Handling Complaints Policy

Handling Complaints Policy Template for England and Wales

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Key Requirements PROMPT example:

"I need a Handling Complaints Policy for my fintech startup that complies with FCA regulations and specifically addresses both digital and telephone complaints, to be implemented by March 2025."

What is a Handling Complaints Policy?

The Handling Complaints Policy serves as a cornerstone document for organizations operating in England and Wales, establishing standardized procedures for addressing customer grievances effectively and legally. This document is essential for maintaining service quality, ensuring regulatory compliance, and protecting both the organization and its stakeholders. It details the complete complaint journey from initial receipt through to resolution, incorporating requirements from relevant legislation and industry best practices. The policy is particularly crucial in regulated industries where specific complaint handling requirements must be met.

What sections should be included in a Handling Complaints Policy?

1. Purpose and Scope: Defines the objective of the policy and its application scope

2. Definitions: Key terms used throughout the policy

3. Principles of Complaints Handling: Core principles guiding the complaints process

4. Complaint Registration Process: How complaints are received and logged

5. Timeline and Response Standards: Expected timeframes for handling complaints

6. Roles and Responsibilities: Who is responsible for different aspects of complaints handling

7. Appeals Process: How to appeal decisions made

What sections are optional to include in a Handling Complaints Policy?

1. Industry-Specific Requirements: Additional requirements specific to regulated industries (for organizations operating in regulated sectors)

2. Special Categories of Complaints: Handling of sensitive or high-priority complaints (for organizations dealing with sensitive matters or vulnerable customers)

3. Third Party Representatives: Handling complaints made through authorized representatives (when accepting complaints through third parties)

What schedules should be included in a Handling Complaints Policy?

1. Complaint Form Template: Standard form for recording complaints

2. Complaint Handler Guidelines: Detailed guidance for staff handling complaints

3. Response Letter ��Ƶ: Standard templates for responding to complaints

4. Escalation Matrix: Framework showing escalation levels and responsible persons

5. Data Protection Guidelines: Specific guidelines for handling personal data in complaints

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services
Healthcare
Retail
Education
Professional Services

Relevant Teams

Customer Service
Compliance
Legal
Quality Assurance
Operations

Relevant Roles

Customer Service Manager
Compliance Officer
Quality Assurance Manager
Operations Director
Customer Experience Director

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