Unit of competency Outline
Date retreived
23/07/2026 4:55 AM AWST
23/07/2026 4:55 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Supervise complaints procedures
Supervise complaints procedures
Unit of competency
National Code
FNSSUP501A
FNSSUP501A
State Code
D4343
D4343
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
31/07/2014
Field of Education
081105 - Investment And Securities
Original Release Date
31/07/2014
Nominal Hours
50
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).
Notes
Elements and Performance Criteria
1. Assess internal complaints procedure
- 1.1. Workplace implementation of procedures for registering and handling complaints is reviewed
- 1.2. Implementation of procedures is assessed for efficiency in attaining organisation goals
- 1.3. Areas for improvement in procedure are identified and recommendations made to appropriate personnel
2. Ensure complaints procedures are communicated to staff and members/clients
- 2.1. Documentation of complaints procedures is made available to staff and or members/clients
- 2.2. Staff and members/clients are informed of internal complaints procedure
- 2.3. Staff and members/clients are informed of external complaints procedure
- 2.4. All member/client complaints are referred to the internal complaints procedure
3. Monitor and support the internal complaints procedure
- 3.1. Documentation of complaints is reviewed for accuracy and completion
- 3.2. Follow-up is initiated when further information or documentation is required
- 3.3. Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented
- 3.4. Staff and/or member/client is communicated with as necessary to ensure procedure is understood
- 3.5. Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel
- 3.6. Staff and/or clients/members are supported through complaints procedures
- 3.7. Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives
4. Supervise management of unresolved disputes
- 4.1. Outcomes from internal complaints procedure are reviewed and investigated if required
- 4.2. Unresolved complaints or disputes are identified and processed according to organisation guidelines
- 4.3. Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures
- 4.4. Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required
- 4.5. Documentation and representation for external proceedings are provided as required
5. Ensure compliance of complaints procedures
- 5.1. Compliance requirements for complaints procedures are identified
- 5.2. Internal procedures are monitored for compliance
- 5.3. Non-compliance practices are rectified
- 5.4. Documentation of complaints meets compliance requirements
6. Ensure compliance with SCT decision
- 6.1. Information received from SCT is disseminated to trustee
- 6.2. SCT decisions are implemented
- 6.3. Supporting organisation procedures are reviewed
RANGE STATEMENT
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.
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.
EVIDENCE GUIDE
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
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
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AUP54 | FNSSUP501 | Supervise complaints procedures | Unit of competency |
| State Code | National Code | Title | Type |
|---|---|---|---|
| J604 | FNS60513 | Advanced Diploma of Superannuation | Qualification |
| D720 | FNS50711 | Diploma of Superannuation | Qualification |