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Complaint Process Policy Template for England and Wales

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Key Requirements PROMPT example:

Complaint Process Policy

"We need a Complaint Process Policy for our UK-based fintech startup that complies with FCA regulations and includes specific procedures for handling both digital banking complaints and cryptocurrency-related disputes, to be implemented by March 2025."

Document background
The Complaint Process Policy serves as a fundamental governance document essential for organizations operating in England and Wales. It establishes standardized procedures for managing customer feedback and grievances effectively while ensuring compliance with relevant legislation. This policy is particularly crucial in regulated industries where specific complaint handling requirements exist. The document typically includes detailed procedures for complaint submission, investigation processes, resolution timeframes, and escalation protocols, providing clarity for both staff and customers while helping organizations maintain consistent service standards and regulatory compliance.
Suggested Sections

1. Purpose and Scope: Defines the policy's objectives and applicability

2. Definitions: Key terms used throughout the policy

3. Complaint Submission Process: How to submit complaints, including channels and requirements

4. Timeline and Acknowledgment: Response times and initial handling procedures

5. Investigation Process: Steps taken to investigate complaints

6. Resolution and Response: How decisions are made and communicated

7. Appeals Process: How to challenge decisions and escalation procedures

Optional Sections

1. Industry-Specific Procedures: Additional requirements for regulated industries (e.g., FCA, NHS, SRA requirements)

2. International Complaints: Special procedures for handling complaints from international customers

3. Compensation Framework: Guidelines and procedures for making compensation decisions

Suggested Schedules

1. Complaint Form Template: Standard form for submitting complaints

2. Contact Information: List of relevant contact points and departments

3. Service Level Agreements: Detailed timeframes for different types of complaints

4. External Bodies: List of relevant ombudsmen and regulatory bodies

Authors

Alex Denne

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

Relevant legal definitions






























Clauses




























Industries

Consumer Rights Act 2015: Primary legislation setting out consumer rights and business obligations, including standards for services/goods and timeframes for resolving issues. Key foundation for complaint handling processes.

Data Protection Act 2018 and UK GDPR: Legislative framework governing the handling of personal information during complaints, including data retention requirements and privacy/confidentiality considerations.

Equality Act 2010: Legislation ensuring the complaints process is accessible to all, preventing discrimination in complaint handling, and requiring reasonable adjustments for disabled complainants.

Alternative Dispute Resolution Regulations 2015: Regulations outlining requirements for ADR procedures and information provision about ADR options in consumer disputes.

Industry-Specific Regulatory Requirements: Sector-specific regulations such as FCA regulations for financial services, NHS complaints procedures for healthcare, and SRA regulations for legal services.

Public Services Ombudsman Guidelines: Guidelines applicable to public sector organizations regarding complaint handling and resolution processes.

Professional Standards Authority Requirements: Standards and requirements set by professional bodies for regulated professions regarding complaint handling and professional conduct.

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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