Operational excellence checklist
Regional operations manager checklist
What does this form include?
This form contains 10 sections:
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.
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.
- 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.
- PEP Process - Is the Ops/Adm/BA on PEP plan?
- SQA - Has the branch got an action plan in place for unacceptable areas?
I hereby acknowledge the content of the report. I confirm that no information was withheld that could
Branch Manager/Associate Sign-off
Ops Manager/Admin Manager/Branch Administrator Sign-off
Regional Operation Manager Sign-off
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