Information
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Document No.
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Audit Title
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Site Name
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Conducted on
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Prepared by
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Location
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Personnel
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Summary of identified issues
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Summary of Corrective Actions Taken
1. Housekeeping
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1.1 Is the CMC clean and tidy?
Follow up on Corrective Action taken for Housekeeping
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Corrective Action Taken
2. Security
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2.1 Was the correct procedures followed when allowing access to the CMC ?
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2.2 Have cameras been checked every morning prior to start of activities (OB book entry by BSO)?
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2.3 CCTV checklist completed by Supervisor?
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2.4 Are cameras positioned correctly to cover all areas (no blind spots)?
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2.5 Are all Incident related CCTV footage being kept - DVD cut and stored until resolved?
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2.6 Are panic buttons available and clearly marked?
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2.7 Do staff have lockers outside the CMC for personal belongings (no cellphone or cash allowed in CMC)?
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2.8 Are staff being searched prior to leaving the CMC (search register)?
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2.9 No cash lying around and left open / unattended at anytime?
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2.10 Consumables are controlled, locked and record kept and is it signed for?
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2.11 Are all dustbins emptied and empty bags kept for a week?
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2.12 Are emptied bags clearly marked (Teller Name / Workstation / Date) and within a see-through bag?
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2.13 Filing is done daily and kept in a safe place / locked away?
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2.14 CMC has a 3G card for redundancy / backup?
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2.15 Are passwords controlled and users working with their own in the CMC?
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2.16 Are all staff dressed in clothes without pockets ?
Follow up on Corrective Action regarding the Security within the CMC
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Corrective Action Taken
3. Tellers
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3.1 Are all deposits listed on bulk receipt book / e-viper accepted for by the Supervisor/Runner?
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3.2 Supervisor/Runner to hand out work and not to be collected by the Teller?
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3.3 Are all deposits handed from Cash Processing Tellers to the Treasury Custodian via sealed Container/Bag?
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3.4 Is one Teller only handling one deposit at a time (no mixed deposits)?
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3.5 Do Tellers turn empty bags / containers inside out to show that all cash / contents have been removed?
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3.6 Are white boards with all relevant details used during processing and correctly displayed under camera?
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3.7 Are customer variances recorded on the white board by the Supervisor and addressed accordingly?
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3.8 Is cash segregated by individual customer?
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3.9 Tellers do not leave their desk while busy with processing?
Follow up on Corrective Action regarding the Tellers.
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Corrective Action Taken
4. Treasury
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4.1 Is access to the Treasury restricted, controlled and Access Register used?
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4.2 Are mutilated notes kept separate and cleared daily (separately sealed, but form part of the Treasury balance)?
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4.3 Are fit and unfit notes stored separately - must form part of the total Treasury balance?
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4.4 Has the banking been independently checked prior to dispatching?
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4.5 Is all processed cash sealed and stored away in a secured area?
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4.6 Is coinage stored inside a cage, if not moved to the vault?
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4.7 Counterfeit notes and uncontrolled stained notes declared in a register and kept separately (on 25th of each month dispatched to Pretoria)?
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4.8 All packed orders for ATM/Change/Payroll being checked independently prior to sealing the bags?
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4.9 All packed orders must go to an independent person?
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4.10 Does the Float owners conduct a bulk check when money is received from the bank and such record recorded (10% verified by owner)?
Follow up on Corrective Action regarding the Treasury.
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Corrective Action Taken
5. Admin
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5.1 Are all cash differences (Teller & Treasury) recorded on the Cash Difference Sheet?
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5.2 Are all documents filed in sequence in the Records Management Room/Cabinet (Controlled)?
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5.3 Is the Records Cabinet / Room under dual control and is the register used and in place?
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5.4 Is the Branch Paper Mandate in Place?
Follow up on Corrective Action regarding the Admin
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Corrective Action Taken
6. Loads
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6.1 The cash received balance to the request. (ITC Form)?
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6.2 Correct denomination loaded into the corresponding canister/bag - to be checked by an independent staff member prior to sealing?
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6.3 All canisters/bags marked correctly (by denomination inside and out and not on the removable lid)?
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6.4 If 20 sites were booked, 20 sites (slips) must return (escalated if not and customer to be contacted to obtain slip info within 24h)?
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6.5 If cash not loaded in ATM it is not kept for longer than 48 hours before returning to the float?
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6.6 ATM debrief form used for all sites and filed accordingly?
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6.7 Are slips filed with the day's order and recon on time / accurately?
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6.8 All CRV / Customer requests must be received by a person independent from the CMC?
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6.9 Custodian is not performing changed loads on instruction from customers - all request must go through an independent person?
Follow up on Corrective Action regarding Loads
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Corrective Action Taken
7. Unloading
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7.1 Are used seals / stoploss still intact on receipt?
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7.2 If variance is identified did Teller notify Supervisor to double check the cash (OB entry and recorded on white board)?
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7.3 If all slips is not returned Customer contacted within 24h?
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7.4 Are all variances linked to a reference number (OB entry)?
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7.5 Returned cash must be booked back into the float and repacked as per customer instruction?
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7.6 Record keeping daily of over's and unders with sign off?
Follow up on Corrective Action regarding the Unloading
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Corrective Action Taken
8. Floats
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8.1 Customer floats are sealed when not in use - opening closing entry in Seal Register reflecting seal numbers?
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8.2 Supervisor check all floats daily (not only the cash but validity of entries)?
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8.3 Independent blind count of floats conducted at end of day?
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8.4 Supervisor check OB/Register daily, the CMC Manager weekly and the Branch Manager monthly?
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8.5 Do customers confirm (in writing) at least once a month that the closing balance is correct?
Follow up on Corrective Action regarding Floats
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Corrective Action Taken
10. Equipment
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10.1 Does the CMC have enough equipment?
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10.2 Are the counting equipment serviced?
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10.3 Are equipment cleaned daily?
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10..4 Are all equipment in good working order and kept clean?
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10.5 No eating and drinking at Teller desks. Is there a dedicated area for this?
Follow up on Corrective Action regarding Equipment
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Corrective Action Taken
11. Staff
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11.1 CMC Spervisor / Manager present?
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11.2 Does staff know where the panic buttons are?
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11.3 Are staff toilets locked and are staff searched before accessing the toilets?
12. Health and Safety
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12.1 Are incident reports completed for all Hazards, Near Misses and Incidents?
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12.2 Is a register in place where employees have been briefed on safety issues?
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12.3 Is emergency exit accessible?
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12.4 Are evacuation procedures in place?
Follow up on the Corrective Action regarding Health & Safety
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Corrective Action Taken
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Any additional info
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Any Additional photos
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Audit done by
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Date Audit Finalised
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Confirmed that all audit content was explained.
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Date Audit Confirmed