So we are having a discussion about whether our complaint log is detailed enough. I would be interested in hearing what others are tracking on their complaint log?

In order for the complaint log to help you identify patterns, I like to have some key categories that can be filtered / sorted in Excel:

Date, Source of complaint, Product/Service, Department, Branch of account, Employee opening account, complaint about Employee, Nature of Complaint

If I see a lot of complaints are about the same product/service:
then my issue could be confusing disclosures/advertising (which means complaints could span accounts opened at several locations) or,

my issue could be an employee/branch misrepresenting the product/service (so all complaints are from accounts opened at the same branch or by the same employee.

If there are complaints that are all traced to the same department or employee, I could have a training issue, HR issue or a procedural issue.

I track all of the things BrianC mentioned, plus business unit, channel, resolution and results of compliance review.

Thanks for the feedback. In terms of documentation, are forms being used to document complaint reviews?

I perform a semi-annual review and create a report that is submitted to the Audit Committee; however I'm in a much smaller bank than you are ACB.

What are you reviewing Skittles? Is it a form completed by the bank employee who conducted the investigation?

I review the log to look for trends, type of complaint, resolution, etc. Also - recently we have added a workflow for the branches to report complaints directly to Branch Administration to maintain the log - and we 'defined' what a complaint is to hopefully make it more understandable. The complaints here are minimal and so far nothing to worry about. Prior to my arrival a year ago no one reviewed them.

As an aside - I also look at billing errors and late charge waivers (they just started tracking those) to determine if any of those could also be construed as a complaint.

Would you mind sharing your definition of a complaint Skittles?

Actually I'll be quoting David Dickinson from the Tennessee Bankers Compliance Conference in March - it's a dissatisfaction with a product or service.

We initially built a form in Excel for tracking the compliance reviews, and later implemented forms in Salesforce for both initial review/response and compliance reviews.

How has that definition been in practice Skittles? It seems very broad and could include many different things. I'm generally interested as this isn't my area of expertise.

Full disclosure - that just went out to the front lines last week. Yes, it could (and does) include many things; however in my opinion it also doesn't include many things. I believe we generally have about 8-10 complaints on the log per quarter and I know there have to be more than that. I would rather have too many than not enough.

Thank you Skittles and everyone.

I'm allowing a broad definition of complaint at my bank. It's easier for me to weed through the log than to have employees call me to ask if what they have is a valid customer complaint and should they add it to the log. We're a small bank though so the number of complaints each quarter is small.