Improving Complaints Management system, Complied to ISO 10002

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It is a business case that study the implementation of complaints handling management system, that is complied with ISO 10002, and syudies how it enhance customer satisfaction, Loyalty, and corporate image.

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Improving Complaints Management system, Complied to ISO 10002

  1. 1. [17/11/09] [Personal Loyalty and Retention] Business Case [Enhancing customer satisfaction, loyalty, and Corporate Image, through Improving our Complaints Management System] Applying complaint management system, compliant to ISO 10002-2004 Provided by: Ahmad Heshmat Mahmoud Personal Save & Retention Specialist Loyalty and Retention Operations Egyptian Company for Mobile Services (Mobinil) Office: +20 12 3202283 Mobile +20 12 1005629 Fax: +20 12 3205808 e-Mail: aheshmat@mobinil.com APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004
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  3. 3. Table of Contents 1)Executive Summary................................................2 2)Background.............................................................4 Problem / Opportunity 4 Current Situation 4 3)Project Description Project Description 5 Objectives 5 Scope 6 Out of Scope 6 Anticipated Outcomes 7 4) Cost/Benefit Analysis Quantitative Analysis – Financial Cost & Benefit: 8 5) Conclusions & Recommendations Conclusions 11 Recommendations 11 6) Implementation Strategy 12 Section [APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 1
  4. 4. 1 Executive Summary [Enhancing customer satisfaction, loyalty, and Corporate Image, through Improving our Complaints Management System] “A complaint is an expression of dissatisfaction made to an organization, related to its products, or the complaints handling process itself, where a response or resolution is explicitly or implicitly expected." Definition from ISO 10002:2004 It costs an organization at least four times as much to recruit a new customer as to maintain an existing one. Organizations that regularly lose customers, struggle to repair their damaged reputations. In today’s competitive environment, product and service innovations are re-defining accepted levels of performance. A good Complaints Management System is one of the crucial requirements for successful businesses when managing customers’ needs and protecting their brand. The Customer Satisfaction standard, ISO 10002:2004 – the guideline standard for implementing a complaints management system – helps organizations to identify, manage and understand how successfully they deal with their customers' complaints. The standard specifies the key requirements for handling customer complaints successfully and includes complaints management controls to help address customer dissatisfaction within the business. Why choosing ISO 10002? ISO 10002 is relevant to any organization that wishes to exceed customer expectations, a basic requirement for businesses of all types and sizes. Benefits There are a number of benefits to implementing and certifying the customer complaints management system: • Customer retention By adopting the management system, the ability to retain the loyalty of the customers will be enhanced. • Brand reputation Implementing and certifying the complaints management system demonstrates to stakeholders that have a real commitment to managing customer care issues and have processes in place to handle, analyze and review complaints. • Operational efficiency Implementation and certification ensures a consistent approach to handling customer queries, enabling to identify trends and eliminate the causes of complaints, as well as improve the organization’s operations. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 2
  5. 5. • Improved internal communications and relations It helps to adopt a customer-focused approach to resolving complaints and encourage personnel to improve their skills in working with customers. • Flexibility The standard is compatible with ISO 10002 Quality allowing to add value and efficiency to the organization. • Continual improvement It provides a basis for continual review and analysis of the complaints-handling process, the resolution of complaints and where improvements can be made. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 3
  6. 6. Section 2 Background Problem / Opportunity Even the best companies sometimes get it wrong. They fail to deliver what is promised. When people, processes and technology don't complement each other and work in harmony, service delivery can stall, and customers end up dissatisfied. That puts them at risk of churning and giving bad word of mouth to their social networks. Companies, therefore, need to design their service delivery strategies to "get it right the first time" but, recognizing that even the best sometimes fail, also have recovery processes in place to identify and retain valued at-risk customers. Customer dissatisfaction can damage the business. According to recent research, an average of 25 out of 26 unhappy anonymous customers will subsequently drive away 1,560 of their friends from the business. Smart management will find ways to differentiate themselves from competitors, define customer service standards, and deliver an effective complaint handing system for their customers. The way an organization handles complaints can affect its reputation. Poorly handled complaints can be an expensive exercise that reflects badly on the organization and reinforces defective business processes. If complainants feel they are being ignored or not taken seriously, they may look for redress by seeking external review or by publicly exposing their experience, which could directly impact on an organization’s reputation. There is much to lose by ignoring complaints and much to be gained by having an effective complaints management system. Current Situation Although Mobinil has an existing complaints handling department, but it differs than applying a whole “complaint management system”. And below are some limitations: 1- there is other departments are working within the scope of complaint handling, but they are not under a unified umbrella, (e.g. network complaints handling, data technical team and complaints handling) 2- there will be a lack of standardized process as the departments are not under a unified umbrella. 3- Other departments are not fully involved in the responsibility of the customers’ complaints. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 4
  7. 7. Section 3 Project Description Project Description The key customer-save course of action is the complaints-handling process. Customers who complain, and are well treated by the process are less likely to churn than customers who have no cause for complaint. In other words, a well- designed, easy-to-engage and responsive complaints-handling process can build loyalty. An effective complaints management system aims to provide quality customer service. It helps to measure customer satisfaction and is a useful source of information and feedback for improving services. Often customers are the first to identify when things are not working properly. Implementing effective complaints management systems: • improves internal complaints handling • reduces recurring complaints • improves standards of service to the community • raises standards of decision-making. A good complaints management system can be an economical and efficient way of improving an organization’s public image and increasing client satisfaction, and can also enable agencies to review their own performance and identify and address systemic and service-related problems. Complaint management is challenging as there is not always a concrete solution to the problem. Success depends on how well the management understand the complaint, how it is handled and if the customer is happy with the solution offered. ISO 10002 for Quality Management: Customer Satisfaction - Guideline for Complaint Handling in Organizations is an excellent customer service certificate and acts as a ‘true-to-life’ manual designed expressly for this purpose Objectives • Reduce or avoid bad publicity that can arise when complaints are not dealt with or are dealt with effectively. • Serve as an early warning of trouble spots. • Complaints data can give an indication of where an agency is not meeting its customers’ expectations. • Complaints feedback can assist in quality control.• Assist in setting service benchmarks for the organization. • Assist in identifying information, policy, process and service deficiencies. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 5
  8. 8. • Providing a complainant with access to an open and responsive complaints-handling process. • Enhancing the ability of the organization to resolve complaints in a consistent, systematic and responsive manner, to the satisfaction of the complainant and the organization. • Enhancing the ability of an organization to identify trends and eliminate causes of complaints, and improve the organization’s operations. • Helping an organization create a customer-focused approach to resolving complaints, and encourage personnel to improve their skills in working with customers. • Provide a basis for continual review and analysis of the complaints-handling process, the resolution of complaints, and process improvements made. Scope ISO 10002 provides guidance on the process of complaints handling related to products within an organization, including planning, design, operation, maintenance and improvement. The complaints-handling process described is suitable for use as one of the processes of an overall complaints handling management system. This International Standard addresses the following aspects of complaints handling: a) Enhancing customer satisfaction by creating a customer-focused environment that is open to feedback (including complaints), resolving any complaints received, and enhancing the organization's ability to improve its product and customer service; b) Top management involvement and commitment through adequate acquisition and deployment of resources, including personnel training; c) Recognizing and addressing the needs and expectations of complainants; d) Providing complainants with an open, effective and easy-to-use complaints process; e) Analyzing and evaluating complaints in order to improve the product and customer service quality; f) Auditing of the complaints-handling process; g) Reviewing the effectiveness and efficiency of the complaints-handling process. Out of Scope ISO 10002 Standard is not applicable to disputes referred for resolution outside the organization or for employment- related disputes. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 6
  9. 9. Anticipated Outcomes • customer satisfaction Increase • customer Loyalty Increase • customer Retention Increase • Enhancing corporate image and reputation. • Market share increase. • Revenue Increase. • Detecting and controlling the root cause of the cost of poor quality and nonconformity • Enhancing and contributing the cost reduction process. • Enhance the communication between the Departments. • To establish a lead benchmarking position in the Egyptian telecom field, concerning the complaint handling. Enhance our process APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 7
  10. 10. Section 4 Cost/Benefit Analysis Quantitative Analysis – Financial Cost & Benefit: We can select one of two ways to implement the standard of ISO 10002, 1- To implement the standard by using our own resources without a third party “certification body ”to consult or to audit our system. In this case there will not be a direct cost for implementing the system, but also we will not get the official certificate. 2- To contact a certification body (e.g. TÜV Rheinland Egypt) to audit our system after apllying the needed requirements, to get the official Certificate of “a complaint management system, compliant to ISO 10002-2004”. Please check the below price offer, provided by TÜV Rheinland Egypt as a sample for the fees if they applied the auditing: 1. Fees: APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 8
  11. 11. The following services are included in the above prices: • Certification fee for 12-month certification cycle • Three certificates in DIN A4 format. • Preparation and follow-up • TUVdotCOM logo plus maintenance of basic entry on Internet platform  All the above fees are subject to the addition of travel times and travel expenses as incurred and the legal rate of value-added tax. The costs will be billed on a performance basis. 2. Service Description Successful re-certification covers the following project stages: Optional project meeting The project meeting offers you the opportunity of classifying the certification procedure both technically and methodologically with your auditor on-site. This stage does not include document review or preparation of a report. Document review Similar to the certification audit, you submit your MS documentation (management manual, procedures and work instructions etc.) in English (also in electronic form) approx. 6 weeks before the date of the re-certification audit. In addition, you will receive an audit plan defining the schedule of the re-certification audit plus participation by management and responsible employees. Please note that prior to carrying out the re-certification audit, the previous audit report including all non-conformities and findings must have been submitted to the auditor. Certificate issue and use Following positive evaluation of the certification audit, the certificate will be issued. The original certificate will be prepared in the native language. Upon request, we also prepare further certificates in English, French, Spanish or Italian. For this purpose, please submit a translation of your certificate's scope of application into the relevant language. Certificates in languages other than the above and/or certificates bearing your company logo are prepared upon request and against payment of an additional fee. Monthly monitoring to maintain the certificate The certificate has a validity of 12 months. To maintain certificate validity, monthly surveillance audits must be carried out. We evaluate the system effectiveness by carrying out mystery-checks (calls, emails, services).The checks will be documented in 11 reports. Re-certification audit After 12 month we evaluate system effectiveness by carrying out an on-site re-certification audit in your organization. To maintain the validity of your certificate, the re-certification audit must have been completed and approved by the certification body by the date on which the validity of your previous certificate expires. The re- certification audit and the review result will be documented in an audit report. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 9
  12. 12. 3. Additional services You may continue to use the TÜV Rheinland certification mark together with your individual identity number (ID) as print-ready template and file both online and offline. Communicate your value-added to customers and partners. On stickers, business stationery, brochures, the Internet, or if you simply wish to proclaim your status as a TÜV Rheinland certified organization. 4. Quality and performance of our services We provide the services you commission in line with our voluntary commitment to high-quality services. In this context, you will benefit from our high level of employee qualifications and long-standing experience as an internationally active organization in this field of activity. The certification procedure will be carried out by auditors appropriately approved by TÜV Rheinland Cert GmbH on the basis of their verified qualifications and experience. 5. TUVdotCOM: Our TÜV Rheinland seal – your value-added After successful certification, your organization will automatically be integrated into our TUVdotCOM services. This Internet platform is available to all connected users, offering you cost-effective advertising on the Internet and the ideal information services for customers and business partners who are interested in your services and products. Interested parties can also convince themselves of the validity of your certificate. For this purpose, you are issued with your personal, unique TUVdotCOM-ID. We offer these services free of charge. Against payment of an additional fee, we offer the possibility of presenting your company in an optimum manner on our TUVdotCOM Service platform. For this purpose, you can supply us, for example, with a brief profile of your company and your services, a photo or logo of your company etc. Upon request, we can also establish a direct link to your web site. 6. Miscellaneous This agreement is concluded upon signing of the enclosed certification contract by both parties. This offer will be binding until June 2010 The General Terms and Conditions of Business of TÜV Rheinland Cert GmbH as amended will apply. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 10
  13. 13. Section 5 Conclusions & Recommendations Conclusions Description: This section will recap each of the alternatives based on their Business & Operational Impact, Project Risk Assessment, and Cost/Benefit Analysis: Alternative Business & Operational Impact Project Risk Assessment Cost/Benefit Analysis Self *No assurance the *mobinil auditors are not *no considerable direct costs implementation implementation will be fully trained to audit for this and auditing complied with the standard. standard. *there is no certificate granted. *some of nonconformity points might be not detected. Third Party *The implementation will be fully *the 3ed party is well *direct costs are considerable. Auditing complied with the standard, experienced to audit for this (cerification *Mobinil will get an official standard. body e.g. TUV) certificate of conformity. *it can be used as competitive advantage. Recommendations Considering the implementation, we recommend that a team from quality team “the team which is considered to apply ISO 90001” with cooperation from a team formed from the customer service department,and any other concerned department, to perform this step, and the benefits are: 1- Saving huge costs for the consultant who will apply the system 2- Involving several teams from different department will enhance the communication and knowledge between each others. But considering the Auditing process, we recommend option 2 (Third Party Auditing (certification body e.g. TUV)), as it more feasible, as Mobinil staff has no enough experience to Audit this standard. But after the first time we can do it after gaining the knowhow, if the costs became not affordable. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 11
  14. 14. Section 6 Implementation Strategy 14 Steps to Implementing * ISO 10002:2004, Quality management— Customer satisfaction—Guidelines for complaints handling in organizations Step 1: Top management commitment Step 2: Establish implementation team Step 3. Start ISO 10002 awareness programs Step 4: Provide Training Step 5. Conduct initial status survey Step 6: Create a documented implementation plan Step 7. Develop complaints handling management system documentation Step 8: Document control Step 9. Implementation Step 10. Internal quality audit Step 11. Management review Step 12. Pre-assessment audit Step 13. Certification and registration Step 14: Continual Improvement Step 1: Top Management Commitment The top management (managing director or chief executive) should demonstrate a commitment and a determination to implement an ISO 10002 complaints handling management system documentation in the organization. Without top management commitment, no quality initiative can succeed. Top management must be convinced that registration and certification will enable the organization to demonstrate to its customers a visible commitment to quality. It should realize that a complaints handling management system would improve overall business efficiency by elimination of wasteful duplication in management system. The top management should provide evidence of its commitment to the development and implementation of the complaints handling management system and continually improve its effectiveness by: Communicating to the organization the importance of meeting customer as well as statutory and regulatory requirements, Defining the organization's quality policy and make this known to every employee * Ensuring that quality objectives are established at all levels and functions * Ensuring the availability of resources required for the development and implementation of the complaints handling management system, * Appointing a management representative to coordinate complaints handling management system activities, and * Conducting management review. The top management should also consider actions such as: * Leading the organization by example, * Participating in improvement projects, * Creating an environment that encourages the involvement of people. This type of top management commitment may be driven by: * Direct marketplace pressure: requirements of crucial customers or parent conglomerates. * Indirect marketplace pressure: increased quality levels and visibility among competitors. * Growth ambitions: desire to exploit market opportunities. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 12
  15. 15. * Personal belief in the value of quality as a goal and complaints handling management systems as a means of reaching that goal. The top management should identify the goals to be achieved through the complaints handling management system. Typical goals may be: • Be more efficient and profitable • Produce products and services that consistently meet customers' needs and expectations • Achieve customers satisfaction • Increase market share • Improve communications and morale in the organization • Reduce costs and liabilities • Increase confidence in the production system Step 2. Establish Implementation Team ISO 10002 is implemented by people. The first phase of implementation calls for the commitment of top management. * Genuine and passionate commitment to quality in general and the ISO 10002 complaints handling management system in particular, * The dignity - resulting from rank, seniority, or both - to influence managers and others of all levels and functions, * Detailed knowledge of quality methods in general and ISO 10002 in particular. The members of the implementation team should also be trained on ISO 10002 complaints handling management systems by a professional training organization. Step 3. Start ISO 10002 Awareness Programs ISO 10002 awareness programs should be conducted to communicate to the employees the aim of the ISO 10002 complaints handling management system; the advantage it offers to employees, customers and the organization; how it will work; and their roles and responsibilities within the system. Suppliers of materials and components should also participate in these programs. The awareness program should emphasize the benefits that the organization expects to realize through its ISO 10002 complaints handling management systems. The program should also stress the higher levels of participation and self- direction that the complaints handling management system renders to employees. Such a focus will go far to enlist employee support and commitment. The programs could be run either by the implementation team or by experts hired to talk to different levels of employees. Step 4. Provide Training Since the ISO 10002 complaints handling management system affects all the areas and all personnel in the organization, training programs should be structured for different categories of employees - senior managers, middle-level managers, supervisors and staff. The ISO 10002 implementation plan should make provision for this training. The training should cover the basic concepts of complaints handling management systems and the standard and their overall impact on the strategic goals of the organization, the changed processes, and the likely work culture implications of the system. In addition, initial training may also be necessary on writing quality manuals, procedures and work instruction; auditing principles; techniques of laboratory management; calibration; testing procedures, etc. When in-house capacity to carry out such training is not available, it may be necessary to participate in external training courses run by professional training organizations. Alternatively, an external training institution could be invited to conduct in-house training courses. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 13
  16. 16. Step 5. Conduct Initial Status Survey ISO 10002 does not require duplication of effort or redundant system. The goal of ISO 10002 is to create a complaints handling management system that conforms to the standard. This does not preclude incorporating, adapting, and adding onto quality programs already in place. So the next step in the implementation process is to compare the organization’s existing complaints handling management system, if there is one -- with the requirements of the standard (ISO 10002:2004). For this purpose, an organization flow chart showing how information actually flows (not what should be done) from order placement by the customer to delivery to this customer should be drawn up. From this over-all flow chart, a flow chart of activities in each department should be prepared. With the aid of the flow charts, a record of existing complaints handling management system should be established. A significant number of written procedures may already be in place. Unless they are very much out of date, these documents should not be discarded. Rather, they should be incorporated into the new complaints handling management system. Documents requiring modification or elaboration should be identified and listed. This exercise is sometimes referred to as " gap analysis''. During these review processes, wide consultation with executives and representatives of various unions and associations within the organization is required to enlist their active cooperation. In the review process, documents should be collected, studied and registered for further use, possibly after they have been revised. Before developing new complaints handling management system documentation, you need to consider with which quality requirements or department you should start. The best is to select an area where processes are fairly well organized, running effectively and functioning satisfactorily. The basic approach is to determine and record how a process is currently carried out. We can do this by identifying the people involved and obtaining information from them during individual interviews. Unfortunately, it often happens that different people will give different, contradicting versions of a process. Each one may refer to oral instructions that are not accurate or clear. This is why the facts are often not described correctly the first time around, and have to be revised several times. Once it has been agreed how to describe the current process, this process has to be adapted, supplemented and implemented according to the requirements of the quality standard (ISO 10002:20004). This requires organizational arrangements, the drawing up of additional documents and possible removal of existing documentation (e.g. procedures, inspection/test plans, inspection/test instructions) and records (e.g. inspection/test reports, inspection/test certificates). In introducing a complaints handling management system, the emphasis is on the improvement of the existing processes or the re-organization of processes. In general, the steps to follow are the following: * Ascertain and establish the following: What is the present operation/process? What already exists? * Analyze the relevant sections of the quality standard - ISO 10002:20004: What is actually required? * If necessary, supplement and change operational arrangements in accordance with the standard, develop documents and records, and describe operations/ processes: What is the desired operation/process? Figure 1: Steps in introducing a complaints handling management system The above gap analysis can be done internally, if the knowledge level is there. Or a formal pre-assessment can be obtained from any one of a large number of ISO 10002 consulting, implementing, and registration firms. Step 6. Create a Documented Implementation Plan Once the organization has obtained a clear picture of how its complaints handling management system compares with the ISO 10002:20004 standard, all non-conformances must be addressed with a documented implementation plan. Usually, the plan calls for identifying and describing processes to make the organization’s complaints handling management system fully in compliance with the standard. The implementation plan should be thorough and specific, detailing: APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 14
  17. 17. * Quality documentation to be developed * Objective of the system * Pertinent ISO 10002:20004 section * Person or team responsible * Approval required * Training required * Resources required * Estimated completion date These elements should be organized into a detailed chart, to be reviewed and approved. The plan should define the responsibilities of different departments and personnel and set target dates for the completion of activities. Once approved, the Management Representative should control, review and update the plan as the implementation process proceeds. Typical implementation action plan is shown in Figure 2. Use ISO 10005:1995 for guidance in quality planning. How does it work? * What is required? (ISO 10002:20004) Determine and document the operation/process * 6 Month 1 Month 3 Month 5 Month 7 Month 9 Month 11 Month 13 ISO 10002 awareness campaign Appoint MR + establish implementation team Initial status survey + planning Develop Quality manual-Level A Write Level B documents Write Level C documents Monitor implementation process First internal audit Clear nonconformities Pre-registration audit Quality training Compliance discrepancies Registration Compliance audit 7 Step 7. Develop Complaints handling management system Documentation Documentation is the most common area of non-conformance among organizations wishing to implement ISO 10002 complaints handling management systems. As one company pointed out: "When we started our implementation, we found that documentation was inadequate. Even absent, in some areas. Take calibration. Obviously it's necessary, and obviously we do it, but it wasn't being documented. Another area was inspection and testing. We inspect and test practically every item that leaves here, but our documentation was inadequate". Documentation of the complaints handling management system should include: * Documented statements of a quality policy and quality objectives, * A quality manual, * Documented procedures and records required by the standard ISO 10002:20004, and * Documents needed by the organization to ensure the effective planning, operation and control of its processes. Quality documentation is generally prepared in the three levels indicated in the box that follows. Use ISO 10013:1995 for guidance in quality documentation. Level A: Quality manual * States the scope of the complaints handling management system, including exclusions and details of their justification; and describes the processes of the complaints handling management system and their interaction. Generally gives an organization profile; presents the organizational relationships and responsibilities of persons whose work affects quality and outlines the main procedures. It may also describe organization's quality policy and quality objectives. Level B: Complaints handling management system procedures * Describes the activities of individual departments, how quality is controlled in each department and the checks that are carried out. Level C: Quality documents (forms, reports, work instructions, etc.) * Work instructions describe in detail how specific tasks are performed; include drawing standards, methods of tests, customer's specifications, etc. * Presents forms to be used for recording observations, etc. In small companies, the above levels of documentation could be presented in one manual; otherwise, separate manuals should be prepared. A list of the documents to be prepared should be drawn up and the responsibility for writing the documents should be assigned to the persons concerned in various functional departments. They should be advised to prepare the drafts within a specific time frame. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 15
  18. 18. Step 8: Document Control Once the necessary complaints handling management system documentation has been generated, a documented system must be created to control it. Control is simply a means of managing the creation, approval, distribution, revision, storage, and disposal of the various types of documentation. Document control systems should be as simple and as easy to operate as possible -- sufficient to meet ISO 10002:20004 requirements and that is all. Document control should include: * Approval for adequacy by authorized person (s) before issue, * Review, updating and re-approval of documents by authorized person (s), * Identification of changes and of the revision status of documents, * Availability of relevant versions of documents at points of use, * Identification and control of documents of external origin, * Assurance of legibility and identifability of documents, and * Prevention of unintended use of obsolete documents. The principle of ISO 10002 document control is that employees should have access to the documentation and records needed to fulfill their responsibilities. Step 9. Implementation It is good practice to implement the complaints handling management system being documented as the documentation is developed, although this may be more effective in larger firms. In smaller companies, the complaints handling management system is often implemented all at once throughout the organization. Where phased implementation takes place, the effectiveness of the system in selected areas can be evaluated. It would be a good idea initially to evaluate areas where the chances of a positive evaluation are high, to maintain the confidence of both management and staff in the merits of implementing the complaints handling management system. The implementation progress should be monitored to ensure that the complaints handling management system is effective and conforms to the standard. These activities include internal quality audit, formal corrective action and management review. Step 10. Internal Quality Audit As the system is being installed, its effectiveness should be checked by regular internal quality audits. Internal quality audits are conducted to verify that the installed complaints handling management system: * Conform to the planned arrangements, to the requirements of the standard (ISO 10002:20004) and to the complaints handling management system requirements established by your organization, and * Is effectively implemented and maintained. Even after the system stabilizes and starts functioning, internal audits should be planned and performed as part of an ongoing strategy. A few staff members should be trained to carry out internal auditing. Use ISO 19011 for guidance in auditing, auditor qualification and programs. Step 11. Management Review When the installed complaints handling management system has been operating for three to six months, an internal audit and management review should be conducted and corrective actions implemented. The management reviews are conducted to ensure the continuing suitability, adequacy and effectiveness of the complaints handling management system. - The review should include assessing opportunities for improvement and the need for changes to the complaints handling management system, including the quality policy and quality objectives. The input to management review should include information on: * Results of audits, APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 16
  19. 19. * Customer feedback, * Process performance and product conformity, * Status of preventive and corrective actions, * Follow-up actions from previous management reviews, * Changes that could affect the complaints handling management system, and * Recommendations for improvements. Management reviews should also address the pitfalls to effective implementation, including lack of CEO commitment, failure to involve everyone in the process, and failure to monitor rogress and enforce deadlines. Step 12. Pre-assessment Audit When system deficiencies are no longer visible, it is normally time to apply for certification. However, before doing so, a pre-assessment audit should be arranged with an independent and qualified auditor. Sometimes certification bodies provide this service for a nominal charge. The pre-assessment audit would provide a degree of confidence for formally going ahead with an application for certification. Step 13. Certification and Registration Once the complaints handling management system has been in operation for a few months and has stabilized, a formal application for certification could be made to a selected certification agency. The certification agency first carries out an audit of the documents (referred to as an "adequacy audit"). If the documents conform to the requirements of the 10 quality standard, then on-site audit is carried out. If the certification body finds the system to be working satisfactorily, it awards the organization a certificate, generally for a period of three years. During this three-year period, it will carry out periodic surveillance audits to ensure that the system is continuing to operate satisfactorily. Step 14: Continual Improvement Certification to ISO 10002 should not be an end. You should continually seek to improve the effectiveness and suitability of the complaints handling management system through the use of: *Quality policy *Quality objectives *Audit results *Analysis of data *Corrective and preventive actions *Management review *ISO 9004:2000 provides a methodology for continual improvement. APPLYING COMPLAINT MANAGEMENT SYSTEM, COMPLIANT TO ISO 10002-2004] PAGE 17

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