Unit of competency
Modification History
Release |
Comments |
Release 1 |
This version first released with FNS Financial Services Training Package Version 1.0. |
Application
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.
Unit Sector
Superannuation
Elements and Performance Criteria
ELEMENT |
PERFORMANCE CRITERIA |
Elements describe the essential outcomes. |
Performance criteria describe the performance needed to demonstrate achievement of the element. |
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 |
Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.
Skill |
Performance Criteria |
Description |
Learning |
3.7 |
|
Reading |
1.1, 3.1, 4.1, 4.2, 4.4, 5.1, 6.3 |
|
Writing |
1.3, 2.1-2.4, 3.3-3.5, 4.3, 4.4, 5.4, 6.1 |
|
Oral Communication |
1.3, 2.2-2.4, 3.3-3.6, 4.3, 6.1 |
|
Numeracy |
1.2 |
|
Navigate the world of work |
1.1-1.3, 3.7, 4.2, 5.1, 5.2, 5.4, 6.3 |
|
Interact with others |
2.1, 2.2, 2.3, 2.4, 3.3, 3.4, 3.5, 3.6, 4.3 |
|
Get the work done |
1.1, 1.2, 1.3, 2.1, 3.1, 3.2, 4.1, 4.2, 4.4, 4.5, 5.2, 5.3, 6.1 |
|
Unit Mapping Information
Code and title current version |
Code and title previous version |
Comments |
Equivalence status |
FNSSUP501 Supervise complaints procedures |
FNSSUP501A Supervise complaints procedures |
Updated to meet Standards for Training Packages |
Equivalent unit |
Links
Companion Volume implementation guides are found in VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=c7200cc8-0566-4f04-b76f-e89fd6f102fe