• Document No.

  • Audit Title

  • Site Name

  • Conducted on

  • Prepared by

  • Location
  • Personnel

  • Summary of identified issues

  • Summary of Corrective Actions Taken

1. Housekeeping

  • 1.1 Is the CMC clean and tidy?

Follow up on Corrective Action taken for Housekeeping

  • Corrective Action Taken

2. Security

  • 2.1 Was the correct procedures followed when allowing access to the CMC ?

  • 2.2 Have cameras been checked every morning prior to start of activities (OB book entry by BSO)?

  • 2.3 CCTV checklist completed by Supervisor?

  • 2.4 Are cameras positioned correctly to cover all areas (no blind spots)?

  • 2.5 Are all Incident related CCTV footage being kept - DVD cut and stored until resolved?

  • 2.6 Are panic buttons available and clearly marked?

  • 2.7 Do staff have lockers outside the CMC for personal belongings (no cellphone or cash allowed in CMC)?

  • 2.8 Are staff being searched prior to leaving the CMC (search register)?

  • 2.9 No cash lying around and left open / unattended at anytime?

  • 2.10 Consumables are controlled, locked and record kept and is it signed for?

  • 2.11 Are all dustbins emptied and empty bags kept for a week?

  • 2.12 Are emptied bags clearly marked (Teller Name / Workstation / Date) and within a see-through bag?

  • 2.13 Filing is done daily and kept in a safe place / locked away?

  • 2.14 CMC has a 3G card for redundancy / backup?

  • 2.15 Are passwords controlled and users working with their own in the CMC?

  • 2.16 Are all staff dressed in clothes without pockets ?

Follow up on Corrective Action regarding the Security within the CMC

  • Corrective Action Taken

3. Tellers

  • 3.1 Are all deposits listed on bulk receipt book / e-viper accepted for by the Supervisor/Runner?

  • 3.2 Supervisor/Runner to hand out work and not to be collected by the Teller?

  • 3.3 Are all deposits handed from Cash Processing Tellers to the Treasury Custodian via sealed Container/Bag?

  • 3.4 Is one Teller only handling one deposit at a time (no mixed deposits)?

  • 3.5 Do Tellers turn empty bags / containers inside out to show that all cash / contents have been removed?

  • 3.6 Are white boards with all relevant details used during processing and correctly displayed under camera?

  • 3.7 Are customer variances recorded on the white board by the Supervisor and addressed accordingly?

  • 3.8 Is cash segregated by individual customer?

  • 3.9 Tellers do not leave their desk while busy with processing?

Follow up on Corrective Action regarding the Tellers.

  • Corrective Action Taken

4. Treasury

  • 4.1 Is access to the Treasury restricted, controlled and Access Register used?

  • 4.2 Are mutilated notes kept separate and cleared daily (separately sealed, but form part of the Treasury balance)?

  • 4.3 Are fit and unfit notes stored separately - must form part of the total Treasury balance?

  • 4.4 Has the banking been independently checked prior to dispatching?

  • 4.5 Is all processed cash sealed and stored away in a secured area?

  • 4.6 Is coinage stored inside a cage, if not moved to the vault?

  • 4.7 Counterfeit notes and uncontrolled stained notes declared in a register and kept separately (on 25th of each month dispatched to Pretoria)?

  • 4.8 All packed orders for ATM/Change/Payroll being checked independently prior to sealing the bags?

  • 4.9 All packed orders must go to an independent person?

  • 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.

  • Corrective Action Taken

5. Admin

  • 5.1 Are all cash differences (Teller & Treasury) recorded on the Cash Difference Sheet?

  • 5.2 Are all documents filed in sequence in the Records Management Room/Cabinet (Controlled)?

  • 5.3 Is the Records Cabinet / Room under dual control and is the register used and in place?

  • 5.4 Is the Branch Paper Mandate in Place?

Follow up on Corrective Action regarding the Admin

  • Corrective Action Taken

6. Loads

  • 6.1 The cash received balance to the request. (ITC Form)?

  • 6.2 Correct denomination loaded into the corresponding canister/bag - to be checked by an independent staff member prior to sealing?

  • 6.3 All canisters/bags marked correctly (by denomination inside and out and not on the removable lid)?

  • 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)?

  • 6.5 If cash not loaded in ATM it is not kept for longer than 48 hours before returning to the float?

  • 6.6 ATM debrief form used for all sites and filed accordingly?

  • 6.7 Are slips filed with the day's order and recon on time / accurately?

  • 6.8 All CRV / Customer requests must be received by a person independent from the CMC?

  • 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

  • Corrective Action Taken

7. Unloading

  • 7.1 Are used seals / stoploss still intact on receipt?

  • 7.2 If variance is identified did Teller notify Supervisor to double check the cash (OB entry and recorded on white board)?

  • 7.3 If all slips is not returned Customer contacted within 24h?

  • 7.4 Are all variances linked to a reference number (OB entry)?

  • 7.5 Returned cash must be booked back into the float and repacked as per customer instruction?

  • 7.6 Record keeping daily of over's and unders with sign off?

Follow up on Corrective Action regarding the Unloading

  • Corrective Action Taken

8. Floats

  • 8.1 Customer floats are sealed when not in use - opening closing entry in Seal Register reflecting seal numbers?

  • 8.2 Supervisor check all floats daily (not only the cash but validity of entries)?

  • 8.3 Independent blind count of floats conducted at end of day?

  • 8.4 Supervisor check OB/Register daily, the CMC Manager weekly and the Branch Manager monthly?

  • 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

  • Corrective Action Taken

10. Equipment

  • 10.1 Does the CMC have enough equipment?

  • 10.2 Are the counting equipment serviced?

  • 10.3 Are equipment cleaned daily?

  • 10..4 Are all equipment in good working order and kept clean?

  • 10.5 No eating and drinking at Teller desks. Is there a dedicated area for this?

Follow up on Corrective Action regarding Equipment

  • Corrective Action Taken

11. Staff

  • 11.1 CMC Spervisor / Manager present?

  • 11.2 Does staff know where the panic buttons are?

  • 11.3 Are staff toilets locked and are staff searched before accessing the toilets?

12. Health and Safety

  • 12.1 Are incident reports completed for all Hazards, Near Misses and Incidents?

  • 12.2 Is a register in place where employees have been briefed on safety issues?

  • 12.3 Is emergency exit accessible?

  • 12.4 Are evacuation procedures in place?

Follow up on the Corrective Action regarding Health & Safety

  • Corrective Action Taken

  • Any additional info

  • Any Additional photos

  • Audit done by

  • Date Audit Finalised

  • Confirmed that all audit content was explained.

  • Date Audit Confirmed

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