ASFA Complaints Policy

1. Policy Statement

ASFA introduced this Policy to ensure that it has in place adequate arrangements to meet its obligations under the relevant law and its equitable obligations to facilitate a mechanism through which Complaints can be resolved in a fair and equitable manner.

2. Introduction

1. This Policy has been developed and implemented to ensure that ASFA is able to comply with its requirements under the Corporations Regulations;
2. It is noted that inquiries made by a member or interested parties under the Privacy Act 1988 are not dealt with within this Policy but under the Privacy Policy.

3. Roles and Responsibilities

1. Board: The CEO is ultimately responsible for the Policy;
2. Management: ASFA Management have a positive duty under the Policy to ensure ongoing adherence to the Policy and, further, to ensure that all relevant business units are fully aware of and comply with the Policy;
3. Complaints Resolution Manager: The Complaints Resolution Manager is responsible for the monitoring, investigation and handling of complaints;
4. Employees and contractors: ASFA employees and contractors are required to comply with the terms of this Policy at all times.

4. What is a Complaint

1. For the purposes of this Policy, ASFA has adopted the Australian Standard: Customer Satisfaction – Guidelines for complaints handling in organisations AS ISO 100002-2006 definition of a Complaint, which is: ‘any expression of dissatisfaction made to ASFA, its related products or the complaints handling process itself, where a response or resolution is explicitly or implicitly expected.’
2. Complaints are communications made to ASFA in any of the following ways, namely any:
   1. correspondence addressed to the attention of the Complaints Resolution Manager;
   2. correspondence containing an expression of dissatisfaction and from which it is clear the complainant expects a response;
   3. verbal expression of dissatisfaction that is either made to the Complaints Resolution Manager or that cannot be resolved to the satisfaction of the complainant.

5. How a Complaint may be made

1. Complaints may be made by letter, email, in person or via phone;
2. Complaints will be acknowledged in writing within 5 business days of the date of receipt of the Complaint by ASFA. In some instances, ASFA may request that the Complainant provide further information in writing to ensure that the Complaint can be properly investigated and considered.

6. Complaints Resolution Manager

The Complaints Resolution Manager is an employee of ASFA who is appointed by the CEO to be responsible for the monitoring, investigation and handling of Complaints and which includes ensuring that:

1. ASFA maintains an appropriate process to assist members that wish to make a Complaint;
2. Complaints are managed in a timely and efficient manner;
3. where Complaints identify service delivery issues, ensuring that these issues are reported to the relevant internal or external stakeholders so that any necessary steps can be undertaken to prevent, as far as is practicable, these issues from reoccurring.

7. Complaints Handling Procedures

ASFA’s Complaint procedure consists of the following:

1. Contact: Senior Membership Officer can be contacted for all member complaints, who will be provided with manual and training on how verbal complaints are to be handled. The Complaints Resolution Manager is responsible for ensuring that these procedures are adhered to;
2. Appointment of a Complaints Resolution Manager: The CEO has appointed a Complaints Resolution Manager who is responsible for the:
   1. successful operation of the Complaints procedure;
   2. handling of formal Complaints in accordance with these procedures;
   3. involving senior management where required;
   4. involving the Board in complex matters.
3. Complaints Register: The Complaints Resolution Manager maintains an electronic register of Complaints. This register is used to record and monitor all formal Complaints including their source, issues raised, responses provided and notification dates through to resolution dates;
4. Disclosure: This Policy is published on the ASFA website;
5. Cost: There will be no cost levied on a member who wishes to make a Complaint to ASFA pursuant to this Policy;
6. Time Frame: Within 30 days of the Complaint, the Compliant Resolution Manager must notify the Complainant of the decision, providing the Complainant with the details of the appropriate external dispute resolution body to which an appeal can be made.