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Evidence Guide: FNSSUP501 - Supervise complaints procedures

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

FNSSUP501 - Supervise complaints procedures

What evidence can you provide to prove your understanding of each of the following citeria?

Assess internal complaints procedures

  1. Review workplace implementation of procedures for registering and handling complaints
  2. Assess implementation of procedures for efficiency in attaining organisational goals
  3. Identify areas for improvement in procedure and make recommendations to appropriate personnel
Review workplace implementation of procedures for registering and handling complaints

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess implementation of procedures for efficiency in attaining organisational goals

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for improvement in procedure and make recommendations to appropriate personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure complaints procedures are communicated to staff, members and clients

  1. Provide documentation of complaints procedures to relevant staff, members or clients
  2. Inform staff, members or clients of internal complaints procedure
  3. Inform staff, members or clients of external complaints procedure
  4. Refer member or client complaints to internal complaints procedure
Provide documentation of complaints procedures to relevant staff, members or clients

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform staff, members or clients of internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform staff, members or clients of external complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Refer member or client complaints to internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor and support internal complaints procedure

  1. Review documentation of complaints for accuracy, authenticity and completion
  2. Initiate follow up when further information or documentation is required
  3. Communicate with staff, members or clients as necessary to ensure procedure is correctly documented
  4. Communicate with staff, members or clients as necessary to ensure procedure is understood
  5. Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel
  6. Support staff, members or clients through complaints process
  7. Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives
Review documentation of complaints for accuracy, authenticity and completion

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiate follow up when further information or documentation is required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with staff, members or clients as necessary to ensure procedure is correctly documented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with staff, members or clients as necessary to ensure procedure is understood

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Support staff, members or clients through complaints process

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Supervise management of unresolved disputes

  1. Review outcomes from internal complaints procedure and investigate if required
  2. Identify unresolved complaints or disputes and process according to organisational guidelines
  3. Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures
  4. Check complaints documentation for completion and prepare for submission to external dispute bodies as required
  5. Provide documentation and representation for external proceedings as required
Review outcomes from internal complaints procedure and investigate if required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify unresolved complaints or disputes and process according to organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check complaints documentation for completion and prepare for submission to external dispute bodies as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide documentation and representation for external proceedings as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure compliance with complaints procedures

  1. Identify compliance requirements for complaints procedures
  2. Monitor internal procedures for compliance
  3. Rectify non-compliance practices according to organisational guidelines
  4. Ensure documentation of complaints meets compliance requirements
Identify compliance requirements for complaints procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor internal procedures for compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Rectify non-compliance practices according to organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure documentation of complaints meets compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure compliance with SCT decision

  1. Disseminate information received from SCT to trustee
  2. Implement SCT decisions
  3. Review supporting organisational procedures to incorporate required changes
Disseminate information received from SCT to trustee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement SCT decisions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review supporting organisational procedures to incorporate required changes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Assess internal complaints procedures

1.1 Review workplace implementation of procedures for registering and handling complaints

1.2 Assess implementation of procedures for efficiency in attaining organisational goals

1.3 Identify areas for improvement in procedure and make recommendations to appropriate personnel

2. Ensure complaints procedures are communicated to staff, members and clients

2.1 Provide documentation of complaints procedures to relevant staff, members or clients

2.2 Inform staff, members or clients of internal complaints procedure

2.3 Inform staff, members or clients of external complaints procedure

2.4 Refer member or client complaints to internal complaints procedure

3. Monitor and support internal complaints procedure

3.1 Review documentation of complaints for accuracy, authenticity and completion

3.2 Initiate follow up when further information or documentation is required

3.3 Communicate with staff, members or clients as necessary to ensure procedure is correctly documented

3.4 Communicate with staff, members or clients as necessary to ensure procedure is understood

3.5 Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel

3.6 Support staff, members or clients through complaints process

3.7 Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives

4. Supervise management of unresolved disputes

4.1 Review outcomes from internal complaints procedure and investigate if required

4.2 Identify unresolved complaints or disputes and process according to organisational guidelines

4.3 Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures

4.4 Check complaints documentation for completion and prepare for submission to external dispute bodies as required

4.5 Provide documentation and representation for external proceedings as required

5. Ensure compliance with complaints procedures

5.1 Identify compliance requirements for complaints procedures

5.2 Monitor internal procedures for compliance

5.3 Rectify non-compliance practices according to organisational guidelines

5.4 Ensure documentation of complaints meets compliance requirements

6. Ensure compliance with SCT decision

6.1 Disseminate information received from SCT to trustee

6.2 Implement SCT decisions

6.3 Review supporting organisational procedures to incorporate required changes

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Assess internal complaints procedures

1.1 Review workplace implementation of procedures for registering and handling complaints

1.2 Assess implementation of procedures for efficiency in attaining organisational goals

1.3 Identify areas for improvement in procedure and make recommendations to appropriate personnel

2. Ensure complaints procedures are communicated to staff, members and clients

2.1 Provide documentation of complaints procedures to relevant staff, members or clients

2.2 Inform staff, members or clients of internal complaints procedure

2.3 Inform staff, members or clients of external complaints procedure

2.4 Refer member or client complaints to internal complaints procedure

3. Monitor and support internal complaints procedure

3.1 Review documentation of complaints for accuracy, authenticity and completion

3.2 Initiate follow up when further information or documentation is required

3.3 Communicate with staff, members or clients as necessary to ensure procedure is correctly documented

3.4 Communicate with staff, members or clients as necessary to ensure procedure is understood

3.5 Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel

3.6 Support staff, members or clients through complaints process

3.7 Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives

4. Supervise management of unresolved disputes

4.1 Review outcomes from internal complaints procedure and investigate if required

4.2 Identify unresolved complaints or disputes and process according to organisational guidelines

4.3 Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures

4.4 Check complaints documentation for completion and prepare for submission to external dispute bodies as required

4.5 Provide documentation and representation for external proceedings as required

5. Ensure compliance with complaints procedures

5.1 Identify compliance requirements for complaints procedures

5.2 Monitor internal procedures for compliance

5.3 Rectify non-compliance practices according to organisational guidelines

5.4 Ensure documentation of complaints meets compliance requirements

6. Ensure compliance with SCT decision

6.1 Disseminate information received from SCT to trustee

6.2 Implement SCT decisions

6.3 Review supporting organisational procedures to incorporate required changes

Evidence of the ability to:

assess internal complaints procedures, demonstrating knowledge of the Superannuation Complaints Tribunal (SCT) and other external dispute body procedures

complete required complaint documentation

monitor internal procedures for complaint handling

maintain and supervise documentation systems according to compliance requirements, including documentation and reports for the SCT

demonstrate communication and training techniques.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

To complete the unit requirements safely and effectively, the individual must:

describe the key features and compliance and reporting requirements of superannuation legislation

outline the timeframe requirements for compliance in complaints procedures

identify compliance responsibilities for complaints documentation

identify and describe organisational goals, standards and guidelines for handling complaints

explain the legal implications of non-compliance in complaints procedures

outline the Australian Securities and Investments Commission (ASIC) guidelines for providing information

explain the privacy legislation obligations when dealing with complaints

describe the key features of organisational information, documentation and communication systems.