7.01* Obtain written policies and procedures for tracking and resolving consumer complaints. Verify that the following are included: A standard complaint form is utilized that identifies information that connects the PASS / FAIL complaint to a specific transaction and provides information to understand the If no written procedures nature and scope of the complaint. or written procedures A single point of contact and/or do not include all department has been established for Procedure consumer complaints. 7.01 FAILS. Procedures have been established for forwarding complaints to appropriate personnel. A written log of consumer complaints is maintained that includes whether resolution is necessary and how resolved. 7.02* Obtain the consumer complaints log for a period of 1 PASS / FAIL year immediately preceding the assessment and If 10% or more of items verify that the Company followed the procedural tested FAIL, Procedure guidelines for addressing complaints. 7.02 FAILS. Sample Selection: Select 25% of the complaints. The sample should contain a minimum of 3 and a maximum of 25. ALTA Best Practices Framework: Certification Package
7.01* Obtain written policies and procedures for tracking and resolving consumer complaints. Verify that the following are included: A standard complaint form is utilized that identifies information that connects the complaint to a specific transaction and provides information to understand the nature and scope of the complaint. A single point of contact and/or department has been established for consumer complaints. Procedures have been established for forwarding complaints to appropriate personnel. A written log of consumer complaints is maintained that includes whether resolution is necessary and how resolved. PASS / FAIL If no written procedures or written procedures do not include all Procedure 7.01 FAILS. 7.02* Obtain the consumer complaints log for a period of 1 year immediately preceding the assessment and verify that the Company followed the procedural guidelines for addressing complaints. Sample Selection: Select 25% of the complaints. The sample should contain a minimum of 3 and a maximum of 25. PASS / FAIL If 10% or more of items tested FAIL, Procedure 7.02 FAILS. ALTA Best Practices Framework: Certification Package