Professional Documents
Culture Documents
AL BranchTakeover
AL BranchTakeover
FOR
BRANCH MANAGERS
• Administration
• Security
• Cash Control
• Accounting
• Banking Services
• Lending Activities
ACTIVITY OBSERVATIONS/ACTION
1. Review list of employees and meet all personnel. Review LFS
(Learning for Success) status for subordinates. Obtain and
review last Area Employee Opinion survey.
ACTIVITY OBSERVATIONS/ACTION
1. Complete full take-over of safekeeping/collateral and securities,
i.e. engraved forms, traveler’s cheques, etc. Update Form 552 -
Register of Combinations and Custodians. (Policies &
Procedures: Protective Custody, #810-01, Overview)
8. Verify if booklet has been circulated for annual review for Safety
and Security Matters. Ensure staff is aware of emergency
procedures, i.e. robberies, fire, vault escape and that the vault is
properly equipped.
ACTIVITY OBSERVATIONS/ACTION
1. Review procedures for Treasury/Sub-Treasury/Modified Treasury
(710-9) and ABM Cash Custody (Policies & Procedures: InstaBank,
#420-49, Cash Handling and Processing). Assess Branch Cash
Target (Policies & Procedures: Cash Holding Targets and Limits,
#710-15, Cash Holding Target).
6. Ensure spot checks of drawer limits in place and that limits are
adhered to (Policies & Procedures: Cash Holding Targets and Limits,
#710-15, Drawer Cash Holding Limits).
ACTIVITY OBSERVATIONS/ACTION
1. Verify Report 063 – List of Unclaimed Balances, Report 223 –
Dormant Fee Report are held in Multiple Custody. Review and
ensure 2/5-yr. notices Unclaimed Balance Refunds and Report
651- Dormant CTIs is in joint custody. (Topics 420-50, 505-01,
and 210-12).
Policies & Procedures: Dormant / Inactive Accounts, #420-50,
Reports
Policies & Procedures: Centralized Transit Items, #505-01,
Reports
Policies & Procedures: Unclaimed Balances and Items, #210-12,
For Bank Use
ACTIVITY OBSERVATIONS/ACTION
1. Review outstanding problems, letters, and projects including non-
credit litigation. Review Topic 420-19 Customer Service
Request/Problem Resolution and determine if practices are in
place. Review the branch Customer Service Commitment file to
determine the type of customer concerns and follow up activities.
Policies & Procedures: Customer Service Request / Problem
Resolution, #420-19, Branch Procedure
ACTIVITY OBSERVATIONS/ACTION
1. Ensure previous Manager’s CCAPS User ID # has been
amended or deleted (Form 3996BL) and add/amend/delete
other CCAPS user ID’s in the branch, as required (CAP
0302-01).