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Evidence Guide: FNSSUP506 - Supervise and monitor operational guidelines in a superannuation organisation

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

 

FNSSUP506 - Supervise and monitor operational guidelines in a superannuation organisation

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

Identify organisation’s operational guidelines and practices

  1. Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards
  2. Identify operational procedures and practices that address compliance requirements
  3. Interpret and clarify performance measures and operational outcomes
Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify operational procedures and practices that address compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Interpret and clarify performance measures and operational outcomes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Supervise implementation of operational guidelines

  1. Identify key positions, personnel, job descriptions and authorities
  2. Measure and assess performance of staff, systems and resources in systematic way
  3. Arrange support to ensure operational guidelines are being implemented
  4. Regularly assess conformance of staff, systems and resources with operational guidelines
  5. Periodically review operational guidelines for effectiveness
  6. Identify and implement improvements to operational guidelines according to organisational requirements
Identify key positions, personnel, job descriptions and authorities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Measure and assess performance of staff, systems and resources in systematic way

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Arrange support to ensure operational guidelines are being implemented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Regularly assess conformance of staff, systems and resources with operational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Periodically review operational guidelines for effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and implement improvements to operational guidelines according to organisational requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Distribute information on operational guidelines to staff

  1. Distribute operational guidelines to all relevant staff
  2. Distribute updates and amendments as required
  3. Receive feedback and interpretation requests, and respond according to organisational guidelines
  4. Provide briefings for new staff on guidelines as part of induction procedures
  5. Communicate sections of guidelines relevant to clients, including client rights, performance standards and complaint procedures, to clients and display where appropriate
Distribute operational guidelines to all relevant staff

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Distribute updates and amendments as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Receive feedback and interpretation requests, and respond according to organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide briefings for new staff on guidelines as part of 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:

 

 

 

 

 

 

 

Monitor operational procedures and guidelines

  1. Monitor client service to ensure operational guidelines are being implemented effectively and service standards are being met
  2. Periodically assess performance of staff, systems and resources against organisational guidelines and objectives
  3. Manage documentation on supervision and monitoring of operational guidelines
  4. Regularly monitor implementation of operational guidelines for compliance with relevant legislation and codes of practice
  5. Identify breaches of guidelines and counsel staff where required
Monitor client service to ensure operational guidelines are being implemented effectively and service standards are being met

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Periodically assess performance of staff, systems and resources against organisational guidelines and objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Manage documentation on supervision and monitoring of operational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Regularly monitor implementation of operational guidelines for compliance with relevant legislation and codes of practice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify breaches of guidelines and counsel staff where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify organisation’s operational guidelines and practices

  1. Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards
  2. Identify operational procedures and practices that address compliance requirements
  3. Interpret and clarify performance measures and operational outcomes
Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify operational procedures and practices that address compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Interpret and clarify performance measures and operational outcomes

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. Identify organisation’s operational guidelines and practices

1.1 Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards

1.2 Identify operational procedures and practices that address compliance requirements

1.3 Interpret and clarify performance measures and operational outcomes

2. Supervise implementation of operational guidelines

2.1 Identify key positions, personnel, job descriptions and authorities

2.2 Measure and assess performance of staff, systems and resources in systematic way

2.3 Arrange support to ensure operational guidelines are being implemented

2.4 Regularly assess conformance of staff, systems and resources with operational guidelines

2.5 Periodically review operational guidelines for effectiveness

2.6 Identify and implement improvements to operational guidelines according to organisational requirements

3. Distribute information on operational guidelines to staff

3.1 Distribute operational guidelines to all relevant staff

3.2 Distribute updates and amendments as required

3.3 Receive feedback and interpretation requests, and respond according to organisational guidelines

3.4 Provide briefings for new staff on guidelines as part of induction procedures

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

4. Monitor operational procedures and guidelines

4.1 Monitor client service to ensure operational guidelines are being implemented effectively and service standards are being met

4.2 Periodically assess performance of staff, systems and resources against organisational guidelines and objectives

4.3 Manage documentation on supervision and monitoring of operational guidelines

4.4 Regularly monitor implementation of operational guidelines for compliance with relevant legislation and codes of practice

4.5 Identify breaches of guidelines and counsel staff where required

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. Identify organisation’s operational guidelines and practices

1.1 Review organisation’s operational guidelines and procedures, and identify links to industry codes of practice and ethical standards

1.2 Identify operational procedures and practices that address compliance requirements

1.3 Interpret and clarify performance measures and operational outcomes

2. Supervise implementation of operational guidelines

2.1 Identify key positions, personnel, job descriptions and authorities

2.2 Measure and assess performance of staff, systems and resources in systematic way

2.3 Arrange support to ensure operational guidelines are being implemented

2.4 Regularly assess conformance of staff, systems and resources with operational guidelines

2.5 Periodically review operational guidelines for effectiveness

2.6 Identify and implement improvements to operational guidelines according to organisational requirements

3. Distribute information on operational guidelines to staff

3.1 Distribute operational guidelines to all relevant staff

3.2 Distribute updates and amendments as required

3.3 Receive feedback and interpretation requests, and respond according to organisational guidelines

3.4 Provide briefings for new staff on guidelines as part of induction procedures

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

4. Monitor operational procedures and guidelines

4.1 Monitor client service to ensure operational guidelines are being implemented effectively and service standards are being met

4.2 Periodically assess performance of staff, systems and resources against organisational guidelines and objectives

4.3 Manage documentation on supervision and monitoring of operational guidelines

4.4 Regularly monitor implementation of operational guidelines for compliance with relevant legislation and codes of practice

4.5 Identify breaches of guidelines and counsel staff where required

Evidence of the ability to:

monitor operational procedures and guidelines against organisational objectives, and relevant legislation and codes of practice

brief staff about operational guidelines and counsel when breaches are identified

identify and address factors which may affect performance of staff, systems and/or resources

evaluate staff conformance against fund requirements and operational guidelines, and make recommendations as required

implement and monitor performance measurement systems.

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 key features of the organisation’s operational guidelines relating to management of superannuation, including service standards and performance measures

identify and outline organisational systems and resource requirements

describe the key features of relevant industry Acts, regulations and codes of practice

outline the key aspects of the following organisational requirements:

administrative processes and systems

marketing and advertising processes

documentation systems, including registry and library processes

human resource procedures

identify and describe office information technology systems, and support resources and mechanisms

explain the obligations of privacy legislation

outline fraud deterrence practices.