Recognition of Prior Learning Application Diploma of Financial Services (Financial Planning) FNS50804 and RG 146

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1 Recognition of Prior Learning Application Diploma of Financial Services (Financial Planning) FNS50804 and RG WHAT IS RECOGNITION OF PRIOR LEARNING (RPL)? RPL stands for recognition of prior learning. Recognition of prior learning means recognition of competencies currently held, regardless of how, when or where the learning occurred. This includes through any combination of formal and informal training, education, work experience or general life experience. If you wish to apply for RPL you need to provide evidence of your current competency. * You must ensure that all documents that you supply with your application have been certified in accordance with UWSCollege guidelines for Certification of Documentation. Read the information on Certification of Documentation in section 4 of this application form carefully. Page 1 of 11

2 2. TIPS TO HELP YOU PROVIDE EVIDENCE OF YOUR CURRENT COMPETENCY In order to have skills formally recognised, assessors must make sure your skills meet the industry standards. This means you must be involved in a careful and comprehensive process that covers the content of all of the units or qualifications you are applying for recognition. Your skills and experience from the past two years are the most important in this assessment because these show you are current in the industry. Assessment can happen in a variety of ways. Being prepared can save you lots of time and hassle. Here are some tips and hints to prepare for a recognition process. 1. Be prepared to talk about your job roles and your work history. Provide a resume or write down a few points about where you have worked, either paid or unpaid, and what you did there. 2. Provide your position description and any performance appraisals you have from the financial services sector(s) in which you have worked. 3. Consider the possibilities for workplace contact. Are you in a workplace that is supporting your goals to get qualified? Would you feel comfortable to have the assessor contact your workplace so your skills can be validated? 4. Think about who can confirm your skill level. Think about current or recent supervisors who have seen you work in the past 18 months and will be able to confirm your skills. We will need to contact them. You may also have community contacts or even clients themselves who can vouch for your skill level. 5. Collect any certificates or transcripts from in-house training, CPD or formal training you have done in the past. 6. You can speak with us about other ways you can show your skills in the financial services industry. These could be letters from employers, records of your professional development sessions, testimonials from clients, acknowledgements, workplace forms (client details removed) or other relevant documents. 7. Browse through the attached list of units of competency that make up the Diploma in Financial Services (Financial Planning) qualification. This will help you to get an idea about where your skills could fit with the national training units. You can get full details of any unit from UWSCollege or the National Training Information Service Examples of evidence Work resume Position description Education and training records, including in-house and CPD training Supervisor reports Client testimonials Work documentation (with client personal details removed), which you have created/utilised eg financial plans, correspondence with clients, etc. Page 2 of 11

3 3. WHAT HAPPENS IF I DON T HAVE DOCUMENTARY EVIDENCE? Not having kept a complete record of documentary evidence should not deter you from seeking RPL as the assessor will work with you during the RPL process. As an alternative to documentation, you may choose to demonstrate your competency in an interview, answering questions or completing an assessment. Steps in the RPL process STEP 1 Complete the attached application form and provide as much information as possible on your previous experience in the industry. Look at the list of units contained in the Diploma and place a tick ( ) next to the units for which you feel you can demonstrate competency. Then you will need to gather your evidence and attach it to your documentation. This is your first opportunity (and not the last) to provide evidence of your competency. You need to consider how the documentary evidence you provide fits with the requirements of the unit of competency for which recognition is being sought. Please note: Ensure that each piece of documentary evidence provided is a copy, which has been certified following section 4 instructions. STEP 2 An RPL application fee of $100 should be forwarded with your application. This fee is not refundable but will be deducted from any further fees required to complete the qualification being applied for. STEP 3 Mail your completed application to: UWSCollege P.O. Box 224 Quakers Hill NSW 2763 Or fax to (02) STEP 4 An assessor will review your application and begin to match up your skills to the units in the qualification. At this point you will have the opportunity to discuss any issues if the assessor needs more information or clarification from you. Further action might be needed, such as the submission of further written evidence and/or an interview to review your application further. STEP 5 You will be notified of the results of your application, in writing, within 15 working days. You will receive a report advising where you are eligible for RPL and/ where you need to complete units, and how you can do this, for example by attendance at a class to cover areas where you are not yet competent. Page 3 of 11

4 4. CERTIFICATION OF DOCUMENTATION The person who certifies your document/s must be contactable by telephone during normal working hours. This person may be: an authorised officer at: - any Student Centre of the University of Western Sydney or UWSCollege - any other university or TAFE College - the official records department of the institution that originally issued the document/s - an Australian overseas diplomatic mission or Australian Educational Centre a Justice of the Peace with a registration an accountant must be a member of the Institute of Chartered Accountants in Australia, or the Australian Association of Taxation and Management Accountants or be a Registered Tax Agent a bank manager, but not a manager of a bank travel centre a credit union branch manager a commissioner for declarations a barrister, solicitor or patent attorney a police officer in charge of a police station, or of the rank of sergeant and above a postal manager, or a Principal of an Australian secondary college, high school or primary school. You cannot certify your own documents, even if you belong to one of the categories listed above. How should the authorised officer certify each document? The Certifying Officer must print I certify this to be a true copy of the document shown and reported to me as the original on the document, as well as their name, address, contact telephone, profession or occupation or organisation, the date and then sign the document. The Certified Officer should also include the official stamp or seal of the certifier s organisation on the copy, if the organisation has such a stamp. In addition to the above, a Justice of the Peace must also print their registration and provide details of the state in which they are registered. Copies certified by a Justice of the Peace without a registration will not be accepted. To find a Justice of the Peace in your area, check the public register of JPs available online from the NSW Attorney- General s Department at Page 4 of 11

5 Recognition of Prior Learning Application Diploma of Financial Services (Financial Planning) FNS50804 and RG 146 Please complete the RPL Application Form for the Diploma of Financial Services (Financial Planning) FNS50804 and RG 146. If you have any questions or concerns when completing this form please call (02) or Please complete sections 5 to 15 of this application in BLACK INK using CAPITAL LETTERS. All supporting documentation must be CERTIFIED copies. 5. PERSONAL DETAILS Title Mrs Ms Miss Mr Dr Other Family name Given name(s) Previous name If different from the name shown above you must attach clear, sharp CERTIFIED documentary evidence. Date of birth D D / M M / Y Y Y Y Postal address Unit Street Street name Suburb Phone Post code Work Please tick preferred contact Mobile Page 5 of 11

6 Home address 6. PAYMENT METHOD Please find enclosed a cheque payable to UWSCollege Pty Ltd for $ OR Please charge my Visa / Master card for $ Card Name of Cardholder (please print) Expiry date D D / M M / Y Y Y Y Signature X Date D D / M M / Y Y Y Y 7. LODGING YOUR RPL APPLICATION FORM Please complete this form and forward your application to: UWSCollege PO Box 224 QUAKERS HILL NSW 2763 Alternatively fax your application to (02) Please note: You will be advised by mail or of the result of this application as soon as possible. UWSCollege reserves the right to alter or cancel a program or schedule. Telephone Fax prof.development@uws.edu.au Website > Finance Programs Page 6 of 11

7 8. SELECT ( ) THE RPL UNIT(S) YOU ARE APPLYING FOR Note: Full descriptors of the competencies are available from or contact UWSCOLLEGE (02) Unit code Title Tick List evidence supplied FNSICGEN301B Communicate in the workplace FNSICGEN302B Use technology in the workplace FNSICGEN304B Apply health and safety practices in the workplace FNSICIND401B Apply principles of professional practice to work in the financial services industry FNSFPLN501B Comply with financial planning practice ethical and operational guidelines and regulations FNSFPLN502B Conduct financial planning analysis and research FNSFPLN503B Develop and prepare financial plan FNSFPLN504B Implement financial plan FNSFPLN505B Review financial plan and provide ongoing service FNSFPLN506B Meet with client to determine client requirements and expectations FNSFPLN507B Provide financial planning advice FNSASIC503ZB Provide advice in Financial Planning FNSASIC503XB Provide advice in Life Insurance FNSASIC503TB Provide advice in Managed Investments FNSASIC503UB Provide advice in Superannuation Signature X Date D D / M M / Y Y Y Y Page 7 of 11

8 9. PREVIOUS EDUCATION AND TRAINING Provide details of all education completed, attempted but not completed, or for which you are currently enrolled. You must attach a clear, sharp certified copy of your academic record. Have you undertaken any education or training courses which might be relevant to this application? No Yes (if Yes, please prov ide summary here and attach copies of transcripts to your application) Details of course Name of course/qualification Training provider/institution Date completed Have you completed any CPD training courses? No Yes (if Yes, please prov ide summary here and attach copies of transcripts to your application) Name of CPD course/qualification Training provider/institution Date completed 10. CURRENT EMPLOYMENT DETAILS Are you currently employed in the financial services sector? No (if No, go to section 12) Yes (if Yes, please answer the following questions) Please list details of the organisation where you are currently employed. Organisation Position Date commence D D / M M / Y Y Y Y Contact person Phone address Page 8 of 11

9 11. RG 146 COMPLIANCE Do you currently have RG 146? No (if No, go to section 13) Yes (if Yes, please attach a clear, sharp CERTIFIED copy of your RG 146 compliance certificate) 12. PREVIOUS FINANCIAL SERVICES INDUSTRY EMPLOYMENT Provide details of all previous financial services industry employment in the following table. Name, address and phone of previous financial services employers Period of employment (DD/MM/YYYY) From To Position held Description of major duties (or attach job specifications if available) Page 9 of 11

10 13. PROFESSIONAL REFEREES Please provide details of referees who agree to be contacted with regard to your skill and experience with respect to this application. REFEREE ONE Name Position Organisation Phone Mobile address REFEREE TWO Name Position Organisation Phone Mobile address 14. CHECKLIST Please attach the following documents to this application. Certified copies of Academic qualifications eg UAI and HSC results, TAFE or college results, etc Relevant work experience Page 10 of 11

11 15. DECLARATION AND SIGNATURE I declare that I have read the instructions at the beginning of this form, and declare that all the information submitted is true and complete. I authorise UWSCollege and the University of Western Sydney to obtain available official records from any educational institution attended by me. I understand that UWSCollege is not responsible if any institution does not provide these records. I authorise UWSCollege to verify any information provided by me, including academic records and employment details. I understand that UWSCollege may reject my application or revoke any offer of admission if it finds any information provided ion relation to my application to be incomplete, inaccurate or misleading. I have read and understand the UWSCollege fees, refund and application policies. By signing this application form, I agree to all the conditions of enrolment as well as any other conditions set out in the student handbook, prospectus, website ( and any other information provided by UWSCollege. I agree to abide by the Rules and Policies of UWSCollege as they apply from time to time. I also understand that it is my responsibility to ensure that I review the By-Law, Rules and Policies of UWSCollege during my period of study, as they are subject to change. Applicant s signature X Date D D / M M / Y Y Y Y Page 11 of 11