Consumer Complaint Policy Manual

This document outlines the need for a consumer complaint policy and the risks of noncompliance; identifies existing complaint portals managed by industry regulators; outlines the framework of a consumer complaint process; and provides training protocols and best practices to effect process implementation.


This Policy Manual features the following:

  • Identifies federal regulations surrounding consumer protection laws
  • Highlights the risks associated with noncompliance
  • Defines differences in customer communications relating to feedback, inquiries and complaints
  • Outlines requirements surrounding Consumer Complaint Management

The Consumer Complaint Policy Manual is a complete plan for meeting the needs of your organization.


The policy features the following benefits:

  • Get your Consumer Complaint policies in place quickly
  • This manual is delivered via email within one business day after purchase
  • Meet your regulatory or internal compliance requirements
  • Affordable one-time purchase fees

Optional Services

Maintenance: Receive regular and ongoing industry updates to keep your policy within regulatory requirements.

Publishing: Publish your manual, including your company procedures, in AllRegs Online to complete your policy manual solution.

Contact your account manager for information regarding these optional services!

Policy Manual
Consumer Complaint
Section Title Priority Action
1.1 Goals and Objectives Mandatory Review Include the point of view or culture of your organization in this section, if applicable.
1.2 Required Review Mandatory Review Be sure this accurately reflects your company’s annual policy review process.
1.3 Requirements of the Consumer Complaints Manager/Ombudsman Optional Enhancement Define the specific role and responsibilities of your organization’s Consumer Complaints Manager or Ombudsman.
2.1 Internal Controls Mandatory Review Include or reference related procedures in this section.
3 Staff and Training Mandatory Review Include the means by which your organization provides and tracks required training.
3.3 Training Protocols Recommended Best Practice Include any special training required of the functional area here.
4.3.7 Other Complaint Submission Portals/Sites Optional Enhancement Operational procedures may be added as it relates to your organization’s social media sites, if applicable.
5.3.2 Violations - Internal Mandatory Review Employee sanctions must be defined in this section.
6.1 Defining a Complaint Optional Enhancement Include your organization’s procedures to monitor these complaints for improvement.
6.2 Intake Optional Enhancement Add specific time lines utilized in your organization.
6.3 Categorization Optional Enhancement Include vendor management and inter-operational issues.
6.4 Investigation Recommended Best Practice Consider including specific steps taken by the investigator. Reference the preferred decision-making model or solutions matrix used for complaint resolution in this section and consider appending this material to the policy.