Unit of competency Outline

Date retreived
22/07/2026 7:45 PM AWST

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Supervise complaints procedures

Supervise complaints procedures

Unit of competency
National Code
FNSSUP501
State Code
AUP54
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
25/03/2015
View on TGA
State Implementation and Classification
Approved Date
16/09/2015
Field of Education
081105 - Investment And Securities
Original Release Date
16/09/2015
Nominal Hours
50
Description
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.
Notes
Elements and Performance Criteria
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
No information
No information
Replaces
State Code National Code Title Type
D4343 FNSSUP501A Supervise complaints procedures Unit of competency
Replaced By
State Code National Code Title Type
OCI21 FNSSUP511 Manage customer complaints in superannuation Unit of competency
State Code National Code Title Type
AWD2 FNS50715 Diploma of Superannuation Qualification
AWA9 FNS60515 Advanced Diploma of Superannuation Qualification