rpl pathway to the diploma of customs broking self … · 2018-12-12 · i can assess the nccc...

RPL PATHWAY TO THE DIPLOMA OF CUSTOMS BROKING

Self-assessment checklist

© CBFCA 2018 This material has been created for the sole use of persons seeking access via Recognition of Prior Learning to the Diploma of Customs Broking through the Customs Brokers & Forwarders Council of Australia Inc. (CBFCA). The use of this material for any other purpose is prohibited without the express written permission of the CBFCA. Version 9.1 Updated 23.11.2018

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Copyright Notice

© 2018 Customs Brokers and Forwarders Council of Australia Inc (CBFCA)

All rights reserved. No part of this document may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means without the prior written permission of the CBFCA, nor be otherwise circulated in any form without similar conditions being imposed on the subsequent receiver.

The right of the CBFCA to be identified as the authors of this workbook has been asserted by them in accordance with the Copyright Act**.

For further information, contact:

The Manager Training and Professional Development CBFCA PO Box 3525 Ramsgate NSW 2217


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Introduction The Diploma of Customs Broking (national course code TLI50816) is a nationally recognised

qualification under the Australian Qualification Framework at AQF Level 5.

It comprises a total of 18 units or modules that include:

• 15 core units (these are the ‘technical’ units relating to customs broking);

and

• 3 elective units (these are typically business-related or other units)

As a Recognition of Prior Learning (RPL) applicant, you need to provide sufficient supporting

evidence of your skills, knowledge and experience across all 18 of these units such that this

evidence indicates clearly that you possess all of the skills, knowledge and experience to be

granted the Diploma of Customs Broking without the need for any course work, attendance at

classes or completion of assessments.

This self-assessment checklist is your first step in deciding if you have the required skills,

knowledge and experience through conducting a self-review. This is your document and is

provided as a guide for you. You will not be asked to submit this document at this stage

although your RPL assessor will want to see it later once you have made your RPL

application

This document should be read in conjunction with the RPL Information Kit available from the

CBFCA. The kit outlines the full 4 step RPL process which includes:

• Step 1 – self-assessment (that’s what this document is for)

• Step 2 – gathering authentic documentation as evidence

(you will use this self-assessment document to map the evidence you need in Step 2)

• Step 3 – Submitting your application

• Step 4 – Competency conversation

Good luck with your self-assessment.


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The checklist in this document is designed for you to review your own skills and knowledge as a licensed customs broker. These categories are derived from the curriculum documents of the Diploma of Customs Broking and so are naturally quite broad.

The checklist is created as a list of “I statements” for example:

“I can prepare and lodge a warehousing entry”

You are asked to respond with one of the following:

Agree

This means you are fully confident that you can successfully perform the function specified if and when required.

If there are areas that you have not done for some time but that you believe you would be very confident in doing (for example a dumping application), feel free to answer in the affirmative. Your assessor will probably cover off on this in the competency conversation

Not sure

This means that perhaps you could do this but might need a brush-up to either remind yourself of the process or to lift your currency level if you haven’t done this for a while.

This will form part of your own gap assessment so you could check out some ways to bring yourself up to speed in this area

Disagree

This means you do not have the skills or knowledge to perform this task.

This will form part of your gap assessment but it might be a case of enrolling in a unit of study to close this gap if your knowledge of the topic is non-existent, hazy or out of date.

Vitally important to note:

It is a good practice to consider lodging your application even if you have indicated “not sure” to some responses as you just may find that during the competency conversation with your assessor that you are able to demonstrate your skills and knowledge once engaged in discussing a scenario.

You need to be honest with your own skills assessment but also don’t underestimate how much you probably do know, particularly if you can draw on some years of experience in the industry.


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CORE UNITS


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Conduct advanced border clearance functions (TLIX0003)

Workplace indicators Workplace performance

Agree Not sure Disagree

I can outline the structure and effect of Australian legislation in relation to importing and exporting cargo

I can report the movement of cargo to authorities

I can make post-entry amendments on import and export documentation

I can outline options available about penalty notices

I can resolve problems arising from lodging import/export declarations

Suggested evidence to demonstrate competency in this unit

(List all that provide “evidence of” your skills and knowledge in this area)

Evidence Available (tick Y/N) Evidence log number*

E.g. Current job

description

Y Item 3

* This is how you will keep track of your evidence. Keep in mind that one piece of evidence

could be used across a number of different units


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Initiate cargo border procedures (TLIX0002)



I can outline the framework for Australia’s international trade involvement

I can apply Incoterms to the movement of cargo

I can apply international trade payment methods

I can enable cargo movement

I can prepare documentation for customs clearance and reporting

I can accurately convey requirements to clients and other stakeholders in writing and verbally




E.g. Current job

description

Y Item 7

* This is how you will keep track of your evidence. Keep in mind that one piece of evidence could be used across a number of different units


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Comply with biosecurity border clearance (TLIX5054)



I can assess the NCCC documentary requirements for different modes of transport.

I can correctly assess a Packing Declaration, including any requirements for further documents in relation to an importation.

I can correctly assess treatment certificate documentation requirements in relation to the Department of Agriculture requirements for both Commodity and Non Commodity shipments.

I can correctly assess the treatment requirements for timber used in both commodity and non commodity shipments, considering the type and size of timber used.

I can accurately assess the requirements for unpack locations for FCL and FCX shipments.

I understand and can correctly identify the use of ISPM15 compliant timber, together with the limitations of the use of the standard.

I can correctly asses the requirements to direct shipments under the AEP for Commodity Scheme, including the pathway requirements.

I am aware of the latest release of Department of Agriculture compliance agreement documentation in relation to the NCCC and AEP COM Schemes.

I can correctly assess the in scope and out of scope requirements of commodities under the AEP for Commodity Scheme.

I can correctly select the required processing type and QAP code in relation to commodities for lodgement with the ICS.

I am aware of the sanctions that can apply to both the NCCC and AEP COM Schemes

I am aware of the record retention requirements of the NCCC and AEP COMM Schemes.

I am able to correctly provide the answers required for lodgement of an Import Declaration in the ICS, under the NCCC and AEP COMM Schemes.


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E.g. Current job

description

Y Item 11



10


Determine Import and/or export prohibitions and/or restrictions (TLIX5048)



I can identify goods subject to import and/or export prohibitions and restrictions under the Customs (Prohibited Import) Regulations and Customs (Prohibited Export) Regulations.

I can explain and illustrate marking requirements under the Commerce (Import) Regulations

I can identify goods subject to import and/or export prohibitions and restrictions such as those administered by or on:

• Biosecurity

• ARPANSA

• Motor vehicles

• TGA and complimentary medicines

• IFIS

• Industrial and veterinary chemical

• Commerce marking requirements

• CITES

I can identify goods subject to import and/or export prohibitions and restrictions such as those administered by or on:

• Heritage items

• Copyright

• Trade marks

• Ozone depleting substances and other greenhouse gases

• Dangerous goods, explosives, firearms and ammunition

• Wine and spirits

I can verify that the required conditions for import/export have been met prior to import / export clearance.


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E.g. Current job

description

Y Item 15




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Determine customs value (TLIX5047)

Determine complex customs value (TLIX5052)



I can determine the price in the import sales transaction in accordance with the requirements of the Customs Act.

I can identify the import sales transaction for a consignment in accordance with the requirements of the Customs Act.

I can explain the alternative methods of valuation of imported goods and when they are used.

I can identify the date and place of export in accordance with the requirements of the Customs Act.

I can identify and determine the correct treatment of additions to or subtractions from price including:

• Price related costs

• Commissions

• Royalties and licence fees

• Rebates and discounts

I can determine the transaction value of imported goods

I can recognise situations where transaction value cannot be used

I can complete a Valuation Advice

I can explain the structure of the Customs Tariff Act and its schedules


13





E.g. Current job

description

Y Item 17



14


Determine tariff classification of goods (TLIX0001)



I can accurately classify goods in all chapters of the 3rd Schedule of the Customs Tariff, including the following types:

• Food

• Chemicals

• Plastics

• Rubber

• Paper

• Machines, including incomplete machines

• Precision instruments

• Vehicles

• Toys

• Textiles

• Metals

• Parts

• Accessories

• Functional units

• Multi-function machines

• Sets


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E.g. Current job

description

Y Item 19



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Determine tariff classification for complex goods (TLIX5053) contu:



I use the Section and Chapter Notes and the Interpretative Rules as an integral part of any tariff classification process.

I can properly complete a Tariff Advice application in accordance with ACBPS requirements

I can interpret and correctly identify Tariff Concession Orders that apply to goods

I can identify and explain the use of bylaws of the 4th Schedule to the Customs Tariff Act

I can identify circumstances when a new TCO application may be warranted and advise clients on the TCO application process

I can prepare an internal appeal against a Customs decision on technical matters such as tariff classification or valuation justifying through the use of legislation, case law and precedents.




E.g. Current job

description

Y Item 22



17


Determine Indirect taxes (TLIX5049)



I can calculate and provide advice on Luxury Car Tax.

I can calculate and provide advice on Wine Equalisation Tax, including quotation of ABN.

I can calculate GST on goods and services

I can identify GST free goods and determine the appropriate exemption codes.

I can advise on the process for GST Deferral

I can determine the appropriate GST treatment for DDP goods




E.g. Current job

description

Y Item 25



18


Carry out standard customs clearance practices (TLIX 5046)



I can identify goods for which a Self Assessed Clearance are suitable

I can explain the benefits in and process of warehousing goods

I can determine the date of entry for home consumption, including for Advance Entries

I can assess and determine in accordance with the Customs Act whether requests for additional information by Customs are within the scope of their authority and develop an appropriate response.

I can explain the effect of the withdrawal of a customs import declaration.

I can prepare and lodge a warehousing entry

I can prepare and lodge an ex-warehouse entry.

I can explain the types of Customs regulated premises and outline their requirements and the differences between them.

I can identify excisable goods and excise equivalent goods

I can prepare a landed costing.


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E.g. Current job

description

Y Item 28



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Carry out additional customs clearance practices (TLIX5056)



I can identify refund circumstances and cross reference them to the appropriate regulation.

I can explain the difference between refunds, rebates remissions and drawbacks

I can prepare and lodge refund applications

I can prepare and lodge drawback applications

I can explain the workings of the Tradex Scheme.

I can identify the time frames by reference to legislation by which applications for refunds and drawbacks must be lodged

I can advise clients on the requirements for temporary importation of goods including carnets, s.162 and any securities that may be payable.




E.g. Current job

description

Y Item 33




21


Apply anti-dumping and countervailing measures (TLIX5055)



I can identify goods subject to Anti-Dumping and/or Countervailing Duty.

I can determine the Dumping Specification Number (DSN) using the Dumping Commodities Register.

I can calculate Anti-Dumping and/or Countervailing duty.

I can explain the requirements for imposition of anti-dumping and/or countervailing duty and the process for its imposition and/or review.




E.g. Current job

description

Y Item 35



22


Determine origin of goods & preference schemes or FTA (TLIX5050)



I can identify the country or place of origin of goods

I can identify the classes of countries and places to which preferential rates may apply.

I can assess eligibility for preferential tariff rates in accordance with the Customs Act and ACBPS requirements.

I can identify countries with which Australia has a Free Trade Agreement

I can identify rates of duty applicable to specified tariff classifications under each of the Free Trade Agreements

I can identify the Rule of Origin applicable to a nominated tariff classification in any Free Trade Agreement.

I can select the appropriate issuing authority for a Certificate of Origin under a nominated FTA and explain the requirements of that COO.

I can explain the requirements for direct shipment under an FTA and confirm that it has occurred in nominated circumstances.

I can outline the requirements for the importation of chemicals where specific Rules exist.

I can explain the meaning of Agricultural Safeguards in the context of an FTA.


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E.g. Current job

description

Y Item 37



24


Reviewing decisions of regulatory bodies (TLIX5058)



I can explain and use the Amber Line lodgement facility.

I can explain the requirements of and reasons for Payment under Protest under s.167 of the Customs Act

I can identify the elements of an offence.

I can explain and give examples of a strict liability offence and the differences between offences for which there is strict liability and those requiring prosecution

I know the value of a penalty unit

I can read and interpret the Infringement Notice Guidelines sufficient to prepare submissions required.

I can identify the alternative actions available if a penalty notice is received or threatened and explain the consequences of those actions.

I can provide advice to clients and other staff on responding to proposed monitoring audits by Customs and dealing with Officers during the conduct of those audits.

I can identify Customs export examination powers

I can explain and cross relate the forfeiture, seizure and condemnation provisions of the Customs Act.

I can identify and explain internal review procedures for decisions by ACBPS

I can outline the available avenues for external appeal including the ombudsman, AAT and Federal Court.


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E.g. Current job

description

Y Item 39



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Analyse/advise/carry out integrated border clearance transactions (TLIX4036)



Read and interpret documents for import consignment

I can review and assess documents for an import transaction for compliance with regulatory requirements

I can access Customs and other legislation and their implications for import clearance

I can identify missing or ambiguous documents or information and advise clients accordingly

Identify and analyse problems

I can analyse the requirements for import clearance transactions and identify and document any concerns

I can assess and record any identified concerns for import clearance transactions

Develop and review alternative solutions

I can provide alternative solutions to identified issues and problems while managing the risks involved, legislative requirements and client needs.

I can assess and document comparative benefits and risks of alternate solutions in accordance with workplace procedures

I can provide various options in a review of comparative benefits and risks and document the outcomes

Select and justify a solution

I can develop alternative solutions based on review outcomes and select a preferred solution

I can document the solution in accordance with workplace policies and procedures while providing due reference to compliance requirements and how these will be managed

I can identify critical issues during the review and analysis process and discuss/clear these with relevant internal and external personnel


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Analyse/advise/carry out integrated border clearance transactions (TLIX4036) contu:



Complete border clearance transaction

I can discuss the results of border clearance transaction review with the client

I can provide advice to clients on border clearance transactions including a recommended solution and a rationale for that solution

I can complete this integrated border clearance transaction in accordance with an agreed approach, relevant legislative requirements and workplace procedures

Document and record border clearance transaction

I can complete and verify the required documentation for an integrated border clearance transaction in accordance with legislative requirements and workplace procedures

I can enter the information into the appropriate system as required

I can create records of the integrated border clearance transaction including information on specific issues, problems and related solutions and actions taken

I can forward the relevant information to the client concerning border clearance transaction for compliance with regulatory requirements and according to workplace procedures

I can retain records according to legislative and workplace requirements

Implement formal review mechanism for dispute resolution

I can identify the need for a formal review in accordance with relevant Customs requirements

I can identify the most appropriate review mechanism in accordance with relevant Customs requirements

I can implement the identified review mechanism related to the border transaction in accordance with Customs requirements


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E.g. Current job

description

Y Item 45




29


ELECTIVE UNITS


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Elective information

You are required to attain just three elective units to complete the Diploma of Customs

Broking. In the following pages you will find self-assessment questions for some of the

common electives used by the CBFCA for its students studying the course.

However, there are other general electives listed in the Diploma qualification and we would be

delighted to discuss with you your experience across these other electives as required. Some

of these electives have come from the Diploma of International Freight Forwarding and so if

you have received this qualification, you will automatically be granted the electives you

completed in that course.

On this page is the full list of general electives as provided in the Diploma qualification

document. The highlighted units are the ones for which self-assessment questions are

provided on the following pages.

General Elective Units

Unit

TLIA5035 Manage international freight transfer

TLIG3002 Lead a work team or group

BSBCUS501

TLII4005

TLII4017

Manage quality customer service

Market services and products to clients

Develop freight customers

BSBMGT502

TLIL5063

Manage people performance

Review contracts, insurance, risk and liability in the international freight forwarding context

TLIM4004 Mentor individuals or small groups

BSBFIM501

BSBMGT515

TLIP5025

Manage budgets and financial plans

Manage operational plan

Set and achieve budget

TLIR4001

TLIR4002

TLIR4003

Monitor supplier performance

Source goods/services and evaluate contractors

Negotiate a contract


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Manage quality customer service (BSBCUS501)



I can investigate, identify and assess the needs of clients in the planning process

I can ensure plans achieve the quality, time and cost effective specifications with clients

I can deliver services to customer specifications within the organisation’s business plan

I can monitor team performance to consistently meet the organisation’s quality and delivery standards

I can assist colleagues to overcome difficulty in meeting customs service standards

I can develop and use strategies to monitor progress in achieving service targets and standards

I can develop and use strategies to obtain customer feedback to improve the provision of services

I can develop, procure and use resources effectively to provide quality service to clients

I can make decisions to overcome problems and to adapt client services in consultation with appropriate individuals and groups

I can manage records, reports and recommendations within the organisations’ systems and processes


32





E.g. Current job

description

Y Item 47




33


Manage people performance (BSBMGT502)



I can consult relevant groups and individuals on work to be allocated and resources available

I can develop work plans in accordance with operational plans

I can allocate work in a way that is efficient, cost effective and outcome focussed

I can confirm performance standards, code of conduct and work outputs with relevant teams and individuals

I can develop and agree performance indicators with relevant staff

I can conduct a risk analysis in accordance with the organisations risk management plan and legal requirements

I can design performance management and review processes to ensure consistency with organisation objectives

I can train participants in the performance management and review process

I can conduct performance management in accordance with organisational protocols

I can provide informal feedback to staff on a regular basis

I can advise relevant people when there is poor performance and take necessary actions

I can document performance in accordance with the organisation’s performance management system

I can write and agree performance plans

I can monitor and coach individuals with poor performance

I can counsel individuals who continue to perform below expectations

I can terminate staff in accordance with legal and organisational requirements where serious misconduct or ongoing poor performance continues


34





E.g. Current job

description

Y Item 49




35


Source goods/services and evaluate contractors (TLIR4002)

Monitor Supplier Performance (TLIR4002)



I can identify the purpose and specifications of required goods and services

I can determine the required quantities of goods/services

I can determine the required frequency of ordering goods and services

I can identify suitable contractors for the provision of goods and services

I can make comparative costings for the attainment of goods and services

I can evaluate contractors against established criteria

I can create a prioritised short list of contractors to provide a cost-competitive quality service

I can document the outcomes of the contractor selection process

I can document and implement procedures for the receival of supplied goods an services

I can assess contracted requirements of supplied goods and services for conformity to contracted requirements

I can undertake to rectify non-conformance in accordance with organisation procedures

I can refer issues on non-conformity outside of my scope of authority to designated personnel

I can annotate and make performance assessments to the supplier’s file

I can document actions taken in regard to non-conformance by suppliers

I can maintain system records in accordance with organisational information management systems and legal requirements where applicable


36





E.g. Current job

description

Y Item 51




37


Review contracts, insurance, risk and liability in the international fright forwarding context (TLIL5063)



Examine an international freight forwarding sales contract

I can review the relevant sales contract and confirm the Incoterm and other factors to the forwarder

I can use the sakes contract to determine project deadlines as well as the respective responsibilities, rights and liabilities between the buyer and seller

Examine an international freight forwarding service contract

I can review and confirm the service contract and supporting documents

I can interpret the service contract and supporting documents and take the required action

Manage risk in international freight forwarding

I can assess the risks with a planned international freight forwarding activity using appropriate risk analysis techniques

I can establish, in consultation with the client, suitable strategies for controlling identified risks

I can identify and monitor risk factors throughout the freight forwarding project

I can implement alternative routing and other risk control measures where justified in the event of critical contingencies that arise before or during the project

I can check that all conventions for international freight transport are fulfilled

Assist in organising insurance requirements for international freight forwarding

I can evaluate the insurance requirements for international freight transport taking into account the critical risk factors in the project

I can provide assistance in organising an appropriate policy proving the required cover for the project

I can provide assistance to the client to make claim in the event of loss or damage

I can lodge all documentation with the insurer in support of the insurance claim


38





E.g. Current job

description

Y Item 54




39


Review contracts, insurance, risk and liability in the international fright forwarding context (TLIL5063)



Manage legal liability in an international freight forwarding project

I can evaluate, using appropriate risk analysis, the risks of legal liabilities towards clients and third parties as a direct result of an internal mistake or negligence on the part of the freight forwarder

I can confirm or organise appropriate liability insurance that provides the required cover for the risks involved

I can make a claim on the insurance as per the policy in the event of loss or damage directly attributable to a forwarder’s mistake or an act of negligence

I can lodge with the insurer all documentation to support an insurance claim




E.g. Current job

description

Y Item 56



rpl pathway to the diploma of customs broking self … · 2018-12-12 · i can assess the nccc...

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