Process Customer Requests for Chequebooks, Counter Cheques and Bank Cheques

Unit Standard SAQA 7333 – Process customer requests for chequebooks, counter cheques and bank cheques.

LEARNER ASSESSMENT PACK

Process customer requests for chequebooks, counter cheques and bank cheques

(7333)

NAME:

ORGANISATION:

COURSE NO:

RPL:

INDEX

Page No

Instructions to Learner1

Assignment: Assessment Questionnaire4

Declaration of Authenticity18

Version 4 -–July 2005

Unit Standard SAQA 7333 – Process customer requests for chequebooks, counter cheques and bank cheques.

INSTRUCTIONS TO LEARNER

Purpose of the Assessment:

/ The purpose of assessment against this unit standard is to
award credits on the NQF to learners who are able to:

Issue and order customer chequebooks, issue counter cheques and process bank cheque applications

Context of the Unit Standard

This unit standard is registered on the National Qualifications Framework as follows:

Field: / Business, Commerce and Management Studies
Sub-field: / Finance, Economics and Accounting
Number: / 7133
Level: / Level 5
Credits: / 5

Learning Assumptions:

/ None

Assessment Methods:

/ The following assessment methods will be used for this assessment:

Questioning - Q
Observation - O
Product Sample – PS
Testimony - T

Assessment Process:

/ Step 1 – Planning for the Assessment
-You will need to complete an assessment plan together with your assessor/line supervisor
-Your assessor will prepare you for your assessment and complete the assessment preparation plan with you
-Ensure you are familiar with what is expected of you for this assessment and the unit standard

Assessment Process (Cont):

/ Step 2 – Completing the Assessment
-This assessment will be completed by means of a Questionnaire detailed on page 4, Observation on page on 14 and Product Sample on page 15.
-Hand in the questionnaire fully completed as per the instructions by the date agreed on the assessment plan
-Your assessor may ask you additional questions
-Your assessor will record the evidence that you have submitted onto the assessment guide
-Based on this evidence, the assessor will make a judgement of 'Competent' or 'Not Yet Competent' or 'Not Assessed' for each assessment criteria and overall for the total unit standard
Step 3 – After the Assessment
-If 'Not Assessed' you and the assessor will agree on the criteria not assessed and arrange an additional assessment date
-If 'Not Yet Competent' you and the assessor will identify why this judgement has been made and the action/s necessary. A re-assessment date should also be agreed upon
-All decisions will be recorded on the assessment guide, which all parties should sign
-You will only be declared 'Competent' if you have provided sufficient and valid evidence against all the assessment criteria and specific outcomes of this unit standard
-After declaration of competence, your assessment is subject to the internal moderation process
-Once this is complete, your results will be entered onto SAQA's NLRD – National Learner Record Database

Special Conditions:

/ -The declaration of authenticity on page 18 must be signed by your manager, your assessor and yourself to certify that the evidence is authentic and that this has been applied in your workplace
-Feedback on your assessment will be given to you by your Line Manager/Assessor

Resources:

/ The following additional/supporting resources will help you when preparing for your assessment:

Resource

/ Reference / Available From
Access to relevant computer systems
Access to staff training guides and other process guidelines
Access to policies and procedures
Access to the Code of the Banking Practice

Version 4 -–July 2005

Unit Standard SAQA 7333 – Process customer requests for chequebooks, counter cheques and bank cheques.

Section 1: QUESTIONING

Introduction:

The following questions comprise the Knowledge Assessment for Unit Standard 7333. They represent the theoretical component of the evaluation and they test your understanding of the different work activities. You must answer all the questions in full and write in the spaces provided. The mark allocation is a guide to the number of factors being evaluated per question.

As the learner, you must:

Write all your answers in the space below the questions.
Ensure that you have answered all the questions.
Ensure that you have answered the questions in full.

QUESTIONNAIRE

SPECIFIC OUTCOME1: Order and issue customer chequebooks.

Question 1:Provide two reasons as to why you would positively identify the customer and verify the customer’s signature against bank records on the requisition form for a chequebook, and on the voucher/cheque when the customer requests a bank cheque or a counter cheque.

______

(2)

Question 2:Provide the steps as to how you would positively identify a customer when an unknown customer hands in an application for a chequebook/bank cheque/ counter cheque.

______

(3)

QUESTIONNAIRE (Continued)

SPECIFIC OUTCOME1: Order and issue customer chequebooks. (continued)

Question 3:Provide the steps to follow when a chequebook application is handed in by an unknown customer and the chequebook issued.

______

(5)

Question 4:Provide the steps to follow when an application is handed in by a known customer and the chequebook issued.

______

(4)

Question 5:What action must you take when you are in doubt about the customer’s identity?

______

(1)

QUESTIONNAIRE (Continued)

SPECIFIC OUTCOME1: Order and issue customer chequebooks. (continued)

Question 6:Provide two methods of instruction that may be accepted from a customer when requesting a chequebook

______

(2)

When will telephone applications be permitted and who has to handle the application?

______

(2)

Question 7:To whom may chequebooks be issued?

______

(2)

Question 8:Where chequebooks are sealed before being dispatched to branches, the seal is to be removed by the customer, (upon collection of the chequebook- with the exception of collection by third parties) to ensure that certain details are correct. Provide 4 examples of what details the customer is to confirm as being correct when collecting the chequebook.

______

(4)

QUESTIONNAIRE (Continued)

SPECIFIC OUTCOME1: Order and issue customer chequebooks. (continued)

Question 9:What is the procedure when an employee in the capacity of, for example, a private banker/ relationship manager/account executive is required to collect a chequebook on the customer’s behalf?

______

(1)

Question 10:Provide the steps to be taken when the bank employee e.g. private banker/relationship manager/account executive does not have a signed application from the customer.

______

(4)

Question 11:What must the employee e.g. private banker/relationship manager/account executive and the branch do if the customer does not sign the application?

______

(2)

QUESTIONNAIRE (Continued)

SPECIFIC OUTCOME1: Order and issue customer chequebooks. (continued)

Question 12:Outline the steps when issuing the chequebook to the customer at the branch.

______

(3)

Question 13:What are the rules when issuing a chequebook to a third party at the home-branch and the away-branch and if it is necessary to contact the customer where must the employee obtain the customer’s telephone number?

______

(2)

From whom and from what source may you not obtain the telephone number?

______

(1)

Question 14:Provide the steps when issuing a chequebook to a third party

______

(5)

For away- branch collection by a third party what must the employee do before handing up the chequebook to the presenter?

______

(1)

Question 15:When there is doubt about the collection of the chequebook by a third party and you are required to contact the customer, where would you record the confirmation and what details are recorded?

______

(1)

Question 16:Where the employee is unable to obtain confirmation from the customer when handing up a chequebook to a third party at an away-branch, what is the procedure?

______

(1)

Question 17:What are the next steps in the process of issuing the chequebook to a third party?

______

(2)

Question 18:When dispatching a chequebook to a customer by mail or delivery what is the requirement?

______

(1)

Question 19:What are the steps when issuing a chequebook to an away- branch on a once-off basis?

______

(4)

Question 20:When required to forward a chequebook to an away branch on an on-going basis what are the steps?

______

(3)

Question 21:Provide the steps in the identification process when the away branch issues a chequebook to a customer?

______

(3)

Question 22:Provide the steps when an away branch issues a chequebook to a customer.

______

(6)

Question 23:When is a chequebook ordered for a customer in accordance with company specific requirements?

______

(2)

Question 24:How are chequebooks ordered?

______

(1)

Question 25:Where are chequebooks that have been issued recorded and charged for?

______

(2)

Question 26:What is a counter cheque, to whom may a counter cheque be issued and who may authorise the issuance of a counter cheque?

______

(3)

Question 27:Provide the reasons as to why the customer would request the bank to issue a counter cheque.

______

(2)

Question 28:When would a counter cheque be personalised in accordance with company specific requirements?

______

(1)

Question 29:How may current account customers apply to issue a bank cheque?

______

(2)

Question 30:If application from a current account customer is made by letter, who is required to telephone the customer to verify the instruction?

______

(1)

Question 31:What is the maximum amount for which a bank cheque may be issued?

______

(1)

Question 32:When may bank cheques be stopped?

______

(2)

Question 33:Provide the steps when positively identifying the customer who is requesting a bank cheque in person.

______

(3)

Question 34:If the application is made by a customer who has a savings account and the bank cheque requested is to be made in favour of a third party, what is the requirement?

______

(1)

Question 35:Provide the steps when issuing the bank cheque on behalf of a customer and in accordance with customer and the bank’s specific requirements.

______

(7)

Question 36:What entries are prepared/electronically generated in accordance with company/ bank specific requirements?

______

(3)

TOTAL FOR SECTION 1(For Assessor Use Only) / 96

Section 2: OBSERVATION

Introduction

The Observation Assessment represents the physical gathering of information in the workplace. In this section, your assessor will observe and evaluate you completing actual work tasks. These tasks correspond with the Unit Standard requirements and should be performed at your workstation or within your familiar working environment. The assessor will complete a checklist for each action and allocate a tick or cross in the space provided indicating whether you have successfully completed the task/s or not. You will be assessed only once per assessment criterion.

(For Assessor Use Only)

SECTION 2: OBSERVATION ASSESSMENT

QUESTION NO / DID THE LEARNER / √ / X
SPECIFIC OUTCOME 2: Issue counter cheques
1 / Establish through discussion with the customer the customer’s specific requirements, including any request for the counter cheque(s) to be personalised in accordance with the company specific requirements
2 / Prior to issuing/authorising the counter cheque(s) apply company specific risk evaluation and procedures.
3. / Deal with the client in a polite manner, and in such a way to ensure that the customer’s requirements are met to the customer’s satisfaction?
The learner must achieve a tick in ALL of the questions in order to be rated at COMPETENT / C / NYC
RESULT FOR SECTION 2 (For Assessor Use Only)

Section 3:Product Sample

Introduction:

The Product Sample represents physical evidence or proof of work completed. You will be required to submit actual evidence of work completed in full. This evidence provides your assessor with material proof of you having completed certain work activities required for this assessment. In some cases it may be a system generated print-out or a customer’s statement or a copy of an ID document, in others it may be a number of documents that would normally be collected as proof of a work task completed for filing or data capturing.

(For Assessor Use Only)

SECTION 3: PRODUCT SAMPLE CHECKLIST

QUESTION NO / DID THE LEARNER / √ / X
SPECIFIC OUTCOME 2: Issue counter cheques.
1.
1.
(cont.) / If the supervisor is also the assessor, all the collected/ completed/ signed/verified documentation relating to the transaction(s) is submitted as part of the portfolio of evidence for assessment.
Ensure that the requirements outlined in A) and B) below are fulfilled.
If the supervisor is not the assessor then the supervisor is to provide the employee with a signed letter confirming that the relevant transaction(s)/ document(s) submitted with the portfolio of evidence are correctly completed, signed and verified and that the requirements of A) and B) below have been met.
The letter should accompany the documents and be included in the portfolio of evidence.
A)The listed documents include, where applicable, copies of:

The customer’s request for a counter cheque if this was made in writing
The customers identification document
The bank record(s) that reflect the customer’s identification number and photograph, if held
A copy of the front and back of the signed, authorised counter cheque, prior to encashment
A copy of the processed cheque after encashment, together with the control report bearing the signature of the employee responsible for checking counter cheques and other non-MICR vouchers, after such vouchers have been processed
All other relevant documentation relating to the entries, together with the customer mandate file/signature card, or relevant specimen signature document

Printouts from the system/ file, as evidence of notes made, and/or capture details, funds deposited etc.
Any written advices/notes from the customer or other member of staff/supervisor/team leader that relates to this specific transaction(s).

B) That the transactions/ documents were correctly completed, signed and verified, where necessary, in accordance with:

Bank policy/ procedures/ guidelines and processes.
The Code of Banking practice.
Other current legislation.

The learner must achieve a tick in ALL of the questions to be rated at COMPETENT / C / NYC
RESULT FOR SECTION 3(For Assessor Use Only)
ASSESSOR COMMENTS:
ASSESSOR SIGNATURE: DATE:

DECLARATION OF AUTHENTICITY

We the undersigned hereby declare that ______has completed all of the specified requirements for assessment against this unit standard.

SIGNED:______

LEARNER:______

DESIGNATION:______

DATE:______

SIGNED:______

LINE SUPERVISOR:______

DESIGNATION:______

DATE:______

SIGNED:______

ASSESSOR:______

DESIGNATION:______

DATE:______

Version 4 -–July 2005