Operational Excellence Checklist

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 _________________

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?

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>

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.

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

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

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

  • 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)

  • GL Check Check the latest GL for possible problem areas

  • Guards

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

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

  • 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?

  • 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

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

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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