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Evidence Guide: FNSPRM604 - Prepare, supervise and monitor application of practice guidelines

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

FNSPRM604 - Prepare, supervise and monitor application of practice guidelines

What evidence can you provide to prove your understanding of each of the following citeria?

Establish scope of the practice

  1. Identify scope of practice or business unit, including any service specialisations and restrictions, and document in organisational guidelines
  2. Identify, define and document key external relationships and intended client groups in organisational guidelines
Identify scope of practice or business unit, including any service specialisations and restrictions, and document in organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, define and document key external relationships and intended client groups in organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify legislation, regulations and codes of practice relevant to the practice

  1. Match scope of practice to legislation, regulations and codes of practice, and identify required compliance issues and procedures
  2. Confirm compliance issues, ethical procedures and standards for practice and incorporate into practice guidelines
Match scope of practice to legislation, regulations and codes of practice, and identify required compliance issues and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm compliance issues, ethical procedures and standards for practice and incorporate into practice guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish strategies for delivery of services

  1. Establish key positions, personnel, job descriptions and authorities for practice and document in organisational guidelines
  2. Establish administrative procedures, including information flow requirements and internal and external resources available to assist in delivery of services to clients, and document in organisational guidelines
Establish key positions, personnel, job descriptions and authorities for practice and document in organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish administrative procedures, including information flow requirements and internal and external resources available to assist in delivery of services to clients, and document in organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Arrange for distribution of information on organisational guidelines

  1. Finalise organisational guidelines and distribute to all staff, with mechanisms for distributing updates and amendments established
  2. Establish opportunities for feedback and interpretation requests, and include briefings for new staff on guidelines in induction procedures
  3. Communicate sections of guidelines relevant to clients, including client rights, performance standards and complaint procedures, to clients and display where appropriate
Finalise organisational guidelines and distribute to all staff, with mechanisms for distributing updates and amendments established

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish opportunities for feedback and interpretation requests, and include briefings for new staff on guidelines in induction procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate sections of guidelines relevant to clients, including client rights, performance standards and complaint procedures, to clients and display where appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement and monitor operational procedures and guidelines

  1. Establish client service to meet requirements in organisational guidelines
  2. Establish reporting and monitoring procedures, identify any breaches of guidelines and take corrective action
Establish client service to meet requirements in organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish reporting and monitoring procedures, identify any breaches of guidelines and take corrective action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Establish scope of the practice

1.1 Identify scope of practice or business unit, including any service specialisations and restrictions, and document in organisational guidelines

1.2 Identify, define and document key external relationships and intended client groups in organisational guidelines

2. Identify legislation, regulations and codes of practice relevant to the practice

2.1 Match scope of practice to legislation, regulations and codes of practice, and identify required compliance issues and procedures

2.2 Confirm compliance issues, ethical procedures and standards for practice and incorporate into practice guidelines

3. Establish strategies for delivery of services

3.1 Establish key positions, personnel, job descriptions and authorities for practice and document in organisational guidelines

3.2 Establish administrative procedures, including information flow requirements and internal and external resources available to assist in delivery of services to clients, and document in organisational guidelines

4. Arrange for distribution of information on organisational guidelines

4.1 Finalise organisational guidelines and distribute to all staff, with mechanisms for distributing updates and amendments established

4.2 Establish opportunities for feedback and interpretation requests, and include briefings for new staff on guidelines in induction procedures

4.3 Communicate sections of guidelines relevant to clients, including client rights, performance standards and complaint procedures, to clients and display where appropriate

5. Implement and monitor operational procedures and guidelines

5.1 Establish client service to meet requirements in organisational guidelines

5.2 Establish reporting and monitoring procedures, identify any breaches of guidelines and take corrective action

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Establish scope of the practice

1.1 Identify scope of practice or business unit, including any service specialisations and restrictions, and document in organisational guidelines

1.2 Identify, define and document key external relationships and intended client groups in organisational guidelines

2. Identify legislation, regulations and codes of practice relevant to the practice

2.1 Match scope of practice to legislation, regulations and codes of practice, and identify required compliance issues and procedures

2.2 Confirm compliance issues, ethical procedures and standards for practice and incorporate into practice guidelines

3. Establish strategies for delivery of services

3.1 Establish key positions, personnel, job descriptions and authorities for practice and document in organisational guidelines

3.2 Establish administrative procedures, including information flow requirements and internal and external resources available to assist in delivery of services to clients, and document in organisational guidelines

4. Arrange for distribution of information on organisational guidelines

4.1 Finalise organisational guidelines and distribute to all staff, with mechanisms for distributing updates and amendments established

4.2 Establish opportunities for feedback and interpretation requests, and include briefings for new staff on guidelines in induction procedures

4.3 Communicate sections of guidelines relevant to clients, including client rights, performance standards and complaint procedures, to clients and display where appropriate

5. Implement and monitor operational procedures and guidelines

5.1 Establish client service to meet requirements in organisational guidelines

5.2 Establish reporting and monitoring procedures, identify any breaches of guidelines and take corrective action

Evidence of the ability to:

implement organisational guidelines in a practice or business unit, providing professional services by establishing and documenting:

scope of service delivery and compliance requirements

administrative procedures, including information flow requirements to support delivery of client service

key positions, personnel, job descriptions and authorities within an organisation

communicate key operational information to staff and clients

implement and monitor operational guidelines and procedures.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

To complete the unit requirements safely and effectively, the individual must:

describe the financial practice administrative processes and systems

identify and describe factors which may affect practice and client service performance

discuss the integrity of information sourced from a wide range of available information sources

outline strategies to attain information not readily available within a practice

outline and evaluate the key features of:

financial practice documentation systems, including registry and library processes

financial products, and their characteristics and risk profile

human resource procedures

business development, marketing and advertising processes for the purposes of monitoring outcomes of the practice

compare and contrast project management processes and techniques

describe the compliance issues and standards that the practice needs to adhere to, including:

relevant legislation and regulations

codes of practice and ethical requirements

outline the key features of office information technology systems and software relevant to the practice

describe client rights, performance standards and complaint procedures required to be made known to the client and adhered to by the practice.