The Postal Service™ is in its third year of realizing SOX compliance, and Business Mail Entry Unit/Detached Mail Units (BMEU/DMUs) serve as an integral part of the SOX compliance program. This past year, testing BMEU/DMU key controls enabled the Postal Service to accurately report approximately $16 billion in revenue. The SOX program continues to test key controls at these facilities to ensure SOX compliance standards are met.
During the mail entry process, it is important to thoroughly ensure each control activity is executed in accordance to policy, job-aids, and Standard Operating Procedures (SOPs). The latest SOX Key Control Guide at http://blue.usps.gov/sox/_pdf/Current_Key_Control_Guide.pdf outlines the proper steps and required documentation for BMEU/DMU processes. For example, mail acceptance clerks must ensure that the postage statements are complete by verifying the postage statement has the following fields: mailer’s signature, postage amount, and the permit number. The following updated list details the BMEU controls tested regularly at Postal Service facilities:
n Postage statement check-in.
n Verification procedures: Verifications.
n Finalize/clear: Verify each container has a clearance document.
n Reconciliation: Perform end-of-day reconciliation.
n Acceptance: Postage statement completion.
The SOX Key Control Guide also explains testing protocol and procedures at DMUs :
n New! Postage statement check-in.
n Verification procedures: Verifications.
n Finalize/clear (DMU): Observe loading and secure vehicles.
n Acceptance: Postage statement completion.
Ensuring proper execution of procedures and required documentation of these controls is critical to the Postal Service’s bottom-line. Your efforts help the Postal Service continue to be a SOX compliant organization.
To see how your unit is doing, check the SOX Compliance Scorecard on the SOX website at http://blue.usps.gov/sox. You can also visit the SOX website to view links to the latest Key Control Guide Webinar series held this past December. Please send any SOX-related questions to the SOX inbox at SOX@usps.gov.
SOX Management Controls & Integrations,
Controller, 4-4-13
