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1.1 Staff Monitoring Form 

EMPLOYEE NAME: DATE:
AUDITOR NAME: AUDIT TYPE: (e.g. account, call, email etc.)
INTRODUCTION YES NO N/A NOTES
Status disclosure provided?
Full company name disclosed?
Nature of business/contact given?
Full employee name provided?
Script prompts followed?
INFORMATION & ADVICE YES NO N/A NOTES
Advice/information transparent, clear and not misleading?
Sufficient information gathered to assess customer’s needs?
Services and fees explained and transparent?
Advantages, disadvantages and risks discussed?
Appropriate products/services offered?
AFFORDABILITY & SUITABILITY YES NO N/A NOTES
Affordability Assessment completed?
Future financial situation & obligations considered?
Disposable income obtained?
Service/product tailored to customer’s needs and affordability?
Suitable options offered?
VULNERABLE CUSTOMER YES NO N/A NOTES
Personal & financial situation assessed?
Mental capacity assessed?
Vulnerable Customer procedures followed?
Were vulnerable customer identification questions used?
TREATING CUSTOMERS FAIRLY YES NO N/A NOTES
All advice and/or information discussed was clear, accurate and appropriate?
Products and/or services were appropriate and suitable?
Customer’s best interest were considered?
Were any services/advice/agreements followed up in writing?
Did the employee speak/write clearly and without using jargon?
Was any advice clearly explained and suitable?
Were the services and/or products clearly explained and suitable?
Were post-sale contact details provided?
Was the customer outcome satisfactory?
RECORD KEEPING YES NO N/A NOTES
Account history updated correctly?
Sufficient notes entered onto account?
Affordability Assessment completed and saved/filed?
Call record turned on?
MONITORING REVIEW YES NO N/A NOTES
Were all sections competed to the desired standard?
If no, what was the root cause of the failing/s?
Was feedback provided to the employee?
Were the customer outcomes satisfactory?
What actions (if any) are to be taken?
ADDITIONAL NOTES