Operational Exelence Checklist

Performance Checks - Operational Scorecard checks

  • 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

  • Dashboard key indicators to be validated and corrective action agreed upon where negative trends are apparent.

Audit Checks - Audit / Process & Risk Reviews

  • 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

  • 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

  • Call for latest cash check documents.

  • Check high risk report & BOB 100 report for daily actioning, check should preferably be conducted at around 10am.

  • Check that staff follow entering and lockout procedures.

  • Check key and combination control.<br>

  • Spot check drawers for keys, digitag & keylock etc.

  • Check to see if UV lights are operational and is there one in the back office.

  • Test understanding of frontline staff on third party encashment.

  • 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.

  • Check to see that findings from that cross branch P&R audits are being actioned.

  • Spot check COC declarations.

  • Ascertain how effective communication on process changes, scams, fraud mo's are.

  • Spot checks on alarm testing and control.

  • Check to ensure that cash control is effective - Cash Opportunity

  • Meet with change agent and use discussion to assess impact and influence.

  • Record rooms - are they tidy and has old records been destroyed?

  • Aircons - are aircon timers set correctly?

  • External Signage - Are they in working order and are timers set correctly?

  • Guards - Are they on duty, have a company cell phone, and vigilant?

  • CCTV - Has CCTV footage been viewed to establish if guard is on his post (P&S Logbook)

  • Tellers/ADT/ATM differences - Is differences displayed and up to date (Cross check against differences return)

  • Ops/BSC/Sales/F3 Scoreboards - are these displayed and up to date?

  • Fraud trends - Ask staff if these are discussed with them & call for evidence?

  • Has Ops/Adm/BA joined business forum against crime?

  • ATM/ADT Availability - is OPS data site open on BM and BA terminal?

  • Compliance & Skills Training - Check all areas and set deadlines for areas not 100%

  • Golden Rules Reporting site - Check if all GR's has been read and signed by all staff?

  • Confidential information - Spot check public areas to establish whether any confidential info is in view of clients (Screendumps, mandates ect.)

  • Check Notice Board for mandatory placements

  • Potential Loss - BA/BM to confirm that all potential lossed had been logged on Open Pages

  • Is a register maintained that staff has viewed CEO strategy broadcasts?

Sustainability Checklist - Business Sustainability

  • Ops/Adm/BA vacancies - has these been filled within 60 days?

  • Operations Scorecard Utilization - Spot check BA & Admin staff by asking them to access ATM/ADT availability.<br><br>

  • PEP Process - Is the Ops/Adm/BA on PEP plan?

  • SQA - Has the branch got an action plan in place for unacceptable areas?

Sign-off

  • 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

  • Ops Manager/Admin Manager/Branch Administrator Sign-off

  • Regional Operation Manager Sign-off

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