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Elements and Performance Criteria

1. Assess internal complaints procedure
   • Workplace implementation of procedures for registering and handling complaints is reviewed
   • Implementation of procedures is assessed for efficiency in attaining organisation goals
   • Areas for improvement in procedure are identified and recommendations made to appropriate personnel
2. Ensure complaints procedures are communicated to staff and members/clients
   • Documentation of complaints procedures is made available to staff and or members/clients
   • Staff and members/clients are informed of internal complaints procedure
   • Staff and members/clients are informed of external complaints procedure
   • All member/client complaints are referred to the internal complaints procedure
3. Monitor and support the internal complaints procedure
   • Documentation of complaints is reviewed for accuracy and completion
   • Follow-up is initiated when further information or documentation is required
   • Staff and/or member/client is communicated with as necessary to ensure procedure is correctly documented
   • Staff and/or member/client is communicated with as necessary to ensure procedure is understood
   • Conflict resolution methods are used to resolve complex complaints and/or situations when possible or referral is made to appropriate personnel
   • Staff and/or clients/members are supported through complaints procedures
   • Training of staff is undertaken as required to ensure complaints are handled in accordance with organisation objectives
4. Supervise management of unresolved disputes
   • Outcomes from internal complaints procedure are reviewed and investigated if required
   • Unresolved complaints or disputes are identified and processed according to organisation guidelines
   • Complainants are informed of SCT or any other external dispute body's procedure and provided with information for pursuing formal procedures
   • Complaints documentation is checked for completion and prepared for submission to external dispute bodies as required
   • Documentation and representation for external proceedings are provided as required
5. Ensure compliance of complaints procedures
   • Compliance requirements for complaints procedures are identified
   • Internal procedures are monitored for compliance
   • Non-compliance practices are rectified
   • Documentation of complaints meets compliance requirements
6. Ensure compliance with SCT decision
   • Information received from SCT is disseminated to trustee
   • SCT decisions are implemented
   • Supporting organisation procedures are reviewed

Required Skills

Required skills

Welldeveloped communication skills to liaise with others share information confirm work requirements using questioning and active listening as required use language and concepts appropriate to cultural differences numeracy and IT skills to perform calculations related to fund operations access and update account records electronically use internet information welldeveloped literacy skills to read and interpret documentation from a variety of sources and record and consolidate related information data analysis and interpretation skills interpersonal skills to relate effectively within a team environment organisation skills including the ability to plan and sequence work supervisory and team building skills research and analysis for accessing interpreting and managing complex information interpreting documentation coordinating tasks problemsolving skills to identify any issues that have the potential to impact on the superannuation complaints resolution process or outcome and to develop options to resolve these issues when they arise

Required knowledge

features compliance and reporting requirements of the Superannuation Resolution of Complaints Act timeframe requirements for compliance in complaints procedures compliance responsibilities for complaints documentation organisation standards and guidelines for handling complaints legal implications of noncompliance in complaints procedures Australian Securities and Investments Commission ASIC guidelines for providing information Privacy Act organisation information documentation and communication systems fraud prevention practices Corporations Act Superannuation Industry Supervision SIS Act

Evidence Required

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 bodys 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

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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.

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