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

FNSSUP501 Mapping and Delivery Guide
Supervise complaints procedures

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency FNSSUP501 - Supervise complaints procedures
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to supervise the implementation of internal and external complaints procedures, ensuring compliance with complaint procedures and Superannuation Complaints Tribunal (SCT) decisions.It applies to individuals who have responsibility for ensuring quality practices and industry requirements are effectively implemented, maintained and communicated to all personnel.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: Assess internal complaints procedures
  • Review workplace implementation of procedures for registering and handling complaints
  • Assess implementation of procedures for efficiency in attaining organisational goals
  • Identify areas for improvement in procedure and make recommendations to appropriate personnel
       
Element: Ensure complaints procedures are communicated to staff, members and clients
  • Provide documentation of complaints procedures to relevant staff, members or clients
  • Inform staff, members or clients of internal complaints procedure
  • Inform staff, members or clients of external complaints procedure
  • Refer member or client complaints to internal complaints procedure
       
Element: Monitor and support internal complaints procedure
  • Review documentation of complaints for accuracy, authenticity and completion
  • Initiate follow up when further information or documentation is required
  • Communicate with staff, members or clients as necessary to ensure procedure is correctly documented
  • Communicate with staff, members or clients as necessary to ensure procedure is understood
  • Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel
  • Support staff, members or clients through complaints process
  • Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives
       
Element: Supervise management of unresolved disputes
  • Review outcomes from internal complaints procedure and investigate if required
  • Identify unresolved complaints or disputes and process according to organisational guidelines
  • Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures
  • Check complaints documentation for completion and prepare for submission to external dispute bodies as required
  • Provide documentation and representation for external proceedings as required
       
Element: Ensure compliance with complaints procedures
  • Identify compliance requirements for complaints procedures
  • Monitor internal procedures for compliance
  • Rectify non-compliance practices according to organisational guidelines
  • Ensure documentation of complaints meets compliance requirements
       
Element: Ensure compliance with SCT decision
  • Disseminate information received from SCT to trustee
  • Implement SCT decisions
  • Review supporting organisational procedures to incorporate required changes
       


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. 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.

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. 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

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
Review workplace implementation of procedures for registering and handling complaints 
Assess implementation of procedures for efficiency in attaining organisational goals 
Identify areas for improvement in procedure and make recommendations to appropriate personnel 
Provide documentation of complaints procedures to relevant staff, members or clients 
Inform staff, members or clients of internal complaints procedure 
Inform staff, members or clients of external complaints procedure 
Refer member or client complaints to internal complaints procedure 
Review documentation of complaints for accuracy, authenticity and completion 
Initiate follow up when further information or documentation is required 
Communicate with staff, members or clients as necessary to ensure procedure is correctly documented 
Communicate with staff, members or clients as necessary to ensure procedure is understood 
Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel 
Support staff, members or clients through complaints process 
Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives 
Review outcomes from internal complaints procedure and investigate if required 
Identify unresolved complaints or disputes and process according to organisational guidelines 
Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures 
Check complaints documentation for completion and prepare for submission to external dispute bodies as required 
Provide documentation and representation for external proceedings as required 
Identify compliance requirements for complaints procedures 
Monitor internal procedures for compliance 
Rectify non-compliance practices according to organisational guidelines 
Ensure documentation of complaints meets compliance requirements 
Disseminate information received from SCT to trustee 
Implement SCT decisions 
Review supporting organisational procedures to incorporate required changes 

Forms

Assessment Cover Sheet

FNSSUP501 - Supervise complaints procedures
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

FNSSUP501 - Supervise complaints procedures

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: