Assessor Resource

FNSICCUS301B
Respond to customer enquiries

Assessment tool

Version 1.0
Issue Date: April 2024


This unit requires the application of communication skills to responding appropriately to enquiries about financial products or services. The enquiries may be face to face or be made by phone, by email or by letter or other means. The response should satisfy the customers needs and aim to provide a basis for an ongoing relationship. It may be applied in any sector of the financial services industry.

This unit requires the application of communication skills to responding appropriately to enquiries about financial products or services. The enquiries may be face to face or be made by phone, by email or by letter or other means. The response should satisfy the customers needs and aim to provide a basis for an ongoing relationship. It may be applied in any sector of the financial services industry.

This unit covers the skills and knowledge to respond to customer enquiries about financial products or services

This unit covers the skills and knowledge to respond to customer enquiries about financial products or services

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.

Employability Skills

The required outcomes described in this unit of competency contain applicable facets of employability skills. The Employability Skills Summary for the qualification in which this unit of competency is packaged, will assist in identifying employability skills requirements.

The required outcomes described in this unit of competency contain applicable facets of employability skills. The Employability Skills Summary for the qualification in which this unit of competency is packaged, will assist in identifying employability skills requirements.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

EVIDENCE GUIDE

Assessment of performance requirements in the unit should be undertaken in an industry context. The Evidence Guide identifies the critical aspects, knowledge and skills to be demonstrated to confirm competency for the unit. Competency is demonstrated by performance of all stated criteria including the Range Statement applicable to the workplace.

Overview of assessment requirements

To achieve competency in this unit, a person must be able to demonstrate:

responses to a range of enquiries that satisfy the customer's needs and achieve the company outcomes

consideration of, and adaptation to, any special needs of customers, including cultural, language, race, religion, ethnic origin, socio-economic status and demographic needs

Critical aspects of evidence

Evidence required for demonstration of consistent performance:

Competence in this unit must be assessed over a period of time in order to ensure consistency of performance over the Range Statement and contexts applicable to the work environment.

Delivery/assessment relationship to other units:

This unit may be assessed on its own or it may be assessed with other units that cover related skills and knowledge.

Evidence is most relevant when provided through an integrated activity which combines the elements of competency for the unit, or a cluster of units of competency.

Assessment requirements

Method of assessment:

For valid and reliable assessment of this unit, evidence should be gathered through a range of methods to indicate consistent performance.

Assessment of this unit of competence will usually include observation of processes and procedures, oral and/or written questioning on underpinning knowledge and skills and other methods as required.

Context of assessment:

This unit may be assessed in the workplace or in a simulated environment.

Resources required for assessment:

Assessment of this unit of competence requires access to some record keeping process and/or technology.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

REQUIRED KNOWLEDGE&SKILLS

Knowledge requirements include:

company policy, procedures and requirements

financial strategies and solutions suitable for customer situations and profiles

product/policy terms and conditions

relevant legislation and industry

dispute resolution process

conflict resolution process

customer service process

privacy and confidentiality legislation and requirements

Skills requirements include:

interpersonal

listening

letter writing

analysis of data

using telephone or computer technology, especially databases to record customer enquiries, information and response

The Range Statement relates to the unit of competency as a whole. It allows for different work environments and situations that will affect performance.

The following variables may be present with training and assessment depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts. If bold italicised text is shown in Performance Criteria, details of the text are provided in the Range Statement.

Scope of responsibility or authority area may include:

job description or accountability area

in accordance with PS 146 - training of financial product advisers

relevant legislation

Nature of the enquiry may include:

initial enquiry about a product or service

enquiry about ongoing use of a product or services

complaint about an error

request for new product or service

claim against a policy

Customer details may include:

name, address and contact details

financial details

policy/plan number

employer

account number

Sources of information may include:

company records

credit reference organisation

past history with the organisation or other organisations

organisations policy and procedures manuals

legislation

Checks and/or follow-up may include:

follow-up phone call, email or letter

verbal approval from customer

Consideration should be paid to customers special needs which may include:

culture

language

race

religion

ethnic origin

socio-economic status

age, sex

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
The nature of the enquiry is clarified and all details obtained 
A decision on whether the enquiry is within the scope of responsibility or authority area is confirmed 
A decision on whether the enquiry can be satisfied immediately or whether further investigation is needed is made and customer is informed 
If the enquiry can be answered directly, a response in accordance with organisational procedures is provided 
If further investigation is required, the reason is explained to the customer and a timeframe is agreed upon for follow-up 
Customer details are obtained 
Sources of information are identified so that an appropriate response can be provided within authority levels 
Information is obtained, organised and analysed to provide an accurate and satisfactory response 
Response is prepared in line with organisational procedures, guidelines and authorities and within accepted timeframe 
Response is comprehensive, clear and delivered in the most appropriate form (oral, written) and within the agreed upon timeframe 
Written or oral responses are given in clear, simple, and easy to understand language 
Customer is treated courteously and an ongoing relationship is encouraged 
Any further queries from the customer are attended to promptly 
Checks and/or follow-up are undertaken to ensure that the response satisfies the customer's needs 
Information on the nature and frequency of enquiries is collected for evaluation 
Details of the enquiry are recorded as required by organisational procedures 

Forms

Assessment Cover Sheet

FNSICCUS301B - Respond to customer enquiries
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

FNSICCUS301B - Respond to customer enquiries

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: