FAQs about our new Case Management System

Why have we introduced a new case management system?

  • We've listened to feedback from both consumers and our scheme members, and they've asked for a process that's easy, fast and simple that saves time and money. In 2019 and beyond our consumers, business consumers and stakeholders also have digital expectations.
  • We've therefore created a digital, efficient and transparent way of resolving complaints in a new case management system. The system drives greater emotional insight, and greater improvements. We collect data on complaints and the consumer experience. We use this to identify trends and systemic issues - with a view to stopping things before they start.
  • The new system is better for you, better for us, and most importantly better for the consumer. It supports rapid future development and will continue to improve going forward.

How will my business benefit?

  • We're improving your consumers journey by reducing the number of steps in the process. One of the key features is that you have the chance to repair the relationship with your consumer and build on trust. A resolution agreed between you and the consumer is more genuine than one defined by Ombudsman Services.
  • You'll be able to improve your own complaint handling process using the insight we will provide from supplier and sector-wide case data.
  • You have access to the consumers evidence, giving you a better visibility of the complaint. This can help you look at things differently, its information you may not have seen before and it can help you understand your consumers.
  • The consumer can see your evidence and responses and comments on them, creating transparency. We anticipate this will create insightful, emotional data. Your consumers tell us what they think of your company within the safety of the case management system (CMS), and this information is easily shared with you, helping you to drive improvements in your consumer service.
  • The system gives you the option of Facilitated Complaint Resolution (FCR), which is cheaper, quicker and better for everyone; avoiding the need for us to adjudicate.

How is the system being developed?

  • The future development of the system is a constant work in progress, we already have planned releases and enhancements in scope. We will develop according to feedback, consumer expectations and digital possibilities.
  • All releases will go through a test environment before deployment to the live system, ensuring minimal disruption to your processes.
  • We will share future releases ahead of being deployed and welcome feedback and ideas via OSAccountManagers@ombudsman-services.org

Is the new system fully GDPR compliant?

  • It is. Ombudsman Services is both 'controller' and 'processor' of the data that's kept in the system. Consent about personal and sensitive information is obtained correctly. It's managed through the process for our scheme members and our consumers.
  • The system complies with Subject Access Requests, Right to be Forgotten and Right to Suspend. These are the requirements needed for General Data Protection Regulation 2016/679.
  • Please note that evidence you upload will be visible to the customer.

How robust is the system security? Is it ISO27001 certified?

  • The new case management system has been created using 'security by design' principles. The system and its data are hosted on Amazon Web Services Environments. Whilst this does not certify Ombudsman Services or the application to ISO/IEC 27001:2013 standard, it does enhance the security of the system from third party malicious intent.
  • Ombudsman Services currently operate in line with the ISO/IEC 27001:2013 standards and certification are on our current continual improvement plan. Further details.

Do we need to load or download any software onto our IT network?

  • No, the application is web-based and is accessed and supported via web browsers.

We have an organisation firewall in place. Will this affect the system and its functionality?

  • We'll ask you to assess your internal firewalls as part of your implementation plan. This hasn't been an issue for any of the companies using the system so far.
  • Your localised firewall needs to allow access to a dedicated URL (...). Inbound and outbound ports needs to also allow access for HTTP (port 80) and HTTPS (443).

Will my contacts at Ombudsman Services remain the same?

How will the end-to-end process change?

When will we stop using Peppermint?

  • All new (including PITOR*) cases will be created on the new case management system, with all existing cases being worked and closed on Peppermint. A PITOR is a potential case that has not yet become active, most likely due to the complainant not having waited 8 weeks or not in receipt of a Deadlock letter.

How do I upload and comment on evidence?

  • You now upload evidence via the Evidence tab on the new system. If a consumer has uploaded a document you agree with, for example their bill, there is no need to upload another version.
  • Commenting on evidence is optional, however it is your opportunity to provide your consumer with visibility and your point of view. This can be done via the Evidence tab upon logging in to the new system.
  • Please note that evidence you upload will be visible to the customer.

What types of file can I upload?

  • We can accept the following file types: pdf, csv, txt, doc, docx, xls, xlsx, ppt, pptx, png, gif, jpg, bmp, mov, mp4, mp3, m4a, tif, tiff

How will we know where the case is up to?

  • You have a personalised dashboard that shows all cases and any outstanding actions. You can view case statuses, filter and download this data to effectively manage your workflow.
  • The system is capable of sending email notifications. Your notification preferences can be amended by selecting Options in the top left of your Dashboard.
  • You can also discuss setting up a central mailbox with your Relationship Manager.

How long do we have to prepare the case?

  • You have a total of 18 days. 10 working days to upload your evidence, provide your initial complaint response and four calendar days to review and comment on the evidence. The quicker outstanding actions are completed the quicker the case will progress.
  • Please note; working days end at 17:00 and calendar days end at 23:59.

How long do we have to respond to the decision?

  • You have 14 calendar days to respond to the decision, concluding with either Accept or Appeal. The decision will be available on the Decision tab, where you can respond. An Appeal must include further evidence or highlight an error in the interpretation of the data.