Checks and Balances

This term comes from political science. Simply put, it prevents one of the three branches of our government from having too much power or stepping out of line. The concept can be applied to businesses in order to discourage improper behavior and reduce mistakes.

Long-term and trusted employees are behind many US cases of theft for millions of dollars. Stealing from the business slowly over an extended period of time will surely add up. Don't assume that because your employees have been with you for a long time, they can't be up to anything.

Having checks and balances should not be a secret. The goal is not to surprise and trap a bad employee, but to encourage staff to stay honest. If people are aware that their actions are monitored, there is an incentive not to cheat. An employee should not be able to alter records without someone else noticing. Also by having proper checks and balances in place it makes it difficult for a thief to succeed.

Here are some different examples of employee theft and how you can deter them:

  • Financial (checks, cash, credit cards, payments, etc…)

    • Separation of duties: One person enters transactions, another person reconciles

    • Utilize an outside party to review your finances on a regular basis

    • Have a proper accounting system in place, random audits

  • Supply (merchandise, inventory, office supplies, etc…)

    • Separation of duties: One person orders materials, another person allocates

    • Have a proper inventory system in place, installing a security system

  • Time (mainly for hourly workers)

    • Separation of duties: One person enters changes/updates, another person approves it

    • Have a time clock system, ideally one that utilizes biometrics like fingerprints


 
Power must never be trusted without a check.
— John Adams
 
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