No Contact Register Overview

The No Contact Register allows an adviser to record details in Xplan against a particular client entity if the client does not wish to be contacted by the adviser at all or via a particular contact method. A client is able to request limited or cessation of all contact.

This allows for the client to be ‘flagged’ so that all Xplan users who have access to the client are able to see that the client does not wish to be contacted.

Licensee Requirements

It is preferable that any request made by the client is to be in writing and should be stored as an attachment against the client’s details under the ‘Notes’ section as a file note. Where the client declines to put the request in writing, the adviser is required to create a file note in the ‘Notes’ section detailing the conversation and the client’s request. A letter/email to = the client acknowledging the removal is required.

The adviser is required to action the request in a reasonable timeframe. Where the client is part of an Ongoing Service Agreement (OSA) and the request to ceases contact includes notification of a termination of this agreement, the adviser is required to action this immediately. 

How to record details in the No Contact Register

IMPORTANT: Details for the No Contact Register need to be recorded against the Master Entity (the main client entity) only which is usually the individual client. If the master entity (main client) is a SMSF, Trust or Company instead of an individual client, then these details need to be recorded against these entities instead.

To record details in the No Contact Register:

1. Using the Search functionality in the top right hand corner of the Xplan screen, click on the  downward facing arrow and select USERS.
   
   
   
   
2. Enter the Adviser name/user name you wish to record the details against and click on the Search icon. Click on the User once it appears on the screen.
   
   
3. Once you have entered the Adviser details screens, use the left hand menu options and go to LICENSEE > NO CONTACT REGISTER     
    
                           
    
   The No Contact Register screen has two sections, the top half allows you to filter and search for a particular client or No Contact method based on the parameters selected and the bottom half of the screen allows you to record details in the No Contact Register.
                                                                         
4. To record details in the No Contact Register, click on ADD in the right hand side of the second half of the screen (under the No Contact Register heading).
   
   
   
   
5. Next, complete the details of the No Contact Register:
       a. REQUEST DATE: Use the calendar icon to record the date the No Contact request was
           made. 
       b. REQUEST TYPE: Use the drop down box to select the No Contact Request Type. If it            is  a single type of contact method the client does not wish to be contacted by (eg: via          email or SMS), record this as per the items in the drop down list. If there are multiple          contact methods the client does not wish to be contacted by (eg: all of email, mail                and SMS), then CPA AA generally advises that the All Contact option is selected. If                you wish to record the No Contact items individually (eg: client is happy to be                      contacted via phone but NOT via any other method) then you will need to record each          item individually.
   
                        
   
        c. CLIENT NAME: Click on the client name section and use the search functionality to
            search for the client. Click on the client you wish to record details against and click on           OK. The POSTAL ADDRESS, EMAIL and PHONE details should automatically populate             once you select the client. If these details have not populated, record in the relevant             sections accordingly.
     
            
     
      d. COMMENTS: Record any relevant comments.
   
            
   
   
6. Once details have been recorded accurately, click on SAVE in the top right hand corner. If you wish to add another No Contact items to the register, tick the Add More box before saving.
   
   
   
   
7. A summary of the No Contact details now appears within the Register.
   
   
8. Once the request has been recorded in the register, the item will now also be flagged against the client and can be viewed from within the master client entity. To view this, go into the client’s main screen and using the left hand menu options go to KEY DETAILS > MAIN. Scroll down the main screen and towards the bottom of this screen, there is a non-editable field recording the No Contact details.