List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
ELEMENT | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Audit internal complaints procedures | 1.1 Assess current compliance requirements for complaints procedures 1.2 Assess performance of internal complaints procedure 1.3 Investigate and assess organisational compliance with current requirements 1.4 Identify areas of non-compliance or required change 1.5 Implement process for establishment of and/or improvement to formal internal complaints procedure |
2. Assess management of complaints procedures and processes | 2.1 Confirm documentation and communication of complaints according to organisational standards and compliance requirements 2.2 Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements 2.3 Implement system improvements according to findings of complaints audit 2.4 Communicate assessment of complaints procedure to trustee and complainant |
3. Provide conciliation in complaints disputes | 3.1 Investigate unresolved complaints according to organisational procedures 3.2 Check details of complaint 3.3 Initiate conciliation procedures and implement with complainant according to organisational guidelines 3.4 Implement conciliation outcomes if successful 3.5 Process unsuccessful complaints according to organisational guidelines |
4. Represent trustee in formal external proceedings | 4.1 Prepare case for external proceedings following organisational procedures 4.2 Prepare documentation thoroughly and accurately 4.3 Inform trustee and involve in proceedings as required 4.4 Represent trustee at external proceedings 4.5 Seek legal advice as required |
5. Implement findings of external proceedings | 5.1 Communicate outcomes of external proceedings to trustee 5.2 Implement findings of external proceedings as required 5.3 Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint |
Evidence of the ability to:
audit internal complaints procedures and identify areas of non-compliance
assess management of complaints procedures and proceedings
provide conciliation in complaints disputes
represent trustees in formal external proceedings and implement findings of external proceedings
effectively work with the Superannuation Complaints Tribunal (SCT) and other external dispute bodies.
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, compliance and reporting requirements of the:
Superannuation (Resolution of Complaints) Act
Superannuation Industry (Supervision) (SIS) Act
identify timeframe requirements for compliance in complaints procedures
outline compliance responsibilities for complaints documentation
describe key features of
organisational standards and guidelines for handling complaints
organisational information, documentation and communication systems
discuss legal implications of non-compliance in complaints procedures
describe key features of Australian Securities and Investments Commission (ASIC) guidelines for providing information
describe the obligations of privacy legislation
explain the procedure and requirements for SCT
discuss risk management strategies.
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the superannuation field of work and include access to:
common office equipment, technology, software and consumables
organisational financial records
organisational policy and procedures.
Assessors must satisfy NVR/AQTF assessor requirements.