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Elements and Performance Criteria

1. Identify relevant guidelines and procedures
   • Effects on role of legislative, industry and brokerage guidelines and procedures are determined
   • Up-to-date checklist of operational procedures is maintained and observed
2. Work in accordance with guidelines and procedures
   • Work tasks are carried out in accordance with specific organisation policy, guidelines and procedures
   • Regulations, codes and procedures set out in organisation compliance manuals in relation to the provision of information, retail and other advice are complied with
   • Insurance and insurance broking codes of practice are used to guide an ethical approach to workplace practice and decisions
   • Assistance in clarifying the application of the guidelines, procedures and legislation is sought from appropriate personnel where necessary
3. Develop and maintain personal competency in work tasks
   • Training needs and goals are identified and reviewed on a regular basis
   • Competency, authorisation and licensing requirements are clarified
   • Professional development opportunities that reflect needs and goals are sought and completed in an agreed upon timeframe

Required Skills

Required skills

communication skills to determine and confirm information using questioning and active listening techniques liaise with others share information listen and understand prepare clear written communication use language and concepts appropriate to cultural differences numeracy and IT skills to perform calculations related to achieving required outcomes use computer applications word processing spreadsheet database specific purpose computer systems to assist in achieving required outcomes access and update records electronically access webbased information services literacy skills to read and interpret documentation from a variety of sources and record and consolidate relevant related information research and analysis skills for accessing and interpreting relevant information interpersonal skills organisational skills including the ability to plan and sequence work

Required knowledge

general insurance and insurance brokers codes of practice relevant legislation and statutory requirements relevant industry and organisation policies and procedures

Evidence Required

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria required skills and knowledge range statement and the Assessment Guidelines for the Training Package
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit	Evidence of the ability to implement operational procedures to meet compliance requirements from financial services industry regulations and other legislation interpret and comply with organisation policy and procedures relevant legislation and insurance broking codes of practice perform work within a quality customer service environment
Context of and specific resources for assessment	Assessment must ensure competency is demonstrated in the context of the work environment and conditions specified in the range statement either in a relevant workplace or a closely simulated work environment access to and the use of a range of common office equipment technology software and consumables access to organisation records access to organisational policies and procedures
Method of assessment	A range of assessment methods should be used to assess practical skills and knowledge The following examples in combination are appropriate for this unit evaluating an integrated activity which combines the elements of competency for the unit or a cluster of related units of competency observing processes and procedures in workplaces verbal or written questioning on underpinning knowledge and skills evaluating samples of work accessing and validating third party reports
Guidance information for assessment

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Range Statement

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, industry and brokerage guidelines and procedures may include:	anti-discrimination legislation best practice guidelines organisation codes of practice complaint handling procedures customer services standards Financial Services Reform Act (FSRA) and ASIC regulatory guides on adviser conduct induction program Insurance Broker Code of Practice Insurance Contracts Act occupational health and safety (OHS) legislation Privacy Act procedures and/or operating manuals training plans.
Work tasks may include:	broking advisory work claims or policy administration initial customer service internal administration and support.
Appropriate personnel may include:	colleagues compliance officers managers or supervisors senior broking or management staff.

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