Activity Workbook
Teller — Learning Journey Study Block 1
Participant name:
Salary ID:
Introduction
1
Completing this Workbook .............................................................................. 1
1 Work effectively in the financial services industry
2
2 Use business technology
5
3 Contribute to health and safety of self and others
6
4 Work effectively with others
8
5 Maintain business records
10
Study Block 1 — Training History Evidence Checklist
12
Learning log
13
Introduction ................................................................................................... 13
Instructions — Example Only ....................................................................... 14
Learning log .................................................................................................. 15
Manager Report — Study Block 1
16
Manager Declaration
17
Prior to your scheduled Kaplan Assessor visit/call
17
Participant Declaration
17
Assessment Outcome
18
Participant Activity Workbook — Learning Journey Study Block 1
1
Introduction
To be granted the (FNS30111) Certificate III in Financial Services you need to demonstrate the
skills and knowledge requirements covered by the qualification. This will be done by providing
satisfactory evidence of the training you have completed on Westpac’s eAcademy, discussions
with your Kaplan trainer and through the completion of the activities contained within this
Activity Workbook.
Completing this Workbook
All activities within this workbook are to be completed.
As a general rule each activity will require a brief explanation of your understanding of the topic.
Bullet points are acceptable where appropriate. If additional space is required to fully answer
the activity you may attach additional pages to the back of this workbook, however please
reference the activity within the original space provided. Where possible open this workbook as
a word document and type your responses in the boxes provided.
You may be required to research and/or speak with colleagues to adequately answer each of
the questions.
Attach your eAcademy Training History Report showing successful completion of the required
training to the back of this workbook and sign where indicated.
Assessment
Kaplan will:
●
assess your competency based on:
– the level of detail in your answers
– your understanding of the content
– your eAcademy Training History Report
●
provide feedback if the evidence you have provided is insufficient or does not demonstrate
competency.
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
2
FNS30111 Certificate III in Financial Services
1
Work effectively in the financial services industry
1.1
List two (2) pieces of legislation relevant to Westpac and how they apply to your role
e.g. Cheques Act 1986 — rules about negotiating cheques and what we can and can’t accept.
1.2
Policies and procedures are rules about the way things should be done; they can be written
or verbal.
1.3
(a)
Describe a policy which you abide by on a daily basis.
(b)
If written, where are they stored?
(c)
If you need to confirm a particular policy, where would you find this information?
Identify three (3) policies and procedures that affect your daily work e.g. cash draw limit
of $10k.
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
1.4
1.5
1.6
3
List and describe the role of two (2) organisations that are involved in the regulation of the
financial services industry.
Describe the Code of Banking Practice.
What are the Westpac vision, mission and values?
(a) Vision
(b) Strategy
(c) Values
1.7
How do the values relate to your actions in your workplace?
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
4
FNS30111 Certificate III in Financial Services
1.8
When joining Westpac, you were asked to adhere to the terms and conditions of the
Code of Conduct. Please provide a brief description of the purpose of this code and explain
how it encourages professional behaviour.
1.9
Answer the following two questions to briefly identify your knowledge of AML/CTF legislation.
(a)
What is money laundering?
(b)
What are two examples of when you have to adhere to Anti Money Laundering
requirements?
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
2
5
Use business technology
2.1
Who is responsible for identifying and replacing technology consumables such as printer
cartridges, printer paper, letterhead etc.?
2.2
Who can carry out or arrange routine maintenance or repairs on equipment such as your
printer, fax machine, scanner etc. if there is an issue with the equipment?
2.3
If you identify an equipment fault, what steps would you take to fix the issue?
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
6
FNS30111 Certificate III in Financial Services
3
Contribute to health and safety of self and others
3.1
Answer the following two (2) questions to demonstrate your understanding of what to do if
you identify a hazard, incident or emergency in your branch.
(a)
What procedures do you follow for raising Workplace Health and Safety (WHS)
issues or concerns?
(b)
Where on the Westpac Intranet would you locate WHS forms/reports if you needed
to report an issue/incident?
3.2
Who is the designated person for raising issues or reporting concerns at your branch?
3.3
How have you contributed to workplace meetings, inspections or other WHS activities?
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
3.4
Name the current WHS legislation affecting your workplace?
3.5
List three (3) of Westpac’s responsibilities as an employer under current WHS legislation?
3.6
List three (3) of your responsibilities as an employee under current WHS legislation?
7
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
8
FNS30111 Certificate III in Financial Services
4
Work effectively with others
4.1
What are the goals your branch team is focusing on?
4.2
How do you personally assist in achieving these goals?
4.3
How do you professionally contribute to your team to promote good working relationships?
4.4
In your branch, how are employees given feedback on their individual performance against
the team’s objectives?
4.5
As a member of a team, you will be required on occasion to share information and make
suggestions to improve processes in your workplace. Give an example of when you have
shared information and made a contribution to your team.
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
4.6
Identify an issue, problem or conflict you have encountered in your branch.
4.7
How did you deal with this issue, problem or conflict?
4.8
Give an example of how you have dealt with language or cultural differences when working at
your branch.
9
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
10
FNS30111 Certificate III in Financial Services
5
Maintain business records
5.1
In your current role, name a system that you use to complete customer transactions or record
customer information.
5.2
How did you acquire the skills and knowledge to use this system?
5.3
How do you accurately record & update customer information in this system in accordance
with workplace procedures?
5.4.
List the name of two (2) reports you prepare from this system and what the reports are
used for.
5.5
What steps do you take to prepare/print reports from this system?
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
5.6
Why is it important to accurately maintain customer records in relation to principles of
records management?
5.7
How do you adhere to Westpac’s policies in relation to security and access of your
customer’s information?
11
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
12
FNS30111 Certificate III in Financial Services
Study Block 1 —
Training History Evidence Checklist
Your eAcademy Training History Report must be attached to this Activity Workbook, as each of
the training programs below are required in adequately assessing you achievement of
(FNS30111) Certificate III in Financial Services.
You can access your Training History by logging into eAcademy and selecting the
Reporting tab>My reports>Learner – My Training History>Run.
You must show successful completion and/or attendance to the following programs:
eAcademy training program
Date completed/attended
AML/CTF Awareness Training
Building Emergency Procedures
Doing the Right Thing In Westpac
Health and Safety for Branches
Resolve Recover Delight
Spider@Westpac — BEDs Branch Processing
Spider@Westpac — Deposits
Spider@Westpac — Exchange Funds
Spider@Westpac — Teller Operations
Spider@Westpac — Withdrawals
Welcome to Spider @ Westpac
Your Health and Safety
Other activities
Date completed/attended
Teller Induction Workshop
Note: If you didn’t attend a Teller Induction Workshop please ask your
Kaplan Trainer for a Teller Induction Recognition Document.
Note: Dates recorded above should be reflected on your eAcademy Training History Report or
additional evidence of the training program completion must be provided, i.e. certificate of
attendance/completion.
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
13
Learning log
Introduction
Each Activity Workbook contains a learning log which is designed to record any training or
industry experience that you receive while registered in the Best Banker Program. It shows
evidence of activities and training that you participate in that is relevant to the industry that
you are working in and the qualification you are undertaking.
You are required to register the amount of any training and assessment time you participated in
throughout the duration of your course.
Training and assessment time should include any professional development activity where you
have the opportunity to build skills and knowledge required for your role on and off the job.
This could include:
●
Completing assessment tasks
●
One-to-one coaching with your trainer, manager or others
●
Attendance at training courses
●
Online training
●
Buddying/coaching/mentoring activities
●
Job rotation
●
Team building
●
Research activities i.e. company policies and guidelines, industry and/or competitor
information
●
Team meetings
●
Attending a workshop, seminar, conference
●
Asking and gaining insight/information from colleagues
●
Company induction not specific to the qualification — induction in the workplace.
It is expected that you record an average of 12 hours per month (24 per 2 months for your
first Study Block). The more hours you can log, the more evidence there is for the knowledge
and skills you have attained during your program.
You are responsible for your learning log to be completed on a regular basis and have it verified
by your Manager at the due date of each Activity Workbook.
Your employer is to ensure that you are given adequate time to complete the learning log
requirements as well as all work activities, training and completion of your Activity Workbook.
Note: It is to be kept by you throughout your training and produced when requested by either
your Assessor or other government entities such as the Apprenticeship Centre.
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
14
FNS30111 Certificate III in Financial Services
Instructions — Example Only
You can log several activities for each day and different activities on different dates.
Enter the time in a minimum of 15 minute blocks.
Date
Description of learning/Training activity & key learning/s
Start time
End time
Total time
Daily
Team meetings including discussion of sales focus and
compliance updates 30min/day x 20 days
9.00 am
9.30 am
10.0
Weekly
Read weekly updates 30min/week x 4 weeks
8.30 am
9.00 am
2.0
Monthly
One-on-one coaching session with Manager x 1 month
11.00 am
12.00 pm
1.0
Monthly
One-on-one coaching with FP/LBB/HFM x 1 month
10.00 am
11.00 am
1.0
Monthly
Live observation of customer conversations on the counter
with BM x 1 month
9.30 am
10.00 am
0.5
22/8/14
Specialist presentation – BT Super
4.30 pm
5.30 pm
1.0
4/9/14
eAcademy module – MyBank conversation
4.00 pm
5.00 pm
1.0
8/9/14
Learn new Internet Banking Procedures and demonstrate for
customer
2.00 pm
2.30 pm
0.5
10/9/14
MyBank Conversation Workshop
8.30 am
5.30 pm
8.0
15/9/14 to
17/9/14
Complete Best Banker Activity Workbook
8.00 am
9.00 am
3.0
20/9/14
Best Banker Conference call with Kaplan Trainer
11.00 am
12.00 pm
1.0
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
Participant Activity Workbook — Learning Journey Study Block 1
15
Learning log
Date
Description of learning/Training activity & key learning/s
Start time
End time
Total time
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
16
FNS30111 Certificate III in Financial Services
Manager Report — Study Block 1
Each Activity Workbook contains a manager report which is required to be completed by
your manager. This report allows you manager to contribute to the competency process.
Units of competency being reviewed:
●
BSBOHS201A
Participate in OHS processes
●
BSBWOR204A
Use business technology
●
BSBRKG304B
Maintain business records
●
FNSINC301A
Work effectively in the financial services industry.
Manager Guide: The Kaplan Trainer/Assessor will make a decision of competency outcome
based on work submitted by the participant. As the participants workplace supervisor we
appreciate your contribution towards the competency decision. To support this decision we ask
you to complete the following observation checklist.
For each question, you should certify ‘Yes’ only if you have observed the participant display
these behaviours in the workplace. Where you indicate ‘Yes’ you are confirming the participant
has completed the tasks as described.
Participant name:
I have observed this participant…
Yes
Working safely in accordance with Westpac safety procedures
Implement work safety requirements to Westpac standards
Participate in WHS consultative processes e.g. complete WHS check list and/or meetings
Select and use technology
Process and organise data using Westpac systems
Maintain workplace technology
Collate business records
Update business or records system
Prepare reports from the business or records system
Work within financial services industry guidelines, procedures and legislation
Communicate in the workplace
Work in a team environment
Develop effective work habits
Comments:
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
No
Participant Activity Workbook — Learning Journey Study Block 1
17
Manager Declaration
By signing this declaration I confirm:
●
I have reviewed the participants learning log and verify that it is accurate and complete.
●
I have completed the Manager Report in full and understand my role in the process of
obtaining this report.
●
I, as the third party, have agreed to participate in the evidence gathering process and
understand when and how to collect the evidence.
Manager’s name:
Manager’s signature:
Date:
Prior to your scheduled Kaplan Assessor
visit/call
Please scan and email to your Kaplan Assessor evidence of:


Your Activity Workbook, including:
–
Your completed learning log
–
Your completed Manager Report
–
Your completed Training Evidence Checklist
–
Your completed Manager & Participant Declarations
Your eAcademy Training History Report print out — showing all Study Block 1 learning
complete.
Participant Declaration
By signing this declaration I confirm:
●
that all evidence for this assessment is present and is my own work
●
that I have reviewed the Manager Report and I agree with the competency outcome.
Participant’s name:
Participant’s signature:
Date:
© Kaplan Education Pty Ltd. All rights reserved.
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records
18
FNS30111 Certificate III in Financial Services
Assessment Outcome
I confirm that all evidence for this assessment is present and I have deemed the assessment:
Satisfactory
Not Yet Satisfactory
Assessor’s name:
Assessor’s signature:
Date:
Note: Feedback on your Activity Workbook will be provided by your Assessor at your scheduled
visit/call.
Participant Activity Workbook_v3_December 2014
FNSINC301A Work effectively in the financial services industry * BSBWOR204A Use business technology * BSBOHS201A Participate in OHS processes * BSBWOR203B Work effectively with others
BSBRKG304B Maintain business records