PRIV- 12 Complaints Handling

What is this control about?

Implementing the control ‘Complaints Handling’ is crucial for organizations to demonstrate their commitment to customer satisfaction and effective problem resolution. Complaints are a natural part of any business operation, and how an organization handles these complaints can significantly impact its reputation and customer relationships.

Available tools in the marketplace

Tools:

HubSpot Freshdesk Helpjuice

Available templates

TrustCloud has a curated list of templates internally or externally sourced to help you get started. Click on the link for a downloadable version:

• Complaint Management Policy Template

Control implementation

In general, you need to implement a form accessible to your customer to submit inquiries and/or complaints. This form can be linked to a ticketing system to facilitate the tracking, documentation and resolution of the issues. Here are some guidelines to implement a Complaint program:

• Policy and Procedure Development: Start by developing a comprehensive policy and procedure for handling complaints. This should include defining what constitutes a complaint, who can raise complaints, how to submit complaints, and the overall process for resolution.
• Designated Complaints Point of Contact: Designate a specific individual or team as the point of contact for handling complaints. This ensures that complaints are directed to the right person or department responsible for addressing them.
• Complaints Intake Process: Establish a clear and accessible complaints intake process. This can involve setting up a dedicated email address, a phone hotline, or an online form to receive complaints. Make sure that complainants can easily access this information.
• Complaints Tracking System: Implement a system to track and manage complaints throughout the resolution process. This could be a customer relationship management (CRM) system, a help desk/ticketing system, or a customized database designed for this purpose.
• Categorization and Prioritization: Categorize complaints based on their nature and severity. Prioritize urgent or critical complaints that require immediate attention.
• Investigation and Resolution: Assign complaints to the appropriate personnel for investigation and resolution. Ensure that there are clear guidelines on how to investigate complaints and what actions to take for resolution.
• Communication and Feedback: Keep the complainant informed about the progress of their complaint and the actions being taken to address it. Provide regular updates and, once resolved, seek feedback on the resolution process.
• Escalation Procedures: Establish clear escalation procedures for cases where complaints are not resolved satisfactorily at the initial level. Define who to escalate to and under what circumstances.
• Documentation and Reporting: Maintain thorough documentation of each complaint, including the details of the complaint, actions taken, and the resolution. Regularly generate reports to monitor complaint trends and identify areas for improvement.
• Training and Awareness: Train relevant staff on the complaints handling process and their roles in addressing complaints. Foster a culture that encourages prompt and effective complaint resolution.

What evidence do auditors look for?

Most auditors, at a minimum, are looking for the below-suggested action:

• Complaint Management Policy
• Complaint register
• Complaint ticket and resolution

Evidence example

For the suggested action, an example is provided below:

• Complaint Management Policy

Use Complaint Management Policy Template

• Complaint register

Screenshot source:

 

• Complaint ticket and resolution