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Evidence Guide: FNSSUP501A - 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

 

FNSSUP501A - Supervise complaints procedures

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

Assess internal complaints procedure

  1. Workplace implementation of procedures for registering and handling complaints is reviewed
  2. Implementation of procedures is assessed for efficiency in attaining organisation goals
  3. Areas for improvement in procedure are identified and recommendations made to appropriate personnel
Workplace implementation of procedures for registering and handling complaints is reviewed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implementation of procedures is assessed for efficiency in attaining organisation goals

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas for improvement in procedure are identified and recommendations made to appropriate personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure complaints procedures are communicated to staff and members/clients

  1. Documentation of complaints procedures is made available to staff and or members/clients
  2. Staff and members/clients are informed of internal complaints procedure
  3. Staff and members/clients are informed of external complaints procedure
  4. All member/client complaints are referred to the internal complaints procedure
Documentation of complaints procedures is made available to staff and or members/clients

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff and members/clients are informed of internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff and members/clients are informed of external complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

All member/client complaints are referred to the internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor and support the internal complaints procedure

  1. Documentation of complaints is reviewed for accuracy and completion
  2. Follow-up is initiated when further information or documentation is required
  3. Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented
  4. Staff and/or member/client is communicated with as necessary to ensure procedure is understood
  5. Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel
  6. Staff and/or clients/members are supported through complaints procedures
  7. Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives
Documentation of complaints is reviewed for accuracy and completion

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Follow-up is initiated when further information or documentation is required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff and/or member/client is communicated with as necessary to ensure procedure is understood

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff and/or clients/members are supported through complaints procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Supervise management of unresolved disputes

  1. Outcomes from internal complaints procedure are reviewed and investigated if required
  2. Unresolved complaints or disputes are identified and processed according to organisation guidelines
  3. Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures
  4. Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required
  5. Documentation and representation for external proceedings are provided as required
Outcomes from internal complaints procedure are reviewed and investigated if required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Unresolved complaints or disputes are identified and processed according to organisation guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Documentation and representation for external proceedings are provided as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure compliance of complaints procedures

  1. Compliance requirements for complaints procedures are identified
  2. Internal procedures are monitored for compliance
  3. Non-compliance practices are rectified
  4. Documentation of complaints meets compliance requirements
Compliance requirements for complaints procedures are identified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Internal procedures are monitored for compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Non-compliance practices are rectified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Documentation of complaints meets compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure compliance with SCT decision

  1. Information received from SCT is disseminated to trustee
  2. SCT decisions are implemented
  3. Supporting organisation procedures are reviewed
Information received from SCT is disseminated to trustee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

SCT decisions are implemented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Supporting organisation procedures are reviewed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the ability to:

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

Context of and specific resources for assessment

Assessment must ensure:

competency is demonstrated in the context of the work environment and conditions specified in the range statement either in a relevant workplace or a closely simulated work environment

access to and the use of a range of common office equipment, technology, software and consumables

access to organisation financial records

access to organisation policies and procedures.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples, in combination, are appropriate for this unit:

evaluating an integrated activity, which combines the elements of competency for the unit, or a cluster of related units of competency

observing processes and procedures in workplaces

verbal or written questioning on underpinning knowledge and skills

evaluating samples of work

accessing and validating third party reports

setting and reviewing workplace business simulations or scenarios.

Guidance information for assessment

Required Skills and Knowledge

Required skills

Well-developed communication skills to:

liaise with others, share information, confirm work requirements, using questioning and active listening as required

use language and concepts appropriate to cultural differences

numeracy and IT skills to:

perform calculations related to fund operations

access and update account records electronically

use internet information

well-developed literacy skills to read and interpret documentation from a variety of sources and record and consolidate related information

data analysis and interpretation skills

interpersonal skills to relate effectively within a team environment

organisation skills, including the ability to plan and sequence work

supervisory and team building skills

research and analysis for accessing, interpreting and managing complex information

interpreting documentation

coordinating tasks

problem-solving skills to identify any issues that have the potential to impact on the superannuation complaints resolution process or outcome and to develop options to resolve these issues when they arise

Required knowledge

features, compliance and reporting requirements of the Superannuation (Resolution of Complaints) Act 1993

timeframe requirements for compliance in complaints procedures

compliance responsibilities for complaints documentation

organisation standards and guidelines for handling complaints

legal implications of non-compliance in complaints procedures

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

Privacy Act

organisation information, documentation and communication systems

fraud prevention practices

Corporations Act

Superannuation Industry (Supervision) (SIS) Act

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Organisation goals may include:

compliance

equity

minimal complaints

positive relationships with members

professional service.

Communication may be by:

electronic communication

verbal interaction (by phone/in person)

written documentation (brochures/letter).

Appropriate personnel may include:

formal complaints officer

fund secretary

senior management

trustee.

Organisation guidelines may include:

best practice standards

codes of practice

documentation and filing procedures

internal communications

legislative requirements

regulatory requirements

system/computer procedures.