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Prashant Nasery
ISO 10002:2018 Gap Analysis Checklist - Complaint Handling
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Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 1 of 6 ORGANIZATIONAL DETAILS Name of Organization Location Country Name of the contact Person Date of Gap Analysis Consultant Team Standard Checklist Clause 5. Complaint Handling Framework S. No Context of the organisation (5.1) 1 Are the relevant external and internal issues identified and addressed to achieve complaints handling objectives? 2 Have the relevant interested parties been identified and their needs/ expectations addressed? 3 Is the scope of complaints-handling process identified by taking into account above 2 points? S. No Leadership and commitment (5.2) 4 Is there a defined method for handling customer complaints? 5 Are the methods of handling complaints widely known within the organization? 6 Does Customer management system have a visible support of senior management? 7 Do staffs know what to do in the event of receipt of a complaint? 8 Does organization have a complaints friendly culture whereby complainants and complaints are viewed positively? 9 Are adequate resources provided for handling customer complaints? 10 Do complaint management staffs have adequate authority? 11 Are complaints upheld to any extent? (Can he/she make repeated complaints until he/she is satisfied on the same subject matter) 12 Do staffs know that the complaints management is supported by the top management? 13 Is the Management committed to provide adequate resources, including training? 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met 1 2 3 1 2 3 Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 2 of 6 14 Are correct documents available at the point of use? S. No Policy (5.3) 15 Is Customer Complaint Management Policy established and documented? 16 Is Policy communicated within the organization and made available in the website? 17 Is Policy understood by all within the organization? 18 Is Policy made available to customer and interested parties? 19 Are procedures established for handling customer complaints? 20 Are objectives established within each function and personnel pertaining to the complaint management system? 21 Are following factors considered, while establishing the policy, objectives, and processes? Relevant statutory and regulatory requirements Financial, operational and organizational requirements The input of customers, personnel and other interested parties. 22 Are quality policy and the customer complaint management policy aligned to each other? S. No Responsibility and Authority (5.4) Top management responsibility (5.4.1) 23 Are responsibilities and authorities of the personnel handling and monitoring customer complaints defined and communicated? 24 How are the resource requirements identified and provided? 25 What steps are taken to create awareness within the organization about the customer complaint management process and existence of such system? 26 What steps are taken by the management to ensure that the organization and the employees stay customer focussed? 27 Is there an established system to ensure that customers can readily to lodge a complaint against the organization? 28 Is a complaint handling management representative appointed? 29 Are the Roles and responsibilities of the management representative clearly defined? 30 Is the Identity of management representative made known to everyone within the organization? 31 Is their periodic review of the complaints-handling process done to ensure its effectiveness and efficiency? Management representative (5.4.2), Other managers involved in the complaints-handling process (5.4.3) 32 Does the Management Representative report recommendations for improvement on the complaints-handling process to top management? 33 Does the MR ensure effective and efficient complaints-handling process, including the recruitment and training of appropriate personnel, technology requirements, documentation, setting and meeting target time limits and process reviews? 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met 1 2 3 1 2 3 Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 3 of 6 34 Do other Managers involved in complaints-handling process ensure the following? Coordination with MR Promote awareness of complaints handling process in the organisation Information on complaints-handling process is easily accessible Actions are taken to correct a problem, and prevent its recurrence Complaints-handling data are available for the top management review 35 Is there a process to address complaint of significance through fast track and effective notification to top management? 36 Are the personnel in contact with customers and complainants trained in complaints handling? 37 Do customer complaint handling staffs have good interpersonal and communication skills? 38 Do they treat customers in a courteous manner and promptly respond to their complaints or direct them to the appropriate individual? 39 Are all relevant personnel aware of their roles, responsibilities and authorities in respect of complaint? 40 Are all relevant personnel trained to report complaints having significant impact on the organization? Personnel in contact with customers and complainants (5.4.4)/ All Personnel (5.4.5) S. No Planning, Design and Development - General (6.1) 41 Is the organisation monitoring and evaluating processes, external and internal issues concerning risks and opportunities? 42 Have specific risks and opportunities been identified and assessed? 43 Is the organisation developing, implementing and reviewing corrective actions and improvement plans pertaining to identified risks and opportunities? 44 What are the inputs which are considered while designing the complaint management process? S. No Planning, Design and Development- Objectives (6.2) 45 Are established KPI’s relevant and appropriate? 46 Are KPI’s properly communicated and monitored? 47 Are objectives set at regular intervals as per detailed performance criteria? S. No Planning, Design and Development- Activities & Resources (6.3 & 6.4) 48 Are all activities identified and defined within the process? 49 Is the complaints-handling process aligned with other processes of quality management system? 50 Are necessary resources provided? (Documentation, hardware, software, materials, equipment etc) 51 Is a defined competency matrix available? 52 Are staffs trained to handle customer complaints? 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met 1 2 3 1 2 3 1 2 3 Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 4 of 6 53 How is the Effectiveness of training monitored? S. No Operation of complaints- handling process (7.0) 1 Communication (7.1) 54 Can the customers readily find out where to complain in case the need arises? 55 Is available information straight forward? Are they in Arabic and English? 56 Is there any arrangement for non-English speaking people and uneducated people? 57 58 Are people able to find out what information is required when they complain? Is it easy for anyone to lodge a complaint? 59 Are impaired or disabled persons able to lodge a complaint easily? Any specific provision? 60 What are the channels available for customers to lodge complaints? 61 Can complainants readily find out how their complaint will be addressed? Receipt of Complaints (7.2) 62 How are complaints received and recorded? 63 Is the remedy sought by the customer recorded? 64 Is any anticipated response time indicated to the customers? Tracking of Complaints (7.3), Acknowledgement of Complaints (7.4) 65 How is the complaint tracked from initial receipt till final decision? 66 Is any interim status on complaint resolution communicated to the customer? 67 How is the receipt of complaints acknowledged to the complainant? Initial assessment of complaints (7.5) 68 What are the criteria for initial assessment of complaints? 69 Are complaints addressed based on urgency and severity? Investigation of complaints (7.6) 70 What is the procedure for investigating the complaint? 71 Does a structured approach exit in dealing with complaints (like process, forms / checklists etc) 72 How the response time is monitored? 73 Is there any mechanism to indicate the time to be taken to resolve the complaint? 74 Are there control mechanisms to ensure consistent outcome? 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met 2 3 Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 5 of 6 Response to complaints (7.7), Communicating the decision (7.8) 75 How is the response offered to the complainant? 76 How are the complaints dealt that cannot be immediately resolved as soon as possible? 77 Are complainants able to get the status of their complaint? 78 Are any service standards in place on who to responds to various types of complaints? 79 How genuinely the organisation addresses complainants’ concerns when advising them of a decision? 80 How are the proposed decisions/ actions recorded in case the resolution is not acceptable to the complainant? 81 What is the procedure for obtaining feedback? 82 Is there an independent reviewer mechanism of the original decision maker in place? Closing complaints (7.9) S. No Maintenance and Improvement (8.0) 1 Collection of information (8.1) 83 How is the personal information and confidentiality of complainants protected? 84 How are the records of complaints- handling process maintained and retained? 85 How are the records of training and instruction received by complaints-handling staff maintained? 86 What are the criteria for responding to complainant’s request for record presentation? 87 How is complaints data disclosed to the public? Analysis and evaluation of complaints (8.2) / Evaluation of the satisfaction with the complaints-handling process (8.3) 88 How is the complaints data classified and analysed? 89 Is Root Cause analysis of complaints done to identify opportunities for improvement? 90 Is customer satisfaction sought on the complaint’s resolution process? 91 How is the effectiveness of the complaint management process monitored? 92 Are audits conducted to evaluate the performance of the complaints-handling process? 93 Does audit provide information on process suitability and effectiveness to achieve complaints-handling objectives? 94 Is review of the complaints-handling process done by the top management regularly? 95 Does Management Review include assessment of risks and opportunities and the need for changes to the complaints-handling process? Monitoring of the complaints-handling process (8.4) / Auditing of the complaints-handling process (8.5) Management review of the complaints-handling process (8.6) 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met 2 3 Gap Analysis Checklist based on BS ISO 10002:2018 Quality Management – Customer Satisfaction- Guidelines for Complaints handling in organisations Page 6 of 6 96 Does Management evaluate the effectiveness of the actions taken in relation to risks and opportunities? 97 What type of information acts as an input to the Management review? 98 What type of information emerges as output from the Management review? 99 Are records from management review maintained and used to identify opportunities for improvement? 100 How the corrective and preventive actions are taken to prevent recurrence and occurrence of complaints? 101 How does the organisation explore and apply lessons learned and best practices in complaints handling? 102 How does the organisation encourage innovation and recognize exemplary complaints-handling behaviour? Continual improvement (8.7) 1 = Good Requirements of ISO 10002 met Result Categorization 2 = Needs Improvement Requirements of ISO 10002 partially met. 3 = Deviation Requirements of ISO 10002 not met
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