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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. Audit internal complaints procedures
   • Assess current compliance requirements for complaints procedures
   • Assess performance of internal complaints procedure
   • Investigate and assess organisational compliance with current requirements
   • Identify areas of non-compliance or required change
   • Implement process for establishment of and/or improvement to formal internal complaints procedure
2. Assess management of complaints procedures and processes
   • Confirm documentation and communication of complaints according to organisational standards and compliance requirements
   • Provide staff training to ensure complaints are handled according to organisational standards and legislative requirements
   • Implement system improvements according to findings of complaints audit
   • Communicate assessment of complaints procedure to trustee and complainant
3. Provide conciliation in complaints disputes
   • Investigate unresolved complaints according to organisational procedures
   • Check details of complaint
   • Initiate conciliation procedures and implement with complainant according to organisational guidelines
   • Implement conciliation outcomes if successful
   • Process unsuccessful complaints according to organisational guidelines
4. Represent trustee in formal external proceedings
   • Prepare case for external proceedings following organisational procedures
   • Prepare documentation thoroughly and accurately
   • Inform trustee and involve in proceedings as required
   • Represent trustee at external proceedings
   • Seek legal advice as required
5. Implement findings of external proceedings
   • Communicate outcomes of external proceedings to trustee
   • Implement findings of external proceedings as required
   • Pursue further assessment of complaint internally or externally to minimise possibility of repeat complaint

Performance Evidence

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 Superannuation Complaints Tribunal (SCT) and other external dispute bodies.

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, compliance and reporting requirements of the:

Superannuation (Resolution of Complaints) Act

Superannuation Industry (Supervision) (SIS) Act

identify timeframe requirements for compliance in complaints procedures

outline compliance responsibilities for complaints documentation

describe key features of

organisational standards and guidelines for handling complaints

organisational information, documentation and communication systems

discuss legal implications of non-compliance in complaints procedures

describe key features of Australian Securities and Investments Commission (ASIC) guidelines for providing information

describe the obligations of privacy legislation

explain the procedure and requirements for SCT

discuss risk management strategies.

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