Operational Excellence Checklist Coral

• Branch Photo

  Media

• Branch Name

• Cost Centre Number

• Location
  Address

• Authorized Staff Assessment

• Current Staff Assessment

• Comments on current staff assessment

• Prepared by

• Conducted on

  Date

• Document No.

Operational Scorecard and Dashboard Measures.

• Each measure less than 3.5 to be discussed in detail providing management with guidance on triggers to close variances, identify barriers and potential leakage. Important to check penalty charges <br>Month________________Score _________________

  All in Order

  Adverse Finding

  N/A

  Not Checked

Audit Checks - Audit / Process & Risk Reviews

• IBMM and Cross Branch action plans to be discussed and spot checks done to ensure that management are following procedures and corrective plans are agreed upon.<br>Has the Ops manager/ BA reviewed the last RR in the last 3 months <br><br>Score_________Date completed _________________________ Action plan in place____________________<br><br>Have DA taken been for areas of concern or repeat findings?

  All in Order

  Adverse Finding

  N/A

  Not Checked

General Branch Management

• Checks to be conducted on general management areas such as :<br>- If OM/BA is newly appointed has COT been completed<br>- Branch Hygiene (including record room)<br>- Infrastructure and maintenance issues<br>- Are external signage in working order and clean<br>- Daily stats on Cash opportunity, ADT/ATM availability, Device Differences, Tellers Differences displayed and up to date <br>

  All in Order

  Adverse Finding

  N/A

  Not Checked

Process Checks - Loss & Fraud Prevention

• Call for latest cash check documents & check to ensure that cash control is effective. Call for latest Cash Optimization figures and call for action plan if % is out of line.

  All in Order

  Adverse Finding

  N/A

  Not Checked

• Check key and combination control against latest cash takeover.<br>

  All in Order

  Adverse Finding

  N/A

  Not Checked

• Golden Rules/i4G site - Check if all GR's have been read and signed by all staff?

  All in Order

  Adverse Finding

  N/A

  Not Checked

• Potential Loss - Ops/BA/BM to confirm that all potential lossed had been logged on Open Pages.<br>Details:

  All in Order

  Adverse Finding

  N/A

  Not Checked

• 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 (positive response to question if listed)

  Select All appears in order

  • All appears in order

• GL Check Check the latest GL for possible problem areas

  Select Is the GL in balance? Are there rolling balances on suspense acc? Are telephone, stationery, 3G costs within acceptable limits? All in order

  • Is the GL in balance?
  • Are there rolling balances on suspense acc?
  • Are telephone, stationery, 3G costs within acceptable limits?
  • All in order

• Guards

  Select Guard not on duty Does not have company cell phone or radio Does not appear vigilant CCTV footage viewed All requirements in place

  • Guard not on duty
  • Does not have company cell phone or radio
  • Does not appear vigilant
  • CCTV footage viewed
  • All requirements in place

• Discuss COC declarations, CID and WASP<br>WASP Exceptions in the last quarter ______________<br>CID : Score ________. Date _______________

  All in Order

  Adverse Finding

  N/A

  Not Checked

Sustainability Checklist - Business Sustainability

• Migration <br>- (1) Migration - Deposit/withdrawal stats <br>- (2) # of devices<br>- (3) Does the branch have a dedicated custodian?<br>- (4) eBanker in place ?<br>- (5) Action plan to drive migration

  All in Order

  Adverse Finding

  N/A

  Not Checked

• WOW <br>- (1) WOW score _________Month _______<br>- (2) Number of high priority compliments/complaints since last visit<br>- (3) Training/ management issues identified<br>- (4) Branch Model?<br>- (5) Does branch require smalls/changes?

  All in Order

  Adverse Finding

  N/A

  Not Checked

• Capacity <br>- (1) Check capacity against headcount<br>- (2) Number of vacancies <br>- (3) If any how long has these vacant ?<br>- (4) Action plan to address by HRBP

  All in Order

  Adverse Finding

  N/A

  Not Checked

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

  All in Order

  Adverse Finding

  N/A

  Not Checked

• 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

  Sign

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

  Sign

• Regional Operation Manager Sign-off

  Sign