Once a complaint is lodged with the Tribunal, there are various steps undertaken to deal with it. Each one of these steps is outlined in more detail through their relevant links.
1. Receipt of Complaint
- The Tribunal examines the complaint to ensure it falls within its jurisdiction.
- If the Tribunal can deal with the case, any other party to the complaint is notified.
- Additional information may be required from the parties.
2. Inquiry by Tribunal
- The Tribunal is also required to send notice of the complaint and details about it to the Fund Trustee/Life Company/RSA provider and will request relevant information and copies of all documents relating to the complaint.
- In certain circumstances, another relevant decision maker may be joined as a party to the complaint.
- When the inquiry is completed the Tribunal will consider whether it should proceed further with the complaint.
3. Conciliation
- Once the Tribunal has decided that it has jurisdiction to deal with the complaint, a conciliation conference will usually be arranged to assist the parties to reach an agreed settlement of the complaint.
4. The Review
- If an agreed settlement cannot be reached, the complaint may proceed to a Review meeting where the Tribunal members will consider submissions and make a decision regarding the complaint (a "determination").
5. The Determination
- The Tribunal will make its determination in writing, giving reasons for its decision.
- The determination is legally binding on all parties.
- ASIC (Australian Securities and Investments Commission) will enforce a determination on the Fund if necessary.
6. Appealing the Determination
- Appeals to Tribunal determinations can be made to the Federal Court but appeals are limited to questions of law.
7. Withdrawing a Complaint
- A complainant can withdraw a complaint from the Tribunal at any time, simply by writing to the Tribunal advising of the decision to withdraw the complaint.
- In some instances, the Tribunal may also withdraw the complaint.