Unit of competency Outline
Date retreived
22/07/2026 9:03 PM AWST
22/07/2026 9:03 PM 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.
Manage official complaints procedures and proceedings
Manage official complaints procedures and proceedings
Unit of competency
National Code
FNSSUP602A
FNSSUP602A
State Code
D4353
D4353
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
70
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).
Notes
Elements and Performance Criteria
1. Audit internal complaints procedures
- 1.1. Current compliance requirements for complaints procedures are assessed
- 1.2. Performance of internal complaints procedure is assessed
- 1.3. Organisation compliance with current requirements is investigated and assessed
- 1.4. Areas of non-compliance or required change are identified
- 1.5. Process for establishment of and/or improvement to formal internal complaints procedure is implemented
2. Assess management of complaints procedures and processes
- 2.1. Documentation and communication of complaints according to organisation standards and compliance requirements is confirmed
- 2.2. Staff training is provided to ensure complaints are handled according to organisation standards and legislative requirements
- 2.3. System improvements are implemented according to findings of complaints audit
- 2.4. Assessment of complaints procedure are communicated to trustee and complainant
3. Provide conciliation in complaints disputes
- 3.1. Unresolved complaints are investigated according to organisation procedures
- 3.2. Details of complaint are checked
- 3.3. Conciliation procedures are initiated and implemented with complainant according to organisation guidelines
- 3.4. If successful, conciliation outcomes are implemented
- 3.5. Unsuccessful complaints are processed according to organisation guidelines
4. Represent the trustee in formal external proceedings
- 4.1. Case for external proceedings is prepared
- 4.2. Documentation is prepared
- 4.3. Trustee is informed of and involved in proceedings as required
- 4.4. Trustee is represented at external proceedings
- 4.5. Legal advice is sought as required.
5. Implement findings of external proceedings
- 5.1. Outcomes of external proceedings are communicated to trustee
- 5.2. Findings of external proceedings are implemented as required
- 5.3. Further assessment of complaint is pursued internally or externally to minimise possibility of repeat complaint
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 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.
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:
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.
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:
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
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
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AUT39 | FNSSUP602 | Manage official complaints procedures and proceedings | Unit of competency |
| State Code | National Code | Title | Type |
|---|---|---|---|
| J604 | FNS60513 | Advanced Diploma of Superannuation | Qualification |