ISO 10002:2018
Customer Satisfaction — Complaints Handling Audit Checklist
Quality Management System — Internal / External Audit Tool
1. Audit Information
Organization Name:
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Department / Area Audited:
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Audit Reference No.:
________________________________
Audit Date(s):
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Lead Auditor:
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Audit Team Members:
________________________________
Auditee / Interviewees:
________________________________
Standard Reference:
ISO 10002:2018 – Quality Management – Customer Satisfaction – Guidelines for Complaints Handling in Organizations
Audit Scope:
________________________________
Audit Objective:
Assess conformance with ISO 10002:2018 and effectiveness of the complaints-handling system
2. Scoring Legend
Symbol
Meaning
Mark As
Color Code
Yes / Y
Requirement is fully met — evidence sighted
Tick the Yes column
No / N
Requirement is not met — nonconformity raised
Tick the No column
N/A
Requirement is not applicable to this scope/context
Tick the N/A column
3. Instructions for Use
1. Review each checklist item and mark the appropriate column (Yes / No / N/A) based on objective evidence gathered during the audit.
2. Record specific findings and observations in the 'Finding / Observation' column; include document references, record numbers, or interviewee names in the 'Evidence / Reference' column.
3. Where a requirement is marked 'No', raise a formal nonconformity or opportunity for improvement and assign a corrective action reference number.
4. Complete the Summary of Findings table (Section 5) upon completion of the audit, and obtain required sign-offs in Section 6.
5. This checklist should be used in conjunction with the full text of ISO 10002:2018 and the organization's documented complaints-handling procedures.
4. Audit Checklist — ISO 10002:2018 (Clauses 4–10)
Clause
Audit Requirement / Checklist Item
Yes
No
N/A
Finding / Observation
Evidence / Reference
4 Context of the Organization
4.1 Understanding the Organization and Its Context
4.1
Has the organization determined external and internal issues relevant to its purpose that affect its ability to achieve intended outcomes of the complaints-handling system?
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4.1
Are these internal/external issues monitored and reviewed periodically?
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4.1
Does the organization consider legal/regulatory requirements, competitive environment, and organizational culture as part of its context?
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4.2 Understanding the Needs and Expectations of Interested Parties
4.2
Has the organization identified relevant interested parties (e.g., complainants, customers, employees, regulators, suppliers)?
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4.2
Have the needs and expectations of these interested parties related to complaints handling been determined?
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4.2
Are the requirements of interested parties monitored and reviewed?
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4.3 Scope of the Complaints-Handling System
4.3
Has the organization defined the scope of the complaints-handling system (products, services, locations, boundaries)?
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4.3
Is the scope documented and available as documented information?
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4.3
Does the scope consider the context of the organization and requirements of interested parties?
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4.4 Complaints-Handling System
4.4
Has the organization established, implemented, maintained, and continually improved a complaints-handling system, including required processes and their interactions?
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4.4
Are the processes and their sequence and interaction determined and managed?
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5 Leadership
5.1 Leadership and Commitment
5.1
Does top management demonstrate leadership and commitment by ensuring complaints-handling policy and objectives are established?
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5.1
Does top management ensure integration of complaints-handling requirements into the organization's business processes?
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5.1
Does top management promote a customer-focus culture and awareness of complaints-handling throughout the organization?
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5.1
Does top management ensure the availability of necessary resources for the complaints-handling system?
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5.1
Does top management communicate the importance of effective complaints management and conforming to complaints-handling requirements?
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5.1
Does top management direct persons to contribute to the effectiveness of the complaints-handling system?
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5.1
Does top management support other relevant management roles to demonstrate leadership in their areas of responsibility?
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5.2 Policy
5.2
Has top management established a complaints-handling policy appropriate to the purpose and context of the organization?
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5.2
Does the complaints-handling policy provide a framework for setting complaints-handling objectives?
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5.2
Is the complaints-handling policy communicated, understood, and applied within the organization?
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5.2
Is the complaints-handling policy available to interested parties (publicly accessible)?
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5.2
Is the policy reviewed for continuing suitability?
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5.3 Organizational Roles, Responsibilities, and Authorities
5.3
Has top management assigned responsibility and authority for ensuring the complaints-handling system conforms to ISO 10002?
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5.3
Is there a designated management representative (or equivalent role) responsible for overseeing the complaints-handling system?
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5.3
Are roles, responsibilities, and authorities defined, documented, and communicated within the organization?
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5.3
Is there a complaints-handling function/owner with clear accountability at senior level?
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6 Planning
6.1 Actions to Address Risks and Opportunities
6.1
Has the organization determined risks and opportunities that need to be addressed to ensure the complaints-handling system can achieve intended results?
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6.1
Has the organization planned actions to address identified risks and opportunities?
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6.1
Are actions to address risks and opportunities integrated into and implemented in the complaints-handling system?
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6.1
Is the effectiveness of actions to address risks and opportunities evaluated?
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6.2 Complaints-Handling Objectives and Planning to Achieve Them
6.2
Has the organization established measurable complaints-handling objectives at relevant functions and levels?
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6.2
Are the complaints-handling objectives consistent with the policy?
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6.2
Do the objectives consider applicable requirements and be relevant to achieving customer satisfaction?
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6.2
Are the complaints-handling objectives monitored, communicated, and updated as appropriate?
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6.2
Has the organization determined: what will be done, what resources will be required, who will be responsible, when it will be completed, and how results will be evaluated?
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7 Support
7.1 Resources
7.1.1
Has the organization determined and provided resources needed for the complaints-handling system (general)?
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7.1.2
Are persons with the necessary competence available for the complaints-handling system?
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7.1.3
Is the infrastructure needed for the operation of the complaints-handling system determined, provided, and maintained?
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7.1.4
Is the environment for the operation of the complaints-handling process (including human and physical factors) determined, provided, and maintained?
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7.2 Competence
7.2
Has the organization determined the necessary competence of persons doing work affecting complaints-handling performance?
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7.2
Are persons competent on the basis of appropriate education, training, or experience?
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7.2
Where applicable, does the organization take actions to acquire the necessary competence (e.g., training, mentoring, reassignment)?
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7.2
Does the organization retain documented information as evidence of competence (training records, certifications)?
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7.3 Awareness
7.3
Are persons doing work under the organization's control aware of the complaints-handling policy?
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7.3
Are persons aware of their contribution to the effectiveness of the complaints-handling system?
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7.3
Are persons aware of the implications of not conforming to complaints-handling system requirements?
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7.4 Communication
7.4
Has the organization determined internal and external communications relevant to the complaints-handling system?
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7.4
Does the communication plan address: what to communicate, when, with whom, how, and who communicates?
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7.4
Is complaints-handling information communicated to complainants in an accessible and understandable manner?
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7.5 Documented Information
7.5.1
Does the complaints-handling system include documented information required by ISO 10002?
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7.5.1
Does the system include documented information determined by the organization as necessary for the effectiveness of the complaints-handling system?
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7.5.2
When creating and updating documented information, does the organization ensure appropriate identification and description (title, date, author)?
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7.5.2
Is the format and media of documented information reviewed and approved for suitability and adequacy?
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7.5.3
Is documented information controlled to ensure it is available, suitable for use, and adequately protected?
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7.5.3
Is distribution, access, retrieval, use, storage, preservation, and control of changes for documented information addressed?
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7.5.3
Is documented information of external origin identified and controlled?
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8 Operation
8.1 Operational Planning and Control
8.1
Has the organization planned, implemented, controlled, and maintained processes needed to meet complaints-handling system requirements?
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8.1
Are criteria for the processes established and implemented?
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8.1
Is documented information retained to demonstrate that processes have been carried out as planned?
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8.1
Are outsourced or externally provided processes controlled?
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8.2 Complaints-Handling Principles (Guiding Principles)
8.2 a)
VISIBILITY: Is information about how and where to complain made accessible to customers, employees, and other interested parties (e.g., website, brochures, receipts, signage)?
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8.2 b)
ACCESSIBILITY: Is the complaints-handling process accessible to all complainants? Are multiple channels available (phone, email, in-person, online)? Is access provided for complainants with special needs or disabilities?
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8.2 c)
RESPONSIVENESS: Is each complainant acknowledged upon receipt of a complaint? Are complainants kept informed of the progress of their complaint throughout the handling process?
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8.2 d)
OBJECTIVITY: Is each complaint addressed in an equitable, objective, and unbiased manner throughout the complaints-handling process?
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8.2 e)
CHARGES: Is access to the complaints-handling process free of charge to the complainant?
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8.2 f)
CONFIDENTIALITY: Personally identifiable information of the complainant is made available only where needed for addressing the complaint within the organization, and is not disclosed without the consent of the complainant?
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8.2 g)
CUSTOMER-FOCUSED APPROACH: Has the organization adopted a customer-focused approach and is it open to feedback including complaints?
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8.2 h)
ACCOUNTABILITY: Has the organization established clear accountability and reporting for complaints-handling actions and decisions?
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8.2 i)
CONTINUAL IMPROVEMENT: Is continual improvement of the complaints-handling process a permanent objective of the organization?
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8.3 Complaints-Handling Framework
8.3.1
Has the organization established and documented a framework for complaints handling including policy, objectives, processes, and resources?
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8.3.2
Is the commitment to complaints handling visibly demonstrated by top management and communicated throughout the organization?
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8.3.2
Does the policy acknowledge the right to complain and commit to an effective complaints-handling process?
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8.3.3
Does the organization hold someone in top management accountable for complaints handling, with clear authority to implement the complaints-handling policy?
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8.3.3
Are responsibilities for resolving complaints to complainants' satisfaction identified and assigned?
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8.3.3
Are responsibilities for escalation of unresolved complaints defined?
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8.4 Complaints-Handling Process
8.4.1 Communication
8.4.1
Is information about the complaints-handling process communicated to customers, complainants, and other relevant parties in plain language?
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8.4.1
Does the information on the complaints process include: where to complain, how to complain, information required from the complainant, process to be followed, available remedies?
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8.4.2 Receipt of Complaint
8.4.2
On receipt of a complaint, is the complaint recorded along with supporting data and a unique identifier?
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8.4.2
Is the complainant given acknowledgment of receipt of the complaint (including the unique identifier)?
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8.4.2
Are initial details captured including: complainant's name and contact, description of the complaint, products/services involved, date, desired outcome?
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8.4.3 Tracking of Complaints
8.4.3
Is the complaint tracked from the time of receipt through the entire process until the complainant is satisfied or the decision is made?
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8.4.3
Is the status of complaints communicated to the complainant when requested?
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8.4.3
Is a tracking system (log, database, or equivalent) in place to monitor individual complaints?
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8.4.4 Acknowledgement of Complaints
8.4.4
Is receipt of each complaint acknowledged to the complainant (immediately or within a defined timeframe)?
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8.4.4
Does acknowledgement include expected timeframes for resolution or next steps?
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8.4.5 Initial Assessment of Complaints
8.4.5
After acknowledgement, is each complaint assessed in terms of severity, safety implications, complexity, and impact?
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8.4.5
Is there a process to identify complaints requiring immediate action (urgent/safety-related)?
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8.4.5
Is the complaint classified or categorized (e.g., by product, type, root cause) to aid analysis?
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8.4.6 Investigation of Complaints
8.4.6
Is every complaint investigated appropriately to the circumstances and seriousness of the complaint?
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8.4.6
Is the investigation process documented, with findings recorded?
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8.4.6
Does the investigation consider all relevant information including previous complaints of a similar nature?
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8.4.7 Response to Complaints
8.4.7
Following investigation, does the organization offer an appropriate response (e.g., correction, replacement, refund, apology, information)?
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8.4.7
If a complaint cannot be resolved immediately, is the decision made by a person with sufficient authority?
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8.4.7
Is the response communicated to the complainant as soon as the decision or action is taken?
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8.4.7
Is the complainant informed of any recourse available if they are not satisfied with the response (e.g., external dispute resolution, escalation)?
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8.4.8 Communicating the Decision
8.4.8
When the complaint is resolved, is the decision communicated to the complainant along with the reasons?
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8.4.8
Where a complaint is not upheld, does the communication explain why and provide information on any available external recourse or review mechanisms?
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8.4.9 Closing the Complaint
8.4.9
Once action has been taken, is the complaint closed and the status updated in the tracking system?
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8.4.9
If the complainant accepts the proposed resolution, is the response carried out and recorded?
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8.4.9
If the complainant rejects the proposed resolution, is the complaint kept open and the complainant informed of alternative escalation/dispute resolution options?
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8.4.9
Are closed complaints retained as documented information?
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8.5 Maintenance and Improvement
8.5.1 Collection of Information
8.5.1
Does the organization regularly collect and record information about the operation and performance of the complaints-handling process?
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8.5.1
Is data collected on: number of complaints, type, product/service category, outcome, resolution time, complainant satisfaction?
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8.5.2 Analysis and Evaluation of Complaints
8.5.2
Are complaints systematically analyzed to identify trends, patterns, and root causes?
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8.5.2
Does analysis support the identification of systemic, recurring, and single-incident problems?
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8.5.2
Are complaints used to evaluate the adequacy of the complaints-handling process itself?
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8.5.3 Satisfaction with Complaints-Handling Process
8.5.3
Does the organization routinely determine the level of satisfaction of complainants with the complaints-handling process?
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8.5.3
Are methods defined for gathering complainant satisfaction data (e.g., surveys, follow-up calls)?
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8.5.3
Are results of complainant satisfaction surveys used to improve the process?
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8.5.4 Monitoring of the Complaints-Handling Process
8.5.4
Does the organization continually monitor the complaints-handling process to ensure it is effective and efficient?
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8.5.4
Are performance indicators established and monitored (e.g., resolution rate, average handling time, re-opened complaints)?
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8.5.4
Are monitoring results documented and reviewed at defined intervals?
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8.5.5 Auditing of Complaints-Handling Process
8.5.5
Does the organization conduct periodic audits of the complaints-handling process to verify that it conforms to the standard and has been effectively implemented?
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8.5.5
Are audit results reported to top management?
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8.5.5
Are audit findings used to drive corrective actions and improvements?
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8.5.6 Management Review of Complaints-Handling Process
8.5.6
Does top management periodically review the complaints-handling process to ensure its continuing suitability, adequacy, and effectiveness?
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8.5.6
Does the management review consider: status of actions from previous reviews, changes in external/internal issues, performance and effectiveness data, adequacy of resources, risk/opportunities?
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8.5.6
Does the management review produce outputs related to: opportunities for improvement, any need for changes to the complaints-handling system?
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8.5.6
Is documented information retained as evidence of the results of management reviews?
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8.5.7 Continual Improvement
8.5.7
Does the organization continually improve the suitability, adequacy, and effectiveness of the complaints-handling system?
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8.5.7
Are improvement opportunities acted upon in a structured manner?
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9 Performance Evaluation
9.1 Monitoring, Measurement, Analysis, and Evaluation
9.1.1
Has the organization determined what needs to be monitored and measured in the complaints-handling system?
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9.1.1
Are the methods for monitoring, measurement, analysis, and evaluation determined to ensure valid results?
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9.1.1
Is the analysis and evaluation of monitored/measured data performed at defined frequencies?
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9.1.2
Does the organization evaluate complainant satisfaction and the effectiveness of the complaints-handling process?
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9.2 Internal Audit
9.2.1
Does the organization conduct internal audits of the complaints-handling system at planned intervals?
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9.2.1
Do internal audits determine whether the complaints-handling system conforms to ISO 10002 requirements and the organization's own requirements?
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9.2.1
Do internal audits determine whether the complaints-handling system is effectively implemented and maintained?
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9.2.2
Has the organization established and implemented an audit programme, including frequency, methods, responsibilities, planning requirements, and reporting?
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9.2.2
Are audit criteria and scope defined for each audit?
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9.2.2
Are auditors selected to ensure objectivity and impartiality of the audit process?
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9.2.2
Are audit results reported to relevant management?
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9.2.2
Are documented information retained as evidence of the audit programme and results?
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9.3 Management Review
9.3.1
Does top management review the complaints-handling system at planned intervals?
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9.3.2
Does the management review consider: status of actions from previous reviews; changes in external/internal issues; complaints-handling performance data (trends, nonconformities, monitoring results); adequacy of resources; risks and opportunities?
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9.3.3
Do management review outputs include decisions related to continual improvement opportunities and any need for changes?
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9.3.3
Is documented information retained as evidence of management review results?
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10 Improvement
10.1 Nonconformity and Corrective Action
10.1
When a nonconformity occurs (including a complaints-handling failure), does the organization react to it, take action to control it, and deal with the consequences?
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10.1
Does the organization evaluate the need for action to eliminate the cause(s) of nonconformity so that it does not recur (root cause analysis)?
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10.1
Are corrective actions implemented as necessary?
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10.1
Is the effectiveness of corrective actions reviewed?
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10.1
Are changes to the complaints-handling system made if necessary?
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10.1
Is documented information retained as evidence of: the nature of nonconformities and subsequent actions, and results of corrective actions?
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10.2 Continual Improvement
10.2
Does the organization continually improve the suitability, adequacy, and effectiveness of the complaints-handling system?
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10.2
Are results of analysis, evaluation, and management review considered to identify improvement opportunities?
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5. Summary of Audit Findings
Category
Count
Comments
Major Nonconformity (NC)
Minor Nonconformity (OFI)
Observation / Improvement Opportunity
Conforming Requirements
Not Applicable Items
Overall Audit Conclusion
6. Corrective Action Log
Ref #
Clause
Nonconformity / Finding Description
Corrective Action Owner
Target Date
Status
7. Audit Sign-Off
Role
Name & Signature
Date
Lead Auditor
Auditee Representative
Management Representative
Additional Notes / Auditor's Summary:
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