Principle 6 - Learning from complaints

Complaints are a positive tool to drive improvement, not only in regard to specific issues raised by complainers directly, but also because complaints can highlight an underlying or systemic problem. That’s the reason why an accurate complaints log is such a powerful tool for reflection.

You can find an example of a complaints log here.

We also have a complaints analysis tool to help you manage future risk. You can read about it, and access the tool, here.

The following steps will maximise your learning from complaints:

• Keep any file notes about the conversations with the complainer, and the process you followed to look into their concerns
• An up-to-date and searchable complaints log will help you to track any trends and pinpoint any recurring issues so you can take steps to prevent them in future
• Support any individual or unit that receives a complaint, both on the current matter and for future improvement
• Incorporate your conclusions into complaints discussions and training in the firm
• Regularly review and critique your complaints policy and the process that you follow, building on any observations by the CRM
• Ask for feedback on the way the firm has handled complaints