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

FNSSUP602A Mapping and Delivery Guide
Manage official complaints procedures and proceedings

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency FNSSUP602A - Manage official complaints procedures and proceedings
Description This unit describes the performance outcomes, skills and knowledge required to conduct audits on internal complaints procedures, assess management of complaints procedures and proceedings, provide conciliation in complaints disputes, representing the trustee in formal proceedings and implement findings of external proceedings by the Superannuation Complaints Tribunal (SCT) or other external dispute bodies.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 complaint management job roles in the superannuation sector and may apply to formally designated complaints officers or teams.
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: Audit internal complaints procedures
  • Current compliance requirements for complaints procedures are assessed
  • Performance of internal complaints procedure is assessed
  • Organisation compliance with current requirements is investigated and assessed
  • Areas of non-compliance or required change are identified
  • Process for establishment of and/or improvement to formal internal complaints procedure is implemented
       
Element: Assess management of complaints procedures and processes
  • Documentation and communication of complaints according to organisation standards and compliance requirements is confirmed
  • Staff training is provided to ensure complaints are handled according to organisation standards and legislative requirements
  • System improvements are implemented according to findings of complaints audit
  • Assessment of complaints procedure are communicated to trustee and complainant
       
Element: Provide conciliation in complaints disputes
  • Unresolved complaints are investigated according to organisation procedures
  • Details of complaint are checked
  • Conciliation procedures are initiated and implemented with complainant according to organisation guidelines
  • If successful, conciliation outcomes are implemented
  • Unsuccessful complaints are processed according to organisation guidelines
       
Element: Represent the trustee in formal external proceedings
  • Case for external proceedings is prepared
  • Documentation is prepared
  • Trustee is informed of and involved in proceedings as required
  • Trustee is represented at external proceedings
  • Legal advice is sought as required.
       
Element: Implement findings of external proceedings
  • Outcomes of external proceedings are communicated to trustee
  • Findings of external proceedings are implemented as required
  • Further assessment of complaint is pursued 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.

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:

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 SCT and other external dispute bodies.

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

highly developed communication and negotiation 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:

access and use appropriate software such as word processors, spreadsheets and databases

use internet information

well-developed literacy skills to read and interpret documentation from a variety of sources and record and consolidate related information

interpersonal skills to relate effectively within a team environment

organisation skills, including the ability to plan and sequence work

complaints management skills

high-level analytical and interpretative skills

research and analysis for accessing, interpreting and managing complex information

interpreting documentation

coordinating tasks

problem solving skills to address compliance and other issues

learning skills to maintain knowledge of changes to products and relevant legislation

judgement skills for forming recommendations in operational situations

management skills for working effectively in a constantly changing environment

coaching and mentoring skills

Required knowledge

features, compliance and reporting requirements of the Superannuation (Resolution of Complaints) Act, as amended

Superannuation Industry (Supervision) (SIS) Act

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

procedure and requirements for SCT

risk management strategies

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 procedures may include:

best practice standards

codes of practice

documentation and filing procedures

internal communications

legislative requirements

regulatory requirements

system, computer procedures.

Communication may be by:

electronic communication:

email

web-based

verbal interaction

by phone

in person

written documentation:

brochures

letters.

Organisation standards may include set objectives for:

compliance

equity

minimal complaints

positive relationships with members

professional service.

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
Current compliance requirements for complaints procedures are assessed 
Performance of internal complaints procedure is assessed 
Organisation compliance with current requirements is investigated and assessed 
Areas of non-compliance or required change are identified 
Process for establishment of and/or improvement to formal internal complaints procedure is implemented 
Documentation and communication of complaints according to organisation standards and compliance requirements is confirmed 
Staff training is provided to ensure complaints are handled according to organisation standards and legislative requirements 
System improvements are implemented according to findings of complaints audit 
Assessment of complaints procedure are communicated to trustee and complainant 
Unresolved complaints are investigated according to organisation procedures 
Details of complaint are checked 
Conciliation procedures are initiated and implemented with complainant according to organisation guidelines 
If successful, conciliation outcomes are implemented 
Unsuccessful complaints are processed according to organisation guidelines 
Case for external proceedings is prepared 
Documentation is prepared 
Trustee is informed of and involved in proceedings as required 
Trustee is represented at external proceedings 
Legal advice is sought as required. 
Outcomes of external proceedings are communicated to trustee 
Findings of external proceedings are implemented as required 
Further assessment of complaint is pursued internally or externally to minimise possibility of repeat complaint 

Forms

Assessment Cover Sheet

FNSSUP602A - 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

FNSSUP602A - 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: