Unit of competency Outline

Date retreived
23/07/2026 1:16 AM AWST

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Manage official complaints procedures and proceedings

Manage official complaints procedures and proceedings

Unit of competency
National Code
FNSSUP602
State Code
AUT39
TGA Status
Deleted
DTWD Status
Deleted
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
70
Description
This unit describes the skills and knowledge required to conduct audits on internal complaints procedures, assess management of complaints procedures and proceedings, provide conciliation in complaints disputes, represent the trustee in formal proceedings and implement findings of external proceedings by the Superannuation Complaints Tribunal (SCT) or other external dispute bodies.It applies to individuals who use specialised knowledge and skills and have responsibility for managing and implementing quality processes and practices internally and external to the organisation.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. Audit internal complaints procedures
  • 1.1 Assess current compliance requirements for complaints procedures
  • 1.2 Assess performance of internal complaints procedure
  • 1.3 Investigate and assess organisational compliance with current requirements
  • 1.4 Identify areas of non-compliance or required change
  • 1.5 Implement process for establishment of and/or improvement to formal internal complaints procedure
2. Assess management of complaints procedures and processes
  • 2.1 Confirm documentation and communication of complaints according to organisational standards and compliance requirements
  • 2.2 Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements
  • 2.3 Implement system improvements according to findings of complaints audit
  • 2.4 Communicate assessment of complaints procedure to trustee and complainant
3. Provide conciliation in complaints disputes
  • 3.1 Investigate unresolved complaints according to organisational procedures
  • 3.2 Check details of complaint
  • 3.3 Initiate conciliation procedures and implement with complainant according to organisational guidelines
  • 3.4 Implement conciliation outcomes if successful
  • 3.5 Process unsuccessful complaints according to organisational guidelines
4. Represent trustee in formal external proceedings
  • 4.1 Prepare case for external proceedings following organisational procedures
  • 4.2 Prepare documentation thoroughly and accurately
  • 4.3 Inform trustee and involve in proceedings as required
  • 4.4 Represent trustee at external proceedings
  • 4.5 Seek legal advice as required
5. Implement findings of external proceedings
  • 5.1 Communicate outcomes of external proceedings to trustee
  • 5.2 Implement findings of external proceedings as required
  • 5.3 Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint
No information
No information
Replaces
State Code National Code Title Type
D4353 FNSSUP602A Manage official complaints procedures and proceedings Unit of competency
State Code National Code Title Type
AWA9 FNS60515 Advanced Diploma of Superannuation Qualification