Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

FNSSUP602 Mapping and Delivery Guide
Manage official complaints procedures and proceedings

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency FNSSUP602 - Manage official complaints procedures and proceedings
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to conduct audits on internal complaints procedures, assess management of complaints procedures and proceedings, provide conciliation in complaints disputes, represent the trustee in formal proceedings and implement findings of external proceedings by the Superannuation Complaints Tribunal (SCT) or other external dispute bodies.It applies to individuals who use specialised knowledge and skills and have responsibility for managing and implementing quality processes and practices internally and external to the organisation.Work functions in the occupational areas where this unit may be used are subject to regulatory requirements. Refer to the FNS Implementation Guide Companion Volume or the relevant regulator for specific guidance on requirements.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

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.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Audit internal complaints procedures
  • Assess current compliance requirements for complaints procedures
  • Assess performance of internal complaints procedure
  • Investigate and assess organisational compliance with current requirements
  • Identify areas of non-compliance or required change
  • Implement process for establishment of and/or improvement to formal internal complaints procedure
       
Element: Assess management of complaints procedures and processes
  • Confirm documentation and communication of complaints according to organisational standards and compliance requirements
  • Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements
  • Implement system improvements according to findings of complaints audit
  • Communicate assessment of complaints procedure to trustee and complainant
       
Element: Provide conciliation in complaints disputes
  • Investigate unresolved complaints according to organisational procedures
  • Check details of complaint
  • Initiate conciliation procedures and implement with complainant according to organisational guidelines
  • Implement conciliation outcomes if successful
  • Process unsuccessful complaints according to organisational guidelines
       
Element: Represent trustee in formal external proceedings
  • Prepare case for external proceedings following organisational procedures
  • Prepare documentation thoroughly and accurately
  • Inform trustee and involve in proceedings as required
  • Represent trustee at external proceedings
  • Seek legal advice as required
       
Element: Implement findings of external proceedings
  • Communicate outcomes of external proceedings to trustee
  • Implement findings of external proceedings as required
  • Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint
       


Evidence Required

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.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

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

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Assess current compliance requirements for complaints procedures 
Assess performance of internal complaints procedure 
Investigate and assess organisational compliance with current requirements 
Identify areas of non-compliance or required change 
Implement process for establishment of and/or improvement to formal internal complaints procedure 
Confirm documentation and communication of complaints according to organisational standards and compliance requirements 
Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements 
Implement system improvements according to findings of complaints audit 
Communicate assessment of complaints procedure to trustee and complainant 
Investigate unresolved complaints according to organisational procedures 
Check details of complaint 
Initiate conciliation procedures and implement with complainant according to organisational guidelines 
Implement conciliation outcomes if successful 
Process unsuccessful complaints according to organisational guidelines 
Prepare case for external proceedings following organisational procedures 
Prepare documentation thoroughly and accurately 
Inform trustee and involve in proceedings as required 
Represent trustee at external proceedings 
Seek legal advice as required 
Communicate outcomes of external proceedings to trustee 
Implement findings of external proceedings as required 
Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint 

Forms

Assessment Cover Sheet

FNSSUP602 - Manage official complaints procedures and proceedings
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

FNSSUP602 - Manage official complaints procedures and proceedings

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: