DAI Group Complaint Handling Policy

 

Introduction

This document describes the Complaint Handling Policy (“the Policy”) of the DAI Group Pty Ltd including all of its associated entities (“DAI Group”). The policy has been implemented to ensure compliance with the laws and regulations relating to complaint handling. Our organisation welcomes complaints so that we are able to provide excellent service and continue to improve our practices and procedures.

Application

This Policy applies to all employees, officers, directors, representatives and advisors of the DAI Group.

Control Objective

The objective of our Complaint Handling Policy is to optimise customer satisfaction and minimise damage to our reputation and reduce the risk of litigation by handling complaints from our customers in a timely, effective, confidential and consistent manner.

Person Responsible

The DAI Group has a designated Complaints Officer (“the Complaints Officer”) who is responsible for the application of this policy, and to review this policy on a regular basis to ensure that it continues to comply with industry laws, regulations, guidelines and best practices.

The Complaints Officer is also responsible for ensuring that all employees, officers, directors, representatives and advisors of the DAI Group are aware of the Policy.

How to log a complaint

To make a complaint you may call us on (03) 8586 1200 and request to speak to our Complaints Officer or alternatively you may email info@dai.com and we will forward you a copy of our Complaint Form to be completed and returned as soon as possible.

A complaint should include the following elements:

·       The contact details of the customer making the complaint,

·       The nature of and circumstances giving rise to the complaint, including if relevant the name of the person or people within the DAI Group who is or are the subject of the complaint,

·       If the customer is seeking damages, details and documentary evidence of such damage/s or potential damage/s suffered by the customer, and

·       The corrective measures sought by the customer.

All complaints will be treated in the same way whether received verbally or in writing however, where possible, all complaints should be confirmed by the customer in writing.

The steps taken to resolve the complaint will depend upon the nature and severity of the customer’s allegations and require the professional judgement of the individual who receives the complaint and the Complaints Officer. The DAI Group reserves the right to investigate the complaint and request evidence from the customer to support any allegations contained in the complaint.

All complaints will be referred to the Complaints Officer and recorded in the Complaint Log. The Complaint Log is a database which records all complaints and tracks the key elements of each complaint. The Complaint Log categorises different types of complaints in order to identify potential trends or concerns.

For greater certainty, any errors that the DAI Group agree to correct are not considered complaints by customers unless the repetition or recurrence of such errors causes grievance to a customer.

It is the policy of the DAI Group to:

(a)    Handle complaints from customers in a timely, effective, fair and consistent manner;

(b)    To record complaints centrally in the complaints log; and

(c)     To report complaints to the company whose product is involved as well as, where applicable, to the company that sponsors the advisors license.

Acknowledgement

When the DAI Group receives a complaint an acknowledgement will be provided to the customer within 5 business days. This acknowledgement must include the following elements:

(a)    Name of the person responsible for handling the customers complaint;

(b)    Key elements of the DAI’s Complaint Policy; and

(c)     An estimate of the anticipated time frame required to investigate the circumstances surrounding the complaint and reach a determination.

Steps taken to resolve the Complaint

 

Complaint Log

a)      All complaints must immediately be reported to the Complaints Officer,

b)      All complaints must be logged in the Complaint Log,

The Complaint Log must at least include the following information:

(a)    Date of complaint

(b)    Complainants name

(c)     Nature of complaint and circumstances

(d)    Name of the person who is the subject of the complaint (if any)

(e)    The product or the services which are the subject of the complaint; and date and conclusions of the decision rendered in connection with the complaint

(f)     Complaints in the Complaints Log must be maintained for a period of 7 years, following the resolution date of the complaint.

 

 

 

Complaint resolution

(a)    The complaints officer will contact the customer to discuss resolutions acceptable to both parties within 48hours of receiving the complaint.

(b)    If the complaint cannot be resolved after the first contact by the customer it will be escalated to the Customer Service Manager who will contact the customer directly

Changes of Procedures and Disciplinary Measures

The Customer Service Manager must monitor the complaints log and ensure that appropriate disciplinary measures are taken if necessary and provide recommendations for change in the company’s procedures if appropriate.