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 FNSORG514, 'Develop, monitor and supervise work practices to meet financial services regulatory requirements'.
- Google Links
- links to google searches, with filtering in place to maximise the usefulness of the returned results
- Books
- Reference books for 'Develop, monitor and supervise work practices to meet financial services regulatory requirements' 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
1. Identify and assess licensing and regulatory environment | 1.1 Develop and maintain frameworks for management obligations for licensing and prudential requirements on products and services offered by organisation 1.2 Critically analyse existing organisational governance over obligations, licensing and prudential requirements 1.3 Maintain registers of obligation according to organisational policies and procedures 1.4 Communicate updates to licensing and regulatory obligations to staff |
2. Communicate knowledge of products and services offered | 2.1 Inform staff of financial products and services offered by organisation, requirements of industry organisations and service providers 2.2 Identify for staff features and processes of specific products and services 2.3 Conduct research and engage in continuous professional development to improve and inform knowledge of industry product and service developments 2.4 Communicate updates to industry products and service developments to staff |
3. Maintain and manage stakeholder relationships | 3.1 Establish protocols for regulatory engagement 3.2 Identify and manage key trends of the regulatory environment 3.3 Critically analyse proposed responses to regulatory changes 3.4 Manage regulatory requests with appropriate stakeholders according to organisational policies and procedures 3.5 Update relevant systems with details of regulatory interactions within required time frames |
4. Monitor and supervise work for compliance | 4.1 Access and monitor legislation and regulatory information applicable to relevant work practices 4.2 Monitor client interactions to ensure advisory limitations required by the regulator are met 4.3 Establish and maintain work practices with required documentation to comply with legislative guidelines 4.4 Monitor all work for adherence to accepted codes of conduct and escalate incidents of non-compliance to appropriate personnel |
5. Review work for compliance | 5.1 Review completed and current work of team members to confirm compliance to established work practices 5.2 Provide appropriate feedback to individuals on compliant and non-compliance work practice 5.3 Investigate and escalate non-compliant work practices according to organisational policies and procedures |
6. Implement and assess workplace practices | 6.1 Identify and assess implementation of workplace processes and procedures within area of responsibility 6.2 Critically analyse implementation of licensing and regulatory changes 6.3 Identify areas for improvement in workplace procedures and make recommendations to appropriate personnel 6.4 Implement and monitor organisational quality assurance measures and systems as required, and document results 6.5 Prepare documents to meet regulatory requirements 6.6 Critically analyse reports to be submitted to regulators |