Complaint Record Form
v1.8
Purpose. Any staff member who receives a complaint completes this form on the day so that the complaint is recorded, acknowledged and assigned under the Complaints Handling and Internal Dispute Resolution Policy.
1.When to use this form
Use this form for any expression of dissatisfaction about the firm's services, staff, fees or handling of a matter, whether or not the person uses the word complaint. Record the complaint in the person's own words as far as possible.
2.What to record
Record who is complaining, how they contacted the firm, what the complaint is about, what outcome they want and any signs of vulnerability such as hardship, illness or language barriers. Note any deadline that applies, for example a default notice or a lodgement date.
3.Acknowledgement
Send the acknowledgement within one business day using the standard letter, which names the handler, gives the expected timeframe and explains the right to go to the Australian Financial Complaints Authority.
4.Routing
Send the completed form to the Compliance Manager, who will enter it in the Complaints, Breaches and Compliance Register and assign an investigator who was not involved in the matter.
5.Confidentiality
Complaint records are confidential. Do not discuss the complaint with staff who are not involved in resolving it.