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

FNSSUP501A Mapping and Delivery Guide
Supervise complaints procedures

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency FNSSUP501A - Supervise complaints procedures
Description This unit describes the performance outcomes, skills and knowledge required to supervise the implementation of internal and external complaints procedures. It encompasses assessing internal complaints procedures, ensuring complaint procedures are communicated to staff and members/clients, monitoring and supporting internal complaints procedures, supervising the management of unresolved disputes, ensuring compliance with compliant procedures and Superannuation Complaints Tribunal (SCT) decisions.This unit is applicable to individuals working within enterprises and job roles subject to licensing, legislative, regulatory or certification requirements including legislation administered by the Australian Securities and Investments Commission (ASIC).
Employability Skills This unit contains employability skills.
Learning Outcomes and Application This unit applies to job roles involving supervision of internal and external compliant procedures and has application to superannuation funds, trustees and services providers.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
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 procedure
  • Workplace implementation of procedures for registering and handling complaints is reviewed
  • Implementation of procedures is assessed for efficiency in attaining organisation goals
  • Areas for improvement in procedure are identified and recommendations made to appropriate personnel
       
Element: Ensure complaints procedures are communicated to staff and members/clients
  • Documentation of complaints procedures is made available to staff and or members/clients
  • Staff and members/clients are informed of internal complaints procedure
  • Staff and members/clients are informed of external complaints procedure
  • All member/client complaints are referred to the internal complaints procedure
       
Element: Monitor and support the internal complaints procedure
  • Documentation of complaints is reviewed for accuracy and completion
  • Follow-up is initiated when further information or documentation is required
  • Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented
  • Staff and/or member/client is communicated with as necessary to ensure procedure is understood
  • Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel
  • Staff and/or clients/members are supported through complaints procedures
  • Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives
       
Element: Supervise management of unresolved disputes
  • Outcomes from internal complaints procedure are reviewed and investigated if required
  • Unresolved complaints or disputes are identified and processed according to organisation guidelines
  • Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures
  • Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required
  • Documentation and representation for external proceedings are provided as required
       
Element: Ensure compliance of complaints procedures
  • Compliance requirements for complaints procedures are identified
  • Internal procedures are monitored for compliance
  • Non-compliance practices are rectified
  • Documentation of complaints meets compliance requirements
       
Element: Ensure compliance with SCT decision
  • Information received from SCT is disseminated to trustee
  • SCT decisions are implemented
  • Supporting organisation procedures are reviewed
       


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.

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

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.

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

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.

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
Workplace implementation of procedures for registering and handling complaints is reviewed 
Implementation of procedures is assessed for efficiency in attaining organisation goals 
Areas for improvement in procedure are identified and recommendations made to appropriate personnel 
Documentation of complaints procedures is made available to staff and or members/clients 
Staff and members/clients are informed of internal complaints procedure 
Staff and members/clients are informed of external complaints procedure 
All member/client complaints are referred to the internal complaints procedure 
Documentation of complaints is reviewed for accuracy and completion 
Follow-up is initiated when further information or documentation is required 
Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented 
Staff and/or member/client is communicated with as necessary to ensure procedure is understood 
Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel 
Staff and/or clients/members are supported through complaints procedures 
Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives 
Outcomes from internal complaints procedure are reviewed and investigated if required 
Unresolved complaints or disputes are identified and processed according to organisation guidelines 
Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures 
Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required 
Documentation and representation for external proceedings are provided as required 
Compliance requirements for complaints procedures are identified 
Internal procedures are monitored for compliance 
Non-compliance practices are rectified 
Documentation of complaints meets compliance requirements 
Information received from SCT is disseminated to trustee 
SCT decisions are implemented 
Supporting organisation procedures are reviewed 

Forms

Assessment Cover Sheet

FNSSUP501A - 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

FNSSUP501A - 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: