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Complaints Handling Policy

Complaints Handling Policy Template for Ireland

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Key Requirements PROMPT example:

Complaints Handling Policy

"I need a Complaints Handling Policy for a medium-sized fintech company based in Dublin, compliant with Central Bank of Ireland regulations and GDPR, with specific focus on handling digital banking complaints and integration with our online banking platform."

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Document background
The Complaints Handling Policy serves as the primary document governing how organizations manage and resolve customer complaints within the Irish legal framework. This policy is essential for any organization providing goods or services to customers in Ireland, as it ensures compliance with consumer protection legislation, regulatory requirements, and industry standards. The document provides comprehensive guidance on complaint receipt, investigation, resolution, and reporting processes, while incorporating specific requirements from relevant Irish regulatory bodies. The policy is particularly crucial for regulated industries where specific complaints handling requirements exist under Irish law. Organizations should implement this Complaints Handling Policy to demonstrate their commitment to customer service excellence, regulatory compliance, and continuous improvement in their complaint management processes.
Suggested Sections

1. Purpose and Scope: Outlines the objective of the policy and its application scope, including which entities and types of complaints it covers

2. Definitions: Defines key terms used throughout the policy, including what constitutes a complaint, complainant, and resolution

3. Legal and Regulatory Framework: References to relevant legislation and regulatory requirements that govern the complaints handling process

4. Principles of Complaints Handling: Core principles including fairness, objectivity, confidentiality, and accessibility

5. Roles and Responsibilities: Defines who is responsible for various aspects of complaints handling, including front-line staff, managers, and dedicated complaints handlers

6. Complaints Handling Process: Step-by-step procedure for receiving, recording, investigating, and resolving complaints

7. Timeframes: Specific timelines for acknowledging, investigating, and resolving complaints, including regulatory requirements

8. Communication with Complainants: Guidelines for keeping complainants informed throughout the process

9. Record Keeping: Requirements for documenting and storing complaints information

10. Data Protection: Procedures for handling personal data in compliance with GDPR

11. Quality Assurance and Reporting: Processes for monitoring and reviewing complaints handling effectiveness

Optional Sections

1. Industry-Specific Requirements: Additional requirements for regulated sectors such as financial services or healthcare

2. Social Media Complaints: Specific procedures for handling complaints received through social media channels

3. Compensation Framework: Guidelines for determining and providing compensation where applicable

4. Staff Training: Details of required training for staff handling complaints

5. Root Cause Analysis: Procedures for identifying and addressing systemic issues

6. Vulnerable Customers: Special provisions for handling complaints from vulnerable customers

7. Multiple Language Support: Procedures for handling complaints in different languages

8. External Dispute Resolution: Information about external dispute resolution schemes and ombudsman services

Suggested Schedules

1. Complaint Form Template: Standard form for recording complaint details

2. Complaint Response Templates: Standard templates for acknowledging and responding to complaints

3. Escalation Matrix: Detailed guidance on when and how to escalate complaints

4. Regulatory Reporting Templates: Templates for required regulatory reporting of complaints

5. Contact Information: List of relevant internal and external contacts for complaints handling

6. Service Level Agreements: Detailed timeframes and service levels for different types of complaints

7. Risk Assessment Matrix: Guidelines for assessing complaint severity and priority

Authors

Alex Denne

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

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Complaint
Complainant
Complex Complaint
Resolution
Escalation
Service Level Agreement (SLA)
Root Cause Analysis
Regulated Activity
Working Day
Vulnerable Customer
Alternative Dispute Resolution (ADR)
Ombudsman
Compensation
Material Complaint
Systemic Issue
First Point of Contact
Investigation Officer
Complaints Register
Final Response
Holding Response
Acknowledgement
Regulatory Reporting
Data Subject
Personal Data
Customer
Client
Senior Management
Complaints Handler
Quality Assurance
Risk Assessment
Remedial Action
Out of Scope Complaint
Vexatious Complaint
Third Party Representative
Written Complaint
Verbal Complaint
Electronic Complaint
Social Media Complaint
Response Time
Resolution Time
Clauses
Purpose and Scope
Regulatory Compliance
Data Protection
Confidentiality
Process Management
Time Limits
Record Keeping
Reporting Requirements
Roles and Responsibilities
Escalation Procedures
Quality Assurance
Training
Communication Standards
Documentation Requirements
Risk Management
Accessibility
Vulnerable Customers Protection
Third Party Representatives
Alternative Dispute Resolution
Review and Amendment
Monitoring and Control
External Reporting
Performance Metrics
Investigation Standards
Remedial Actions
Root Cause Analysis
Customer Rights
Appeals Process
Service Recovery
Relevant Industries

Financial Services

Retail

Healthcare

Insurance

Telecommunications

Utilities

Professional Services

Education

Hospitality

Transportation

Manufacturing

Technology

Public Sector

Non-Profit Organizations

Construction

Real Estate

Relevant Teams

Customer Service

Compliance

Legal

Operations

Quality Assurance

Risk Management

Customer Experience

Training

Internal Audit

Data Protection

Corporate Communications

Human Resources

Regulatory Affairs

Senior Management

Relevant Roles

Customer Service Manager

Compliance Officer

Quality Assurance Manager

Customer Experience Director

Operations Manager

Risk Manager

Legal Counsel

Data Protection Officer

Customer Relations Executive

Branch Manager

Call Center Manager

Chief Operating Officer

Customer Support Representative

Training Manager

Internal Auditor

Regulatory Affairs Manager

Industries
Consumer Protection Act 2007: Sets out the basic framework for consumer rights and business obligations in Ireland, including fair treatment of consumers and handling of complaints.
General Data Protection Regulation (GDPR): Governs the processing of personal data during the complaints handling process, including requirements for data security, retention, and subject access rights.
Central Bank (Supervision and Enforcement) Act 2013: Provides the legal basis for the Central Bank's consumer protection role and its power to set requirements for complaints handling procedures.
Consumer Protection Code 2012: Central Bank regulation that sets specific requirements for complaints handling procedures in regulated financial services providers.
European Communities (Consumer Protection Cooperation) Regulations 2006: Implements EU requirements for consumer protection and complaint handling standards.
Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015: Implements EU Directive on alternative dispute resolution, requiring businesses to inform consumers about ADR options.
Equal Status Acts 2000-2018: Ensures complaints handling procedures don't discriminate against any protected categories and provides for equal access to complaints processes.
Financial Services and Pensions Ombudsman Act 2017: Establishes the FSPO and sets out the framework for escalating unresolved complaints to the ombudsman service.
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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