Dual Control 

• Audits are conducted under dual control by the Internal Control Specialist (ICS), Lead Teller (LT), Client Experience Manager (CXM/CXMII), or a designated associate when applicable.

• Spare and/or unassigned teller drawers are audited under dual control with the auditor and another associate.

Associate Requirement

• Each audit should be performed with the associate assigned to the drawer being audited.

• In certain circumstances, cash audits may be conducted in the absence of the associate assigned to the drawer being audited, but will always be conducted under dual control.

Audit Process Requirement 

• When an associate is approached for an audit they are not allowed to leave the assigned drawer for any reason until the audit is completed.

• An associate must observe as the cash in the assigned drawer is being counted.

• The associate is not allowed to talk on the phone or to other associates during an audit.