Guidance on Complaint Handling Processes

All businesses can benefit from reading guidance on complaint handling processes. Most firms have a contractual, legal or regulatory obligation to implement effective customer complaint procedures. Aside from legal responsibilities, firms should be committed to delivering a fair, open and clear process for complaints. Ensuring a satisfactory complaint outcome for all customers improves reputation and minimises issues.

An effective Complaint Handling Policy & Procedures template will support your staff, ensure compliance and improve consistency. The policy section of the document should outline the firm’s policy statement, objectives, responsibilities and the policy’s purpose. A separate procedures section should then set out how complaints are handled and the duties of any appointed complaints officer.

Samples pages from our Complaint Handling Policy & Procedure Toolkit – £45.00 (exc vat)

Complaint Handling Procedure Example

Developing and implementing effective complaint handling procedures requires defining the steps and actions that follow the complaint process. These include: –

• Raising a Complaint – outline how a customer can lodge a complaint and what measures the firm has in place to accept and record complaints.
• Informal Complaint Resolution – not all complaints will need to proceed through a formal process. It is therefore important to have an informal process that considers and responds to minor issues raised.
• Timeframe for Informal Resolution – No matter how small or informal a complaint, if a satisfactory resolution has not been achieved within a set timeframe the issue should be escalated to the Complaints Officer via the formal complaint process.
• Formal Complaint Resolution – steps and actions involved in the formal complaint handling process. This includes acknowledgements, the provision of official procedures and details of how to complain.
• Response Time for Formal Response – some firms are bound by legal or regulatory obligations for complaint handling which involve set timeframes for responses and final decisions. Even if a firm does not have statutory requirements, it is best practice to set a timeframe of 6-8 weeks for dealing with complaints.
• Investigating the Complaint – each complaint should be assigned to the Complaint Officer and investigated thoroughly. This is to ensure the customer receives a satisfactory response and to address any internal issues that have resulted in the complaint being raised.
• Decision Letter and Final Response – After the complaint has been investigated an outcome decision should be reached. The customer should then receive a final response letter in writing setting out details of the investigation, the findings and any action(s) to be taken or compensation awarded.

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