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Evidence Guide: FNSSUP602 - Manage official complaints procedures and proceedings

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

 

FNSSUP602 - Manage official complaints procedures and proceedings

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

Audit internal complaints procedures

  1. Assess current compliance requirements for complaints procedures
  2. Assess performance of internal complaints procedure
  3. Investigate and assess organisational compliance with current requirements
  4. Identify areas of non-compliance or required change
  5. Implement process for establishment of and/or improvement to formal internal complaints procedure
Assess current compliance requirements for complaints procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess performance of internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Investigate and assess organisational compliance with current requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas of non-compliance or required change

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement process for establishment of and/or improvement to formal internal complaints procedure

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess management of complaints procedures and processes

  1. Confirm documentation and communication of complaints according to organisational standards and compliance requirements
  2. Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements
  3. Implement system improvements according to findings of complaints audit
  4. Communicate assessment of complaints procedure to trustee and complainant
Confirm documentation and communication of complaints according to organisational standards and compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement system improvements according to findings of complaints audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate assessment of complaints procedure to trustee and complainant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide conciliation in complaints disputes

  1. Investigate unresolved complaints according to organisational procedures
  2. Check details of complaint
  3. Initiate conciliation procedures and implement with complainant according to organisational guidelines
  4. Implement conciliation outcomes if successful
  5. Process unsuccessful complaints according to organisational guidelines
Investigate unresolved complaints according to organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check details of complaint

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiate conciliation procedures and implement with complainant according to organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement conciliation outcomes if successful

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Process unsuccessful complaints according to organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Represent trustee in formal external proceedings

  1. Prepare case for external proceedings following organisational procedures
  2. Prepare documentation thoroughly and accurately
  3. Inform trustee and involve in proceedings as required
  4. Represent trustee at external proceedings
  5. Seek legal advice as required
Prepare case for external proceedings following organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare documentation thoroughly and accurately

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform trustee and involve in proceedings as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Represent trustee at external proceedings

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek legal advice as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement findings of external proceedings

  1. Communicate outcomes of external proceedings to trustee
  2. Implement findings of external proceedings as required
  3. Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint
Communicate outcomes of external proceedings to trustee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement findings of external proceedings as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint

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. 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

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. 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.