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Follow the links below to find material targeted to the unit's elements, performance criteria, required skills and knowledge

Elements and Performance Criteria

1. Assess internal complaints procedures
   • Review workplace implementation of procedures for registering and handling complaints
   • Assess implementation of procedures for efficiency in attaining organisational goals
   • Identify areas for improvement in procedure and make recommendations to appropriate personnel
2. Ensure complaints procedures are communicated to staff, members and clients
   • Provide documentation of complaints procedures to relevant staff, members or clients
   • Inform staff, members or clients of internal complaints procedure
   • Inform staff, members or clients of external complaints procedure
   • Refer member or client complaints to internal complaints procedure
3. Monitor and support internal complaints procedure
   • Review documentation of complaints for accuracy, authenticity and completion
   • Initiate follow up when further information or documentation is required
   • Communicate with staff, members or clients as necessary to ensure procedure is correctly documented
   • Communicate with staff, members or clients as necessary to ensure procedure is understood
   • Use conflict resolution methods to resolve complex complaints and/or situations when possible or make referral to appropriate personnel
   • Support staff, members or clients through complaints process
   • Undertake training of staff as required to ensure complaints are handled in accordance with organisational objectives
4. Supervise management of unresolved disputes
   • Review outcomes from internal complaints procedure and investigate if required
   • Identify unresolved complaints or disputes and process according to organisational guidelines
   • Inform complainants of SCT or any other external dispute body procedure, and provide with information for pursuing formal procedures
   • Check complaints documentation for completion and prepare for submission to external dispute bodies as required
   • Provide documentation and representation for external proceedings as required
5. Ensure compliance with complaints procedures
   • Identify compliance requirements for complaints procedures
   • Monitor internal procedures for compliance
   • Rectify non-compliance practices according to organisational guidelines
   • Ensure documentation of complaints meets compliance requirements
6. Ensure compliance with SCT decision
   • Disseminate information received from SCT to trustee
   • Implement SCT decisions
   • Review supporting organisational procedures to incorporate required changes

Performance Evidence

Evidence of the ability to:

assess internal complaints procedures, demonstrating knowledge of the Superannuation Complaints Tribunal (SCT) and other external dispute body 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 the SCT

demonstrate communication and training techniques.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

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Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

describe the key features and compliance and reporting requirements of superannuation legislation

outline the timeframe requirements for compliance in complaints procedures

identify compliance responsibilities for complaints documentation

identify and describe organisational goals, standards and guidelines for handling complaints

explain the legal implications of non-compliance in complaints procedures

outline the Australian Securities and Investments Commission (ASIC) guidelines for providing information

explain the privacy legislation obligations when dealing with complaints

describe the key features of organisational information, documentation and communication systems.

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