09 August 2024

In this bulletin:

• New confirm resolution process at referral
• How we record overdue responses
• Managing notification preferences
• File upload
• Sensitive documents
• Duplicate cases
• Inconsistent due dates on referral
• Updating an individual contact's email address in the portal
• Where else can I find help?

In this second issue of the member portal bulletin, we address common concerns raised through member feedback and provide additional context and details on new processes. Whenever possible, we have included links to further support, resources and guides.

Support for common issues

New confirm resolution process at referral

Our new portals and case management system automate the complaint referral process, significantly reducing manual intervention. This change affects how financial firms confirm resolutions and how complainants accept or decline responses.

We understand that some members are seeking clarity on this new process, so we have provided more detail below.

What has changed?

Previously, AFCA would manually close complaints when a member provided information indicating resolution, such as a signed acceptance from the complainant.

Now, AFCA requires direct confirmation from the complainant, even if the member provides a signed agreement. When a member opts to provide a response to the complainant, the complainant is notified and has 14 days to accept or decline the response. 

Complainants using the AFCA portal receive an automatic notification and can respond instantly in the portal. Those not using the portal are notified by AFCA via their preferred communication method (such as email or post) and will respond to AFCA using the same method. 

The complaint will automatically close when the complainant confirms resolution, or 14 days after our notification to the complainant, whichever is earliest. If the complainant declines the response, the complaint progresses to case management. 

To avoid unnecessary delays in this process, members should respond to the ‘final response request’ at the time of offering a resolution to the complainant, rather than waiting for a signed agreement. This triggers the response request to the complainant and initiates the 14-day process. 

Detailed information on managing and providing a final response is available in this process guide.

Why is this change required? 

Previously, we relied solely on information from financial firms to indicate a complaint was resolved. This led to inconsistencies, as complainants might not agree that the complaint was fully resolved, requiring AFCA to reopen cases.

The new process ensures complainants can confirm resolution directly, providing a more accurate and efficient complaint resolution process. 

How we record overdue responses

We have introduced new functionality in our systems to record overdue responses. While this may require adjustments to your operational procedures, it will lead to better outcomes for all parties and enables improved data reporting.

What has changed? 

Previously, AFCA case workers manually recorded overdue response actions. Now, financial firms are required to upload information directly to the portal and mark requests as complete. If a request is not updated or completed by the due date, the system automatically record sit as overdue.

This change ensures accurate and consistent response data by reducing the need for manual intervention, which can lead to backlogs. To maximise the benefits of this automation, we emphasise the importance of using the portal to upload responses by the due date. This not only maintains a smoother and more efficient workflow for all parties but is also the method AFCA relies on for capturing response data in the Member Benchmarking Dashboard. While manual methods to send responses are still available, they are less reliable and bypass the accurate functionality of the new systems.

We can update responses on a case-by-case basis when they are received before the due date or mark them as overdue if the initial response did not sufficiently meet our information request. If you believe a response has been inaccurately recorded, please contact your AFCA case worker.

Managing notification preferences

We understand that some members have been frustrated with the volume of portal notifications. We identified a system error causing unintended notifications to be triggered by certain case activities, such as changes in request status. We are currently testing a fix for this issue and will implement it as soon as possible. 

Additionally, members can manage their notification preferences individually. We have published a new guide on how to change these preferences. If you choose to turn off notifications, please remember to log in to the portal regularly to stay updated on new complaints and actions. 

Continuous improvements to the member portal

Our focus is to continually improve the experience for all users of our new systems. In our immediate response, we are addressing and implementing fixes for issues identified since going live. 

Last week, we completed updates to resolve several issues that members were experiencing. We are pleased to confirm the following updates, which are also reflected on the known issues webpage. 

File upload 

Users were experiencing issues when uploading documents to the portal. Often this related to special characters in the file name that were not supported by the systems.

The system will now accept special characters, and in some instances, will automatically change the characters in the file name so the system can successfully upload. 

Sensitive documents 

Users were unable to see documents flagged as sensitive or confidential after uploading them to the portal. 

This has been resolved and users can now view the uploaded document in the portal, even if it these flags have been used. Note, this only applies to the user that uploaded the document – the other party will not be able to view documents marked as sensitive or confidential, which is the intended purpose of this function.

Duplicate cases

Some members experienced issues with duplicates cases appearing in the portal when multiple contacts from one member firm were assigned to the same case.

To prevent this, we have now implemented a change where the portal will alert members when there is concurrent activity on a case, helping to avoid duplication. Members should continue to be mindful when working on the same case in multiple browser tabs or windows, and to coordinate permissions internally.

Inconsistent due dates on referral

Some members experienced issues with inconsistent due dates on referrals in PDF and in the portal. 

Case request due dates will now convert to the correct time zone, avoiding issues where a case request incorrectly expired or became overdue. Members should continue to review due dates, particularly if there are any changes after the initial referral communications is sent. 

Updating an individual contact’s email address in the portal

A system issue previously prevented the email address associated with a contact from updating automatically when changed in the portal, requiring users to contact AFCA for assistance.

Now, all users can self-serve and update their email address directly in the portal. This change will automatically update the contact details without needing to contact AFCA.

Progress on the member benchmarking dashboard

Work is well underway to republish the full benchmarking dashboard. We know how important this data is to everyone. Please be assured we are working through this as a priority, and we will update you with developments as soon as we can.

In the meantime, a partial version of the dashboard is available in the member portal, under ‘Benchmarking dashboard’. This provides members access to received, accepted and closed case data along with benchmarking functionality.

Where else can I find help?

We have shared a range of resources designed to help members navigate the new portal and address needs at your own pace.

• Known issues and resolutions
• New member portal home page
• Process guides
• FAQs
• Previous member portal bulletin