Information
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Branch Photo
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Branch Name
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Cost Centre Number
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Location
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Comments on current staff assessment
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Prepared by
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Conducted on
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Document No.
Operational Exelence Checklist
Performance Checks - Operational Scorecard checks
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Each measurement to be discussed in detail providing management with guidance on triggers to close variances, identifying barriers and potential leakages.<br><br><br><br><br><br><br>
Operational Checks - Operational Dashboard
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Dashboard key indicators to be validated and corrective action agreed upon where negative trends are apparent.
Audit Checks - Audit / Process & Risk Reviews
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Action plans to be discussed and spot checks done to ensure that management are following procedures and corrective plans are agreed upon.
General Branch Management
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Checks to be conducted on general management areas such as admin diary management, hygiene, infrastructure and maintenance issues, control over registers and operational meetings etc.
Process Checks - Loss & Fraud Prevention
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Call for latest cash check documents.
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Check high risk report & BOB 100 report for daily actioning, check should preferably be conducted at around 10am.
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Check that staff follow entering and lockout procedures.
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Check key and combination control.<br>
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Spot check drawers for keys, digitag & keylock etc.
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Check to see if UV lights are operational and is there one in the back office.
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Test understanding of frontline staff on third party encashment.
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Talk to staff to find out if they suspect internal fraud or misconduct of any employees. Included here are gifts being received and not declared, business interests.
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Check to see that findings from that cross branch P&R audits are being actioned.
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Spot check COC declarations.
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Ascertain how effective communication on process changes, scams, fraud mo's are.
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Spot checks on alarm testing and control.
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Check to ensure that cash control is effective - Cash Opportunity
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Meet with change agent and use discussion to assess impact and influence.
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Record rooms - are they tidy and has old records been destroyed?
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Aircons - are aircon timers set correctly?
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External Signage - Are they in working order and are timers set correctly?
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Guards - Are they on duty, have a company cell phone, and vigilant?
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CCTV - Has CCTV footage been viewed to establish if guard is on his post (P&S Logbook)
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Tellers/ADT/ATM differences - Is differences displayed and up to date (Cross check against differences return)
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Ops/BSC/Sales/F3 Scoreboards - are these displayed and up to date?
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Fraud trends - Ask staff if these are discussed with them & call for evidence?
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Has Ops/Adm/BA joined business forum against crime?
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ATM/ADT Availability - is OPS data site open on BM and BA terminal?
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Compliance & Skills Training - Check all areas and set deadlines for areas not 100%
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Golden Rules Reporting site - Check if all GR's has been read and signed by all staff?
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Confidential information - Spot check public areas to establish whether any confidential info is in view of clients (Screendumps, mandates ect.)
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Check Notice Board for mandatory placements
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Potential Loss - BA/BM to confirm that all potential lossed had been logged on Open Pages
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Is a register maintained that staff has viewed CEO strategy broadcasts?
Sustainability Checklist - Business Sustainability
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Ops/Adm/BA vacancies - has these been filled within 60 days?
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Operations Scorecard Utilization - Spot check BA & Admin staff by asking them to access ATM/ADT availability.<br><br>
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PEP Process - Is the Ops/Adm/BA on PEP plan?
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SQA - Has the branch got an action plan in place for unacceptable areas?
Sign-off
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I hereby acknowledge the content of the report.
I confirm that no information was withheld that could have resulted in the findings being different. -
Branch Manager/Associate Sign-off
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Ops Manager/Admin Manager/Branch Administrator Sign-off
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Regional Operation Manager Sign-off
