Formats and tools
- Unit Description
- Reconstruct the unit from the xml and display it as an HTML page.
- Assessment Tool
- an assessor resource that builds a framework for writing an assessment tool
- Assessment Template
- generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
- Assessment Matrix
- a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
- Wiki Markup
- mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
- Evidence Guide
- create an evidence guide for workplace assessment and RPL applicants
- Competency Mapping Template
- Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
- Observation Checklist
- create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)
- Self Assessment Survey
- A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
- Moodle Outcomes
- Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
- Registered Training Organisations
- Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver FNSIBK606A, 'Manage compliance requirements for an insurance broking business'.
- Google Links
- links to google searches, with filtering in place to maximise the usefulness of the returned results
- Books
- Reference books for 'Manage compliance requirements for an insurance broking business' on fishpond.com.au. This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to ntisthis.com for every purchase, so go nuts :)
Elements and Performance Criteria
ELEMENT | PERFORMANCE CRITERIA |
1. Identify compliance requirements | 1.1. Statutory, legislative and regulatory requirements relevant to the brokerage are identified and documented 1.2. Compliance requirements are identified and analysed for implementation 1.3. Up-to-date checklist of statutory operational requirements is maintained and observed including reporting requirements and time limits 1.4. Accurate, reliable and up-to-date information on compliance requirements is identified and collated in a form suitable for analysis and is updated on a regular annual basis or as amendments occur |
2. Evaluate compliance factors and determine risk assessment | 2.1. Impact of requirements on the brokerage is identified 2.2. Key risk areas in the brokerage for non-compliance are identified and evaluated in terms of likelihood and intensity 2.3. Compliance risk factors are evaluated within the context of organisation's mitigating capabilities |
3. Establish compliance strategies | 3.1. Stakeholder parties to compliance strategy and implementation are identified 3.2. Ways of systematising compliance strategy are identified 3.3. Cost-benefit variances are reviewed for implementation 3.4. Existing strategies are identified and reviewed 3.5. Alternate strategies are identified and assessed in consultation with the stakeholders 3.6. Most appropriate strategy is selected |
4. Establish resource requirements for compliance purposes | 4.1. Technical resources required for compliance purposes are identified and sourced 4.2. Personnel requirements for the operation of the compliance program are determined and appropriate staff are assigned or recruited, as appropriate 4.3. Compliance requirements for each role in the organisation are identified and documented 4.4. Minimum training standards for all personnel are identified and a training program developed in conjunction with appropriate personnel 4.5. Staff supervision and monitoring processes are in place to ensure staff compliance with requirements |
5. Implement and maintain compliance systems | 5.1. Regulatory requirements are incorporated into operational procedures 5.2. Documentation and communication systems that ensure compliance are developed 5.3. Practices and procedures in brokerage are reviewed for compliance 5.4. Non-compliance practices are identified and measures put in place to correct these 5.5. Irregularities, non-compliance and breaches are promptly identified and attended to 5.6. Staff are consulted to test integrity of systems 5.7. Areas for improvement in systems are identified through staff consultation and recommendations made to appropriate personnel 5.8. Process for reporting of breaches of laws and regulations is documented 5.9. Documentation and operational, and communication systems are implemented and checked for viability 5.10. New compliance requirements are integrated into work systems as required |
6. Ensure statutory reporting requirements are met | 6.1. Identify reporting requirements and establish timeframes for reporting 6.2. Organisational guidelines for preparing statutory reports are accessed and made available to relevant staff 6.3. Statutory reports are prepared according to organisational guidelines and statutory requirements 6.4. Statutory reports are checked for compliance 6.5. Submission of statutory reports is confirmed with the appropriate parties |