Last update on 21 July 2017 This latest version (21 June 2017) replaces all the previous versions of this document.

Transcription

1 Hong Kong Council for Accreditation of Academic and Vocational Qualifications Assessment Criteria for The Continuing Professional Development Programme Insurance Intermediaries Quality Assurance Scheme Last update on 21 July 2017 This latest version (21 June 2017) replaces all the previous versions of this document. 1. Preamble 1.1 Under the Insurance Intermediaries Quality Assurance Scheme (IIQAS), insurance intermediaries, their responsible officers/chief executives and technical representatives (collectively termed as insurance intermediaries ) are required to comply with the requirements of the IIQAS Continuing Professional Development (CPD) Programme. 1.2 The objective of the is to ensure that insurance intermediaries continue to possess updated knowledge, professional competence and standard in providing advice and service to the policy holders and potential policy holders. 1.3 Insurance intermediaries are required to earn 10 CPD hours every year. CPD hours can be earned through participation in structured face-to-face activities approved for the. Structured face-to-face activities refer to activities which require involvement with other people such as training courses, seminars, or workshops. 2. Assessment of CPD Activities 2.1 The Hong Kong Council for Accreditation of Academic and Vocational Qualifications (HKCAAVQ) has been appointed by the Insurance Authority (IA) as the sole assessment authority for the CPD Programme. The HKCAAVQ is responsible for setting the assessment criteria and assessing CPD activities. 2.2 CPD activity providers should be able to demonstrate their abilities and capacities for conducting relevant activities and should have suitable venues. To this end, CPD activity providers are required to submit documentation which details the objectives, content, the number of CPD hours, nature of the CPD activities, admission and assessment requirements (if any), instructor/presenter CVs, floor plan, rental agreement and insurance coverage of the venue(s), facilities, quality assurance mechanisms, and draft publicity materials such as course/seminar/workshop brochure. The HKCAAVQ may request further

2 information and meet with the responsible instructors/presenters and other personnel as required for the assessment. 2.3 The cost of assessment will be borne by CPD activity providers concerned according to the fee schedule promulgated by the HKCAAVQ and paid to the HKCAAVQ at the time of application. (For details, please refer to para.7.) The HKCAAVQ will periodically publish a list of the approved CPD activities and their respective CPD hours on its web site at The online Application Forms for Assessment, Re-assessment and Change of CPD activity are available on HKCAAVQ website at The required information and documents to be submitted at the time of application can been found in Appendix I for reference. 2.5 Some of the following assessment criteria are compulsory, which are printed in bold type. 3. Assessment Criteria of CPD Activities 3.1 Content The overall objective of the CPD activity should be the maintenance and improvement of knowledge and skills, and/or the development of the personal qualities necessary for the execution of the professional duties of insurance intermediaries. Activity titles should be reflective of the activity content Modules within the same activity must share a common theme and learning objective. In general, an activity can be approved with a modular structure if the activity meets all of the following 3 criteria: Each module fulfils the aims and objectives of the activity as proposed; The content of the module provides stand-alone knowledge and skills; and The stand-alone knowledge and skills can be successfully delivered to achieve the learning outcome of the module even if participants have not attended other modules of the same activity. Therefore, in general an individual module of less than one contact hour will not be approved. HKCAAVQ 2

3 3.1.3 Qualified CPD activities are structured face-to-face activities (i.e. activities which require involvement with other people such as training courses, seminars or workshops) and must be related to local insurance (or related) legislation, regulatory aspects of insurance practice in Hong Kong, insurance, actuarial science, risk management, financial planning, or other disciplines which are directly related to the work of insurance intermediaries, such as investment, law and legal knowledge, finance, business, commerce, management, engineering or communication skills. Product-specific knowledge, general language and generic IT skills will not be qualified for approval. Generally, one CPD hour can be earned for each hour s participation in these activities Courses generally refer to a series of activities with a longer time duration, often with a curriculum and leading to an award like certificate or diploma. Seminars refer to information dissemination sessions possibly with some discussions and participation. Workshops are much more interactive emphasizing more on participation and hands-on training Course materials, seminar handouts, or seminar papers, and lesson plans with an hourly breakdown should be submitted to the HKCAAVQ for assessment. 3.2 Mode of Delivery CPD activity providers are encouraged to offer a variety of modes of attendance, such as activities conducted in evenings, weekends, day-release, and/or holidays to cater for the different needs of participants. Upon approval, a copy of the schedule/timetable of the CPD activity should be ed, in the form of an attached Microsoft Word or Excel file, to the HKCAAVQ (info@hkcaavq.edu.hk) and the IA (iiqas@ia.org.hk), at least seven working days before delivery of the activity. Written notice of any subsequent changes in time schedules, course venues or cancellation of classes should be given to the HKCAAVQ and the IA as soon as possible, as there may be unannounced class visits to the activity venue. The schedules should include the following information: Name of organiser Name of activity Reference number of the approved CPD activity HKCAAVQ 3

4 assigned by the HKCAAVQ Date and time of the activity Venue of the activity (full address should be provided) Number of CPD hours to be granted to participants Contact person and his/her telephone numbers CPD activity providers may explore the use of a variety of learning resources and materials. All CPD activities should be conducted on a face-to-face and supervised basis CPD activity providers should keep attendance registers with particulars of each of the participants. The HKCAAVQ, the IA and the relevant self-regulatory organizations may need to inspect the registers from time to time. An attendance record/certificate should be provided to each of the participants. Please refer to para.8.1 for the expected format of the certificate One hour of activity participation will generally be awarded one CPD hour. One CPD hour should be deducted where a participant is late for 15 minutes or more. If the participant has not attended the CPD activity in full, he/she should only be proportionately awarded the number of CPD hours with respect to the hours that he/she has attended For award-bearing CPD activities such as Diploma/Certificate courses, participants should be provided with adequate access to learning support facilities, such as libraries and/or self-study materials. 3.3 Activity Assessment Where applicable, consideration should be given to the need for an assessment component. The assessment may take the form of a one-sitting examination or continuous assessment or both. If both, the weightings should be indicated. There should be a fair and consistent assessment scheme and regulations which should be well understood by both participants and course instructors. Time spent on assessment will not qualify for CPD hours If assessment components are present, CPD activity providers should keep records of the following, which may be inspected by the HKCAAVQ where necessary: (a) assessment questions, and (b) assessment results of each participant, and HKCAAVQ 4

5 (c) samples of marked participants assessment work drawn from the bottom, middle and the top ranks For award-bearing CPD activities such as Diploma/ Certificate courses, participants should be given attendance/graduation certificates and/or transcripts showing their assessment results, and dates of course completion. 3.4 Instructors or Presenters CPD activity providers should recruit an adequate number of appropriately qualified and experienced instructors or presenters The instructors or presenters should have relevant academic and/or professional qualifications, and will have normally an appropriate level of teaching and/or industry experience. In the application form, CPD activity providers should clearly state their appointment criteria including required academic qualifications, professional qualifications and training/industry experience Detailed information about instructors/presenters, including their names, academic qualifications and awarding institutions, professional qualifications and awarding institutions, and training and/or industry experience, should be provided with the application For all CPD activities, there should be a person-in-charge who is responsible for the overall management and quality of the activity. The person should possess relevant training or experience in managing similar activities. 3.5 Quality Assurance CPD activity providers should have in place a comprehensive mechanism for assuring and monitoring the quality of the activity such as internal course approval procedures, class observation, review meeting, follow-up action taken in response to participants feedback and etc. to ensure that the activity is delivered up to standard. Besides, they should also ensure proper attendance monitoring procedures are in place for the activity, including verification of the identity of participants against their identification documents. If any impersonation in attendance is identified in the activity, CPD activity providers HKCAAVQ 5

6 should report to the IA or the relevant self-regulatory organizations The processes for quality assurance should be well documented and clearly understood by all personnel involved. The HKCAAVQ reserves the right to inspect these documents Participant evaluations should be carried out at the end of CPD activities, and there should be a statement in the evaluation forms indicating that dissatisfied participants can approach the HKCAAVQ if they have any complaints Should any significant change in the activities be introduced during the approval period, e.g. changes to activity title, contact hours, content, instructors/presenters, assessment requirements, training venue(s), nature of the activity, etc., CPD activity providers are required to obtain the approval of the HKCAAVQ in advance. The HKCAAVQ reserves the right to re-assess the activities. Upon re-assessment and where necessary, the HKCAAVQ may suspend or revoke the approval status of the activities, or specify conditions to be met. If the change request is considered to be substantial such as involving over 30% of additional course content or CPD hours, the HKCAAVQ may impose a surcharge equivalent to 50% of the original re-assessment fee. (For details of fee schedule, please refer to para. 7) The providers should agree to allow members or representatives of the HKCAAVQ and the IA to attend any of the activities free of charge for quality assurance purposes, including but not limited to the inspection of the attendance monitoring procedures of the activity. The HKCAAVQ and the IA reserve the right to obtain independent feedback from activity participants during or after the activities In the case where the activity is delivered outside the Hong Kong territory, and the HKCAAVQ decides to attend the activity when it is held, the provider shall bear the expenses of the visitation conducted and be charged at cost recovery basis. For simplicity in calculation, out-of-territory visitations will be charged as follows: Duration of Visitation Disbursement of travel & accommodation expenses HKCAAVQ 6

7 Conducted within one day Overnight stay required $1,500 $2, Where a visitation is to be conducted outside the Hong Kong territory, the HKCAAVQ will inform the provider in its approval letter. Disbursement shall be payable by cheque to the HKCAAVQ 2 weeks before the visitation. 3.6 Other Requirements CPD activity providers should cooperate with the HKCAAVQ, the IA and the relevant self-regulatory organizations The HKCAAVQ and/or the IA may conduct inspection of CPD activities without prior notice. 4. Assessment Outcome of CPD Activities 4.1 The possible assessment outcomes can be one of the following:- (a) (b) (c) The CPD activity is unconditionally approved as presented; OR The CPD activity is approved subject to conditions (In such cases, the HKCAAVQ will monitor the fulfillment of conditions at the appropriate time.); OR The CPD activity is not approved. (It might be because the proposed CPD activity is not conducive to the professional development of the insurance intermediaries, or because the proposed CPD activity does not meet any of the stated criteria or does not meet the expected standard of CPD activities.) 4.2 Where conditions are stipulated for approval, these are mandatory and failure to comply with the stipulated condition(s) by the required time frame will result in withdrawal of the approval status. 4.3 Upon written statements of approval issued by the HKCAAVQ, approved CPD activities may use the following statements in their marketing/advertising/promotional materials/literature: e.g. approved by the HKCAAVQ. In this connection, CPD activity providers should submit all their publicity materials which mention the HKCAAVQ for approval. HKCAAVQ 7

8 4.4 The HKCAAVQ shall monitor the progress of the activities and may, if necessary, request CPD activity providers to follow certain conditions or directions relating to the operation of the activities which are aimed at maintaining the activity within the assessment criteria and framework. 4.5 Non-approval is accorded to a proposed CPD activity which in the opinion of the HKCAAVQ is not conducive to the professional development of the insurance intermediaries, or which is found to be of substandard quality. 4.6 In the event of non-approval, CPD activity providers may re-submit the proposal after appropriate changes have been made. Fees will be charged when the additional assessment work is substantial. 5. Re-assessment of CPD Activities 5.1 Approved CPD activities will be subject to re-assessment on an annual basis. An annual re-assessment exercise will be instituted about 12 months after approval. If the provider does not apply for re-assessment, the approval status of the activity will automatically cease at the end of the approval period. This exercise is to ascertain whether the number of CPD hours of the CPD activities should remain the same. The new approval period for the re-assessed activity should commence after the re-assessment is approved. 5.2 Approved CPD activities not submitted for re-assessment within six months of expiry will be treated as expired cases. They will be treated as new cases for assessment if submitted thereafter. Fees will then be charged according to the assessment fee schedule. 5.3 An annual re-assessment form can be downloaded from the HKCAAVQ website ( 5.4 Activity providers are required to report any approved changes during the approval period and proposed new changes to the CPD activity in the next approval period with supporting document(s) in the re-assessment application. Information such as completion rate, examination/continuous assessment passing rate (if applicable) and quality assurance measures taken should be provided. Please also attach the updated lesson plan with hourly breakdown, instructor/presenter list and summary of participant evaluation for re-assessment. 6. Information for CPD Participants HKCAAVQ 8

9 Upon approval, CPD activity providers should provide, where appropriate, the following information to the prospective participants:- General Information Activity title Approval reference number of the CPD activity assigned by the HKCAAVQ Name of activity provider Aims and objectives Number of CPD hours Contact hours Description of the CPD Activity Synopsis of contents Type of activity, such as training course, seminar, workshop, etc. Instructors or presenters Mode of delivery Dates and venue Additional Information For Award-Bearing CPD Courses Title of award Assessment requirements, if any Facilities and Support Admission Target participants Proposed date of the first delivery Frequency of the activity per year Minimum and maximum number of participants per activity Admission requirement, if any Fees Fees charged, if any Refund policy and procedure, if any 7. Fee Schedule HKCAAVQ 9

10 7.1 Assessment of one CPD activity Minimum charge (a CPD activity with no more than 8 contact hours) $8,000 $3,000 will be charged to each additional 8 contact hours. For instance, Total number of contact hours Fee $8,000 $11,000 $14,000 $17,000 $20,000 Notes 1: The fees are charged for the assessment work irrespective of the assessment outcome. Fees are payable in advance. 2: Cheques should be made payable to Hong Kong Council for Accreditation of Academic and Vocational Qualifications. 7.2 Annual re-assessment of one CPD activity Minimum charge (a CPD activity with no more than 8 contact hours) $3,000 $1,000 will be charged to each additional 8 contact hours. For instance, Total number of contact hours Fee $3,000 $4,000 $5,000 $6,000 $7, Responsibilities HKCAAVQ 10

11 8.1 An attendance certificate should be provided to each of the participants CPD activity providers should include the following information in the certificate:- Name of CPD activity provider Title of the CPD activity (if the participants did not attend the full activity, then the modules attended should also be indicated.) Reference number of the approved CPD activity assigned by the HKCAAVQ Date(s) of the CPD activity Full name of the participant as shown on the identification document CPD hours attended by the participant The certificate should bear the signature and name of a responsible person (e.g. the head of organization or person-in-charge), as well as the stamp, of the organization or association. 8.2 To facilitate the work of the HKCAAVQ, CPD activity providers should liaise closely with the HKCAAVQ. 8.3 CPD activity providers applying for assessment shall be responsible for providing all necessary and required information to the HKCAAVQ, and access to facilities and personnel as required. The HKCAAVQ shall bear no responsibility for its inability to proceed with any part of the assessment or any delays to the process if any such required information or access is not provided. 8.4 Provided that all relevant information is submitted, CPD activity providers will normally receive from the HKCAAVQ a formal notification of the results of their applications, successful or otherwise, approximately four weeks after the date of application. 8.5 In any event the HKCAAVQ shall not be held responsible for any consequences arising from the assessment process including any delays to the validation process or any cessation of the process however these may be caused. HKCAAVQ 11

12 8.6 CPD activity providers may not withdraw from the assessment once the application and the payment of fees have been received by the HKCAAVQ. The fee is payable to the Hong Kong Council for Accreditation of Academic and Vocational Qualifications irrespective of the outcome of the assessment (re-assessment). The HKCAAVQ reserves the right not to accept any request for assessment of all or any part of the activities proposed. 8.7 If at any time during the approval period, CPD activity providers fail to, or are unable or unwilling to comply with any direction or condition stipulated by the HKCAAVQ, or the guidelines as stated in this document, the HKCAAVQ may suspend or revoke the approval status of the CPD activities after a reasonable period of notification. 8.8 For CPD activities run on a re-current basis, CPD activity providers should provide an advance notice to the HKCAAVQ of no less than one calendar month if they wish to discontinue the offering. 9. Enquiries For enquiries, CPD activity providers may contact the HKCAAVQ Secretariat at:- 10 Siu Sai Wan Road, Chai Wan, Hong Kong Tel: Fax: info@hkcaavq.edu.hk HKCAAVQ 12

13 Appendix I Assessment Application Form The Continuing Professional Development Programme for Insurance Intermediaries Last update on 10 April 2017 This latest version (10 April 2017) replaces all the previous versions of this document. Under the Insurance Intermediaries Quality Assurance Scheme (IIQAS), insurance agents and insurance brokers, their responsible officers/chief executives and technical representatives (collectively termed as insurance intermediaries ) are required to comply with the requirements of the IIQAS Continuing Professional Development (CPD) Programme. The Hong Kong Council for Accreditation of Academic and Vocational Qualifications (HKCAAVQ) has been appointed by the Insurance Authority (IA) as the sole assessment authority for the. The HKCAAVQ is responsible for setting the assessment criteria and assessing CPD activities. To apply for assessment, CPD activity organizers should submit all relevant supporting information. Incomplete information may cause delay in processing the application. The HKCAAVQ may approach you for further information in relation to the application, if necessary. Any personal data as required in this form will be used for the application only. The provision of personal data by means of this form is obligatory. Please also note that the person concerned has the right of access to and correction of the personal data provided by means of this form. Please complete and submit one Application Form for one CPD activity together with the required fee to: Hong Kong Council for Accreditation of Academic and Vocational Qualifications 10 Siu Sai Wan Road, Chai Wan, Hong Kong Please refer to the Assessment Criteria when filling in the form Title of activity Name of activity organizer Proposed starting date (For Office Use Only) Ref. No.: Date of Receipt HKCAAVQ 13

14 SECTION A Activity Organizer 1 Please provide background information about the organizer/course provider as Attachment 1. 2 Years of experience in organizing the CPD or related activity [For new organizer/course provider, please a) provide information of similar activities offered in the past, e.g. titles, objectives, target participants, etc. (Attachment 2); b) attach a copy of the Business Registration or Certificate of Incorporation (Attachment 3).] 3. Responsible Persons Name Head of organization/ department Person-in-charge Authorized contact person* (if different from person-in-charge) Position Organization Address Phone Fax * The HKCAAVQ will direct inquiries about the application to the authorized contact person, whose name and phone number will be put on the HKCAAVQ Website for approved CPD activities open to the public. Please inform the HKCAAVQ when there are changes in the above information. HKCAAVQ 14

15 SECTION B Information about the Activity 1 Target participants In-house (employees of CPD Provider) General Public Employees of Commissioning Body Others (Please specify): 2 Number of CPD hours applied for (Please provide a lesson plan of the activity/each module including module titles, CPD hours and content (if applicable) with hourly breakdown as Attachment 4.) 3 Modular Design Yes No If Yes, module(s) by number of hours 4 Duration of the activity (days/weeks/months) 5 Aims and objectives 6 Type of the activity Course Seminar Workshop Others (Please specify) 7 Contents of the activity Local insurance (or related) legislation Regulatory aspects of insurance practice in Hong Kong Insurance Risk Management Actuarial science Financial planning Other disciplines which are directly related to the work of insurance intermediaries (Please specify) HKCAAVQ 15

16 8 Number of participants per activity (a) Minimum (b) Maximum 9 Activity venue(s)* Venue address 1. Venue capacity *If there are more than 5 venues, please attach the addresses and capacities of other venues. *For new venue(s) not previously approved by the HKCAAVQ, please provide supporting documents such as floor plan(s), rental agreement(s) and insurance coverage for third party liability as Attachment Spoken language of delivery English Cantonese Putonghua 11 Language of printed materials: English Chinese (Please provide a full set of course materials, seminar handouts, or seminar papers as Attachment 6.) 12 Frequency of the activity per year 13 Are the participants of CPD activity required to complete any examination and/or continuous assessment? Yes (please complete the following) No The passing mark: (Please provide sample documents of the examination and/or continuous assessment including assessment criteria as Attachment 7.) HKCAAVQ 16

17 SECTION C Staff Profile 1. Minimum appointment criteria of instructor/presenter for the activity (a) Educational qualification and/or* (b) Professional qualification and/or* (c) Year of training/industry experience (* Please delete as appropriate.) 2 Instructors/Presenters Name, Current Position And Title Academic Qualification & Awarding Institution Professional Qualification & Awarding Institution Years of Training Experience Years of Industry Experience (You may provide the information as Attachment 8 if there are many instructors/presenters.) 3 Person-in-charge (a) Name (b) Position in the organization (state whether full-time/part-time) (c) Full-time position (if different from above) (d) Experience in managing or conducting the training course (e) Academic qualifications and awarding institutions (f) Professional qualifications and awarding institutions HKCAAVQ 17

18 SECTION D Quality Assurance According to the Assessment Criteria, participant evaluations should be carried out at the end of CPD activities. Please provide an evaluation form as Attachment 9. Please also briefly describe the other quality assurance measures such as internal course approval procedures, attendance monitoring procedure, class observation(s), review meeting(s) on monitoring the CPD activity and follow-up participants feedback, if available, as Attachment 10. [For new organizer/course provider, please attach a sample attendance certificate for the CPD activity (please refer to Para 8.1 of the Assessment Criteria for The Continuing Professional Development Programme for details) as Attachment 11.] SECTION E Fees and Refund 1 Free of charge Fee paid by organisation Fee paid by participants: $ 2 Any other miscellaneous fees? Yes No If, please provide the details below. Item Amount 3 Is there any refund arrangement? Yes No If, please provide the details below. HKCAAVQ 18

19 SECTION F Statement by the Head of Organization/Department I will abide by the HKCAAVQ Assessment Criteria, and declare that all the information provided in the application form is accurate to the best of my knowledge. I understand and accept that the HKCAAVQ may approach us direct for further information regarding the application. I also understand and accept that a non-refundable assessment fee is charged for the assessment work irrespective of the assessment outcome, and the fees should be made payable in advance to the Hong Kong Council for Accreditation of Academic and Vocational Qualifications. A person who, either orally or in writing, makes any statement or representation or furnishes any information to the HKCAAVQ in connection with the performance of its functions under the HKCAAVQ Ordinance (Chapter 1150) which the person knows or reasonably ought to know is misleading or false in a material respect commits an offence and is liable on conviction to a fine at level 5. Name Signature Position Date HKCAAVQ 19

20 Checklist of Documents to be attached to Assessment Application of CPD Activity for Insurance Intermediaries Please check the following documents are completed and attached to this application form before submission. Failure to provide the following documents may delay the assessment process and affect the assessment outcome. Attachment No. Documents Concerned Availability For official use 1. Background information about the organizer/ course provider 2. Information of similar activities offered in the past (applicable to new organizer/course provider only) not applicable 3. Copy of Business Registration / Certificate of Incorporation (applicable to new organizer / course provider only) 4. Lesson Plan with Hourly Breakdown; For CPD activity adopting modular design, an outline of all modules including module title, CPD hours, content and number of modules should be clearly specified 5. Information on teaching venue(s) including floor plan(s), rental agreement(s) and insurance coverage for third party liability (applicable to new venue(s) not previously approved by the HKCAAVQ) 6. A full set of course materials, seminar handouts, or seminar papers 7. Sample documents of examination and/or continuous assessment including assessment criteria (where applicable) 8. Profiles of all instructors or presenters including their academic and professional qualifications, and training/industry experience not applicable not applicable not applicable 9. A sample End-of-Activity Participant Evaluation Form 10. Description of Quality Assurance Mechanisms such as internal course approval procedures, attendance monitoring procedure, class observation(s), review meeting(s) on monitoring the CPD activity and follow-up participants feedback 11. Sample attendance certificate for the CPD activity (applicable to all assessment applications) -- END -- HKCAAVQ 20

21 Re-assessment Application Form The Continuing Professional Development (CPD) Programme for Insurance Intermediaries Last update on 1 September 2016 This latest version (1 September 2016) replaces all the previous versions of this document. According to the Assessment Criteria of the Programme, approved CPD activities are subject to re-assessment on an annual basis. An annual re-assessment exercise will be instituted about 12 months after approval. This exercise is to ascertain whether the number of CPD hours of the CPD activities should remain the same. If approval is not renewed, the approval status of the activity will automatically cease after the approval period. The HKCAAVQ will not return the application form and any documents received to the activity organiser regardless of the outcome. Any personal data required in this form will be used only for the purpose of applying for re-assessment. Please note that according to the Personal Data (Privacy) Ordinance (Cap. 486), the person concerned has the right of access to and correction of the personal data provided in this form. Please complete and submit one Application Form for one CPD activity together with the required fee to:- Hong Kong Council for Accreditation of Academic and Vocational Qualifications 10 Siu Sai Wan Road, Chai Wan, Hong Kong Title of activity: Ref. No.: Name of activity organiser: Existing approval period From: To: Approval period applied for From: To: Number of CPD hours approved in the existing approval period: Target participants: (In-house/General Public/Commissioning Body/Others: )* (* Please delete as appropriate.) For Office Use Only Fee Date of Receipt HKCAAVQ 21

22 SECTION A Responsible Persons Head of organization/ department Person-in-Charge Authorized contact person* (if different from person-in-charge) Name Position Organisation Address Phone Fax address * The HKCAAVQ will direct inquiries about the application to the authorized contact person, whose name and phone number will be put on the HKCAAVQ Website for approved CPD activities open to the public. Please inform the HKCAAVQ when there are changes in the above information. SECTION B Activity Statistics During the approval period, 1. Number of times the CPD activity has been held 2. Total number of attendees 1 3. Total number of participants who have successfully completed the activity 2 1 The total number of attendees refers to the number of participants who have signed in to the CPD activity. 2 If the CPD activity adopts a modular design, please provide an attachment of the breakdown of the above figures for each of the modules. HKCAAVQ 22

23 SECTION C Changes since Last Approval Item 1. Name of activity 2. Type of activity 3. No. of CPD Hours 4. Target participants 5. Max. no. of participants per activity 6. Activity content 1 7. Activity venue 2 8. Mode of delivery 9. Person-in-charge 10. Instructor(s) Activity assessment 12. Others Changes already made during the approval period * Changes to be approved by the HKCAAVQ (effective from the next approval period) *As required by the Assessment Criteria, prior approval of the HKCAAVQ should have been sought for these changes. 1 Lesson plan for the next approval period must be attached. For CPD activity adopting modular design, an outline of all modules including module title, CPD hours and content should be provided. If there is/are change(s) in the course contents, a full set of updated course materials, seminar handouts, and/or seminar papers is required. A comparison table should also be submitted to report the change(s) with rationale for the amendment(s). 2 List of approved activity venues with full addresses and capacities for the next approval period must be attached. If there is change in activity venue(s), CPD provider should provide floor plan(s), rental agreement(s) and insurance coverage for third party liability of the new activity venue(s). 3 List of instructors, including their academic and professional qualifications, and training/industry experience, for the next approval period must be attached. HKCAAVQ 23

24 SECTION D Quality Assurance Please provide a summary report of the participant evaluation and a brief report of the quality assurance activities conducted during the reporting period such as date(s) of course evaluation meeting(s), class observation(s), and follow-up action(s) on identified issue(s) from the participant s evaluation. In case the CPD participants are required to complete any examination and / or continuous assessment, please provide the passing rate for individual assessment item. SECTION E Statement by the Head of Organization/Department I will continue to abide by the Assessment Criteria, and declare that all the information provided in this Application Form is accurate to the best of my knowledge. I understand and accept that the HKCAAVQ may approach us direct for further information. I also understand and accept that the re-assessment fee is non-refundable irrespective of the re-assessment outcome because it is charged for the assessment work, and that the fee should be made payable in advance to the Hong Kong Council for Accreditation of Academic and Vocational Qualifications. A person who, either orally or in writing, makes any statement or representation or furnishes any information to the HKCAAVQ in connection with the performance of its functions under the HKCAAVQ Ordinance (Chapter 1150) which the person knows or reasonably ought to know is misleading or false in a material respect commits an offence and is liable on conviction to a fine at level 5. Name Signature Position Date HKCAAVQ 24

25 Checklist of Documents to be attached to Annual Re-assessment Application of CPD Activity for Insurance Intermediaries Please check if the following documents are completed and attached to this application form before submission. Failure to provide the following documents may delay the assessment process and affect the outcome of annual re-assessment. Attachment No. Documents Concerned Availability For official use 1. Updated lesson Plan with Hourly Breakdown; For CPD activity adopting modular design, an outline of all modules including module title, CPD hours, content and number of modules should be clearly specified. 2. If there are any changes in the course contents, a full set of updated course materials, seminar handouts, and/or seminar papers is required. A comparison table should be submitted to report the change(s). CPD provider should also provide the rationale for the amendment(s). 3. List of approved activity venue(s) for the next approval period with full address(es) and capacity(ies). 4. Report of change in teaching venue(s) including floor plan(s) with capacity(ies), rental agreement(s) and insurance coverage for third party liability. 5. Profiles of all instructors or presenters including their academic and professional qualifications, and training/industry experience. 6. Summary of course evaluation results for the reporting period. 7. Report of quality assurance activities conducted during the reporting period such as date(s) of course evaluation meeting(s), class observation(s), and follow-up action(s) on identified issue(s) from the participant evaluation. not applicable not applicable 8. Passing rate(s) of examination and/or continuous assessment (where applicable). -- END -- not applicable HKCAAVQ 25