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 skills
communication skills to:
use questioning and active listening to confirm understanding and application
liaise and share information with others
communicate appropriately with people from diverse backgrounds
IT skills to:
use computer applications to maintain records
access web-based information services
reading skills to:
read and understand relevant regulatory and operational procedures
organisational skills to efficiently plan and sequence work
Required knowledge
relevant legislative and regulatory requirements
relevant codes of practice
organisational policy and procedures
comprehensive knowledge of individual work requirements and practices.
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that 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) may also be included.
Legislative and regulatory requirements may include, but are not limited to: | Australian Securities and Investments Commission (ASIC) Policy Statement 146 – Tier 2 compliance Privacy Act Taxation Act Competition and Consumer Act 2010 (Cth) relevant Insurance Act Australian Accounting Standards Corporations Act 2001 (Cth) ASIC Act 1989 (Cth) National Consumer Credit Protection Act 2009 (Cth) AML-CTF Act Personal Property Securities Act 2009 (Cth) ASIC AUSTRAC ACCC Office of the Australian Information Commissioner (OAIC) ITSA |
Organisation and industry requirements may include, but are not limited to: | company policy and procedures internal control guidelines computer system documentation operations manuals business and performance plans mission statements strategic plans industry codes of ethics industry codes of conduct industry code of practice |
Appropriate persons may include: | compliance managers compliance officers supervisors senior management |
Records may include: | training records tax records statutory records |
Professional development may include: | seminars and workshops professional body membership product training coaching, mentoring or supervision career path development |
Documentation may include: | circulars/memos organisational/industry newsletters emails press clippings staff meeting agendas and minutes RSS Feeds |
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