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Complaints Management Policy And Procedure
"I need a Complaints Management Policy and Procedure for our medium-sized financial services firm in Melbourne, with specific emphasis on ASIC compliance and integration with our new CRM system to be implemented in March 2025."
1. Purpose and Scope: Outlines the objectives of the policy and defines its application scope within the organization
2. Definitions: Clear definitions of key terms used throughout the policy, including 'complaint', 'complainant', 'resolution', etc.
3. Policy Statement: Organization's commitment to effective complaints handling and core principles guiding the process
4. Regulatory Framework: Overview of relevant legislation, standards, and regulatory requirements
5. Roles and Responsibilities: Detailed breakdown of responsibilities for all parties involved in complaints management
6. Complaints Handling Process: Step-by-step procedures for receiving, recording, assessing, investigating, and resolving complaints
7. Response Timeframes: Specified timeframes for acknowledging and responding to complaints at each stage
8. Communication Guidelines: Standards for communicating with complainants throughout the process
9. Record Keeping Requirements: Procedures for maintaining complaint records and ensuring data privacy
10. Review and Improvement: Process for reviewing complaints data and implementing systemic improvements
1. Special Categories of Complaints: Specific procedures for handling sensitive complaints or those requiring special attention (used when organization deals with vulnerable individuals or high-risk matters)
2. External Escalation Processes: Information about escalation to external bodies or regulators (included when organization is subject to external oversight)
3. Cultural Considerations: Guidelines for managing complaints in a culturally sensitive manner (important for organizations serving diverse communities)
4. Social Media Complaints: Procedures for handling complaints received through social media channels (relevant for organizations with social media presence)
5. Anonymous Complaints: Procedures for handling anonymous complaints (included when organization accepts anonymous complaints)
1. Complaint Form Template: Standard form for recording complaint details and tracking progress
2. Complaint Classification Matrix: Guide for categorizing complaints by type and severity
3. Response Letter Templates: Standard templates for acknowledging and responding to complaints
4. Investigation Checklist: Checklist to ensure thorough investigation of complaints
5. Contact Details for External Bodies: List of relevant regulatory bodies and their contact information
6. Complaint Register Template: Template for maintaining a systematic record of all complaints
Authors
Complainant
Appeal
Feedback
Resolution
Escalation
First Point of Contact
Investigation
Remediation
Root Cause Analysis
Service Recovery
Stakeholder
Systemic Issue
Alternative Dispute Resolution
Complaint Handler
Complex Complaint
Frivolous Complaint
Vexatious Complaint
Anonymous Complaint
External Review
Internal Review
Complaint Register
Corrective Action
Response Time
Service Level Agreement
Compensation
Mediation
Natural Justice
Procedural Fairness
Personal Information
Confidentiality
Material Loss
Minor Complaint
Major Complaint
Critical Complaint
Written Response
Verbal Response
Customer Satisfaction
Quality Assurance
Continuous Improvement
Scope and Application
Policy Statement
Regulatory Compliance
Principles of Complaints Management
Accessibility
Confidentiality and Privacy
Roles and Responsibilities
Complaint Lodgment
Assessment and Classification
Investigation Process
Response and Resolution
Escalation Procedures
Record Keeping
Data Protection
Reporting Requirements
Quality Assurance
Continuous Improvement
Staff Training
Communication Standards
Timeframes and Service Levels
External Referrals
Appeals Process
Special Circumstances
Cultural Sensitivity
Vulnerable Customers
Risk Management
Documentation Requirements
Performance Monitoring
System Requirements
Review and Evaluation
Financial Services
Healthcare
Education
Retail
Government Services
Telecommunications
Utilities
Professional Services
Hospitality
Manufacturing
Non-profit Organizations
Transportation
Real Estate
Insurance
Technology
Customer Service
Compliance
Legal
Operations
Quality Assurance
Risk Management
Human Resources
Training and Development
Customer Experience
Dispute Resolution
Corporate Communications
Front Office
Back Office Support
Executive Leadership
Customer Service Manager
Compliance Officer
Quality Assurance Manager
Operations Manager
Customer Experience Director
Risk Manager
Legal Counsel
Training Coordinator
Chief Operations Officer
Customer Relations Specialist
Branch Manager
Service Delivery Manager
Human Resources Manager
Complaints Handler
Customer Advocacy Officer
Quality Control Supervisor
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