the feasibility as it might have an impact on cost and manpower at state level. Findings Policy & Procedures/ Recommendation HQ Action Plan No. Departmental Rules Book (DRB)/ (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) Yes NoSabak i. Issuance of warning letters to HQ – Action Plans a. ASB/ASN Transaction Buku Panduan Tatacara /Bernam PO staff who does not comply Item a i. 3 withdrawals and 2 deposits Operasi Unit ASNB Edisi 3(7.8.12) with operation procedures All shortcomings amounting to RM6,300 and 2004, Langkah – Langkah which will have an impact on highlighted are clearly non- RM3,500 respectively were Keselamatan Tambahan the bonus of staff involved at compliance issues to the performed and authorised by Untuk Urusniaga ASNB Item year end appraisal. This is to current SOP. the same staff even though the No. 2(A)(1)(xii)(b), stated that send a strong message to transactions exceeded all withdrawal transaction staffs that non compliance Reminder letter was issued /
  11. 11. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No RM500.00. exceeding RM500.00 per with procedures is a serious on 11/7/2012 to the branch transaction the counter staff matter. manager to adhere to the Withdrawal Transactions shall obtain second / ii. The management of procedure. A show cause authorization from Post Master User ID/ No. of PosNiaga is required to have letter was also issued on Authorized transacti Total or Supervisor or Cashier or any by ons (RM) an effective mechanism in 28/8/2012. All non- staff that headed the Post place for ensuring all staff compliance shortcomings Fatimah 3 6,300 Office at that particular time. especially Post Masters were recorded in POOLS Total 3 6,300 HQ Memo dated 03 April understand the daily (post Office Log System) Deposit Transactions 2006, stated that all deposit operation procedures and which it will be taken into / User ID/ No. of transactions exceeding adhere to it. account during their Authorized transacti Total by ons (RM) RM500.00 per transaction the iii. ASSM and RSSM must performance appraisal at counter staff shall obtain ensure all the Post Offices the end of the financial Fatimah 2 3,500 second authorization from Post under his/her control are year. Total 2 3,500 Master or Supervisor or operated according to Root Cause Cashier or any staff that procedure. ASSM and RSSM Issue highlighted is headed the Post Office at that The reason for the non-compliance should be accountable for expected to be fully particular time. was due to the staff in charge was ensuring compliance and addressed once the Postal ignorant of the procedure. competency of the front Retail System (PRS) goes counter staff. “LIVE’. The ID Management iv. ASSM and RSSM must Module in the system is ensure all the Post Offices able to automatically under his/her control are update the respective user operated according to profile with all critical procedure. ASSM and RSSM information i.e. date Id should be accountable for created, date of 1st used ensuring compliance. and other information. The
  12. 12. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No v. Clear and formal JD, KPI and system will also able to / reporting structure should be perform auto housekeeping established and of any inactive IDs based on communicated to RSSM and the agreed parameters or ASSM. The scope of work rule. The system will be able under monitoring of Post to provide maintenance Office operation is clearly record of each ID for defined in details. control and auditing vi. Preventive and detective purpose. mitigation plan should be implemented such as RSSM was also reminded to frequently rotate of Post seriously monitor Master and the policy that compliance of Branch Post Master must vacate the Managers to the procedure office for one week (as per memo issued on continuously at least once a 12/6/2012 and 2/7/2012) year. The rotation process and ensure that all ASSMs should also be imposed under his/her control to similarly to RSSM and ASSM. / consistently check on the issues highlighted during their inspection on the Post . offices Ref No .POS:UOP/201/669/620/664 /147/948/2011(22) and (24) JD for RSSM and ASSM has
  13. 13. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No b. Security Management of I. The standard been refined to reflect clear Building. exercise should be responsibilities on matter taken in term of i. Audit observation on the with regard to sale and building security . security aspect and operation. The JD will be The PO is stand maintenance of the Post Office’s forwarded to them by alone building and building noted the main 5/9/2012. any changes must signboard was obsolete. go through PTG . With the refinement of the FM state must take JD the KPI of RSSM / ASSM stiff action on will also be refined in meeting the accordance to the requirement. responsibilities carried by II. Complaint has been them and also target set by made to FM the Management. Selangor on obsolete signage On the proposed since November implementation of Force 2011. No action Leave” and Rotation of taken yet. Branch Manager, PosNiaga will explore on the feasibility as it might have an impact on cost and manpower at state level.
  14. 14. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No Findings Policy & Procedures/ Recommendation HQ Action Plan No. Departmental Rules Book (DRB)/ (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) Yes NoSungai Besar a. Reversal of Transactions. Memo PosNiaga Department i. Issuance of warning letters to HQ – Action PlansPO. staff who does not comply with / Item a dated 14 December 2009, i. Two reversals of transaction to(9.8.12) operation procedures which will All shortcomings Unallowable type of reversal reduced amount which were has stated that any reversal to have an impact on the bonus of highlighted are clearly non- prohibited have been performed reduce amount is prohibited. staff involved at year end compliance issues to the by the counter staff. appraisal. This is to send a current SOP. Date Value(RM) Type of strong message to staffs that Agency non compliance with procedures Reminder letter was issued From To is a serious matter. on 11/7/2012 to the branch 1.612 92.04 40.00 Utility 19.612 47.00 30.10 MPSJ ii. The management of PosNiaga manager to adhere to the is required to have an effective / procedure. A show cause Root Cause mechanism in place for ensuring letter was also issued on The reason for the non-compliance all staff especially Post Masters 28/8/2012. All non- was due to the staff in charge was understand the daily operation compliance shortcomings ignorant of the procedure. procedures and adhere to it. were recorded in POOLS b. Security Management of (post Office Log System) iii. ASSM and RSSM must ensure Building. / which it will be taken into all the Post Offices under account during their i. Audit observation on the security his/her control are operated performance appraisal at aspect and maintenance of the according to procedure. ASSM the end of the financial Post Office’s building noted the and RSSM should be accountable to the compliance year. main signboard was obsolete. /
  15. 15. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No and competency issues of front counter staff. Issue highlighted is expected to be fully iv. Proper and effective addressed once the Postal continuous training program Retail System (PRS) goes to Post Master, RSSM and “LIVE’. The ID Management ASSM related to Post Office Module in the system is operation, new system (i.e able to automatically SMS), and new product. The update the respective user risk of not understanding / profile with all critical such procedures and non- information i.e. date Id compliance to the policy & created, date of 1st used procedure could be mitigated. and other information. The v. Clear and formal JD, KPI and system will also able to reporting structure should be perform auto housekeeping established and of any inactive IDs based on communicated to RSSM and the agreed parameters or ASSM. The scope of work / rule. The system will be able under monitoring of Post to provide maintenance Office operation is clearly record of each ID for defined in details. control and auditing vi. Preventive and detective purpose. mitigation plan should be implemented such as frequently rotate of Post RSSM was also reminded to Master and the policy that seriously monitor Post Master must vacate the compliance of Branch
  16. 16. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No office for one week Managers to the procedure continuously at least once a (as per memo issued on year. The rotation process 12/6/2012 and 2/7/2012) should also be imposed and ensure that all ASSMs under his/her control to consistently check on the issues highlighted during their inspection on the Post offices Ref No .POS:UOP/201/669/620/664 /147/948/2011(22) and (24) JD for RSSM and ASSM has been refined to reflect clear responsibilities on matter with regard to sale and operation. The JD will be forwarded to them by 5/9/2012. With the refinement of the JD the KPI of RSSM / ASSM will also be refined in accordance to the responsibilities carried by them and also target set by
  17. 17. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No the Management. On the proposed implementation of Force Leave” and Rotation of Branch Manager, PosNiaga will explore on the feasibility as it might have an impact on cost and manpower at state level. Findings Policy & Procedures/ Recommendation HQ Action Plan No. Departmental Rules Book (DRB)/ (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) Yes No Memo PosNiaga Department i. Issuance of warning letters to HQ – Action PlansSekinchan b. Reversal of Transactions.PO dated 14 December 2009, staff who does not comply with / Item b i. One reversal of transaction to Unallowable type of reversal has(8.8.12) operation procedures which All shortcomings reduced stated that any reversal to reduce amount which is prohibited has will have an impact on the highlighted are clearly non- amount is prohibited. been performed by the counter bonus of staff involved at year compliance issues to the staff. end appraisal. This is to send a current SOP. strong message to staffs that Date Value(RM) Type of non compliance with Reminder letter was issued Agency procedures is a serious matter. on 11/7/2012 to the branch /
  18. 18. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No From To ii. The management of manager to adhere to the 14.6.12 292.60 198.35 Utility / PosNiaga is required to have procedure. A show cause an effective mechanism in letter was also issued on place for ensuring all staff 28/8/2012. All non- Root Cause especially Post Masters compliance shortcomings The reason for the non-compliance understand the daily were recorded in POOLS was due to the staff in charge was operation procedures and (post Office Log System) ignorant of the procedure adhere to it. which it will be taken into / iii. ASSM and RSSM must account during their ensure all the Post Offices performance appraisal at under his/her control are the end of the financial operated according to year. procedure. ASSM and RSSM should be accountable for Issue highlighted is ensuring compliance and expected to be fully competency of the front addressed once the Postal counter staff. Retail System (PRS) goes iv. ASSM and RSSM must “LIVE’. The ID Management ensure all the Post Offices Module in the system is under his/her control are able to automatically operated according to update the respective user procedure. ASSM and RSSM profile with all critical should be accountable for information i.e. date Id ensuring compliance. created, date of 1st used v. Proper and effective and other information. The continuous training program to system will also able to
  19. 19. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No Post Master, RSSM and ASSM perform auto housekeeping related to Post Office of any inactive IDs based on operation, new system (i.e the agreed parameters or SMS), and new product. The rule. The system will be able risk of not understanding such to provide maintenance procedures and non- record of each ID for compliance to the policy & control and auditing procedure could be mitigated. purpose. vi. Clear and formal JD, KPI and reporting structure should be RSSM was also reminded to established and communicated seriously monitor to RSSM and ASSM. The compliance of Branch scope of work under Managers to the procedure monitoring of Post Office (as per memo issued on operation is clearly defined in 12/6/2012 and 2/7/2012) details. and ensure that all ASSMs vii. Preventive and detective under his/her control to mitigation plan should be consistently check on the / implemented such as issues highlighted during frequently rotate of Post their inspection on the Post Master and the policy that Post offices Ref No Master must vacate the office .POS:UOP/201/669/620/664 for one week continuously at /147/948/2011(22) and (24) least once a year. The rotation process should also be JD for RSSM and ASSM has imposed similarly to RSSM and / been refined to reflect clear
  20. 20. Findings Policy & Procedures/ Recommendation HQ Action Plan Post Office Departmental Rules Book (DRB)/(visited date) (Please tick √ if recommendation is SOP accepted/not accepted by Audit Client) No ASSM.. responsibilities on matter with regard to sale and operation. The JD will be forwarded to them by 5/9/2012. With the refinement of the JD the KPI of RSSM / ASSM will also be refined in accordance to the responsibilities carried by them and also target set by the Management. On the proposed implementation of Force Leave” and Rotation of Branch Manager, PosNiaga will explore on the feasibility as it might have an impact on cost and manpower at state level.

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