Your employees Other persons 6.4 Do you have areas which are restricted to authorised employees only? YES If YES, list the areas and describe how access is controlled NO 6.5 Are areas of your premises monitored by CCTV? YES If YES, specify which areas are monitored and disclose your policies for the retention of the NO recordings. 6.6 Describe your system of control for strong-rooms, safes, vaults or any other place you keep valuables. Section 7 Internal audit – 7.1 Do you have an internal department? YES (If not, what audit procedures are in place?) NO 7.2 Who authorises and carries out internal audits? 7.3 Are audits” made? YES “surprise NO 7.4 Are all areas of the business audited on a regular basis YES NO 7.5 Are the auditors authorised to originate entries? YES NO 7.6 When was the last internal audit carried out? 7.7 Are all recommendations from audits implemented within a reasonable time frame? YES NO Section 8 External audit – 8.1 Is your annual audit carried out by an independent firm of chartered accountants or YES professional auditors? NO 8.2 State their name 8.3 How long have your been audited by the firm?
Your employees Other persons 6.4 Do you have areas which are restricted to authorised employees only? If YES, list the areas and describe how access is controlled YES NO 6.5 Are areas of your premises monitored by CCTV? If YES, specify which areas are monitored and disclose your policies for the retention of the recordings. YES NO 6.6 Describe your system of control for strong-rooms, safes, vaults or any other place you keep valuables. Section 7 – Internal audit 7.1 Do you have an internal department? (If not, what audit procedures are in place?) YES NO 7.2 Who authorises and carries out internal audits? 7.3 Are “surprise audits” made? YES NO 7.4 Are all areas of the business audited on a regular basis YES NO 7.5 Are the auditors authorised to originate entries? YES NO 7.6 When was the last internal audit carried out? 7.7 Are all recommendations from audits implemented within a reasonable time frame? YES NO Section 8 – External audit 8.1 Is your annual audit carried out by an independent firm of chartered accountants or professional auditors? YES NO 8.2 State their name 8.3 How long have your been audited by the firm?
C3_Proposal_Form_Aug_2017.docx