Complaint System Internal Audit - Topics to Emphasize

A

Asant

#1
:nope:

I am in the process to prepare an internal audit to the complaint system. I would like to know the topics that I need to emphasize during the audit. Our company use trackwise to handled the complaint.
 
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Marc

Hunkered Down for the Duration with a Mask on...
Staff member
Admin
#2
Are you wanting feed back on Customer Complaints specifically?
 
P

Peter West

#3
Hopefully someone has the answer as I have experienced issues with controlling complaint handling in my recent audits.

I know our company must get complaints of all sorts from very small verbal comments to full blown legal letters. We apparently adopt the RICS approach to handling however when I approach management to ask for records of any received no-one in the business has any.

So it makes me think they are handled by top management, then discarded - or filed somewhere inaccessible.

If you are looking at auditing complaints processing refer to 7.2.3 of ISO9001 (the organization shall determine and implement effective arrangements for communicating with customers in relation to...customer feedback, including customer complaints) and 8.5.2 (A documented procedure shall be established to define the requirements for...reviewing nonconformities (including customer complaints).

ISO 10002:2004 is cited as a guideline for complaints handling but I havent read that.

I have found from my limited experience that industry standard compliant procedures (such as RICS) provide a good skeleton to follow, and if auditing this you want to ensure all steps have been covered with proper communication throughout the process with customer and company parties, and finally ensuring corrective action was effective, and records maintained (with any lessons learnt communicated to the company - although i guess that would come under a separate audit of the Lessons Learnt process).

If you run a search using the 'Post Attachments List' at the top of the page (little green button) there are a few useful documents there - Complaint related file attachments.

Hope it helps.

Peter
 

harry

Super Moderator
#4
You'll need to audit against something such as requirements - usually recorded in some procedures. Search for it and have a good appreciation before you proceed.
 

yodon

Staff member
Super Moderator
#5
You'll need to audit against something such as requirements - usually recorded in some procedures. Search for it and have a good appreciation before you proceed.
Harry is quite correct. Your statement about the company using Trackwise is (almost) irrelevant. That's just an implementation of the (defined) procedure. You could (in theory) use stone tablets and still be compliant. The key, as Harry points out, is to understand what your defined procedures are and then audit to how well the company is complying.

I did mention that the tool you use is "almost" irrelevant. If you're in a regulated industry (e.g., medical devices, pharma, etc.) then such a tool would fall under the quality system and would be expected to be validated. If you are in medical / pharma then there's also the likelihood that 21 CFR Part 11 (electronic records / electronic signatures) comes into play.
 
A

Asant

#6
Hi:

Thank for your response. This is the first time that I performe a audit for a complaint system. I realy appreciate any information that can let be prepare that I can use as a guidance.:thanx:
 

Steve Prevette

Deming Disciple
Staff member
Super Moderator
#7
Seems to me that if you are auditing the process of handling complaints I would review:

Is there some sort of tracking log for when complaints are received?
Are they tracking resolution of the complaint?
How long is the cycle time until the customer is informed of resolution?
Do they track if the customer agrees with the resolution?
Does the customer agree with resolution?
Are there recurring issues with certain products / services?
What is being done to prevent recurrences?

I'd check the manual records - and also interview people in the process and ask - "Let's say I am a customer and I have a complaint. How do I inform you of it, and what do you then do with it?" I'd also want to observe the actual processing of a customer complaint.

A tough question to answer - but worth trying to find out - are there any customer complaints out there that aren't getting captured and dealt with?
 

Sidney Vianna

Post Responsibly
Staff member
Admin
#9
Harry is quite correct. Your statement about the company using Trackwise is (almost) irrelevant. That's just an implementation of the (defined) procedure. You could (in theory) use stone tablets and still be compliant.
My take is a little different. I assume Trackwise is a software application used to manage customer feedback, including complaints. If we think of the complaint system as a process, to perform an effective internal audit of the process, we must ensure the involved personnel are properly using the tool (Trackwise in this case).

I am not familiar with this application, but some sophisticated complaint handling software packages are set up to ensure that escalation/elevation activities are properly triggered, data is gathered and analyzed, etc...

To a great extent, a well developed tool/software application becomes the core of the process itself. I don't see how the OP could perform an effective internal audit of the complaint handling process, disregarding a critical resource, such as the software used by the organization to manage the complaint handling process.
 

yodon

Staff member
Super Moderator
#10
To a great extent, a well developed tool/software application becomes the core of the process itself. I don't see how the OP could perform an effective internal audit of the complaint handling process, disregarding a critical resource, such as the software used by the organization to manage the complaint handling process.
Sidney, good point but company has to be careful to not allow the tail to wag the dog, so to speak. Ideally, the process is defined and the tool implements the process. Having a tool define the process is, from my experience, a risk that can lead to all sorts of process deviations ("well if the tool supports it, it must be ok"). This is especially true in a large, "do all" application like Trackwise (from what I understand of it).

A software application should be used to meet its intended purpose. You don't want to end up using your hammer to drive a screw.
 
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