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AS 10002:2022


Guidelines for complaint management in organizations (ISO 10002:2018, NEQ)

Provides guidance on complaint management within all types of organizations, including the planning, design, implementation, operation, maintenance and improvement of a complaint management system.
Published: 25/03/2022
Pages: 60
Table of contents
Cited references
Content history
Table of contents
About this publication
1 Scope
2 Application
3 Normative references
4 Terms and definitions
5 Guiding principles
5.1 Enabling complaints
5.1.1 People focus
5.1.2 Ensuring no detriment to complainant
5.1.3 Visibility and transparency
5.1.4 Accessibility
5.1.5 No charges
5.2 Managing complaints
5.2.1 Responsiveness
5.2.2 Impartiality and fairness
5.2.3 Equity
5.2.4 Privacy and disclosure
5.2.5 Communication
5.3 Managing the parties
5.3.1 Conduct of parties
5.3.2 Work health and safety
5.3.3 Complaint involving multiple parties
5.3.4 Empowerment of staff
5.4 Accountability, learning and prevention
5.4.1 Accountability
5.4.2 Continuous improvement
5.4.3 Prevention of ongoing disputes
6 Complaint-management framework
6.1 Introduction
6.2 Commitment
6.3 Policy and procedures
6.4 Responsibility and authority
6.4.1 General
6.4.2 Governing bodies
6.4.3 Chief executive
6.4.4 Manager responsible for complaint management
6.4.5 Operational managers
6.4.6 Staff handling complaints
6.5 Staff awareness
7 Planning and design
7.1 System
7.2 Review process
7.3 Procedures
7.4 Resources
7.5 Integration with public relations and media activities
7.6 Training
8 Operation of the complaint management system
8.1 Communication
8.2 Providing support in the making of a complaint
8.3 Early resolution
8.4 Record of complaint
8.4.1 General
8.4.2 Frontline staff
8.5 Tracking of complaint
8.6 Acknowledgement of complaint
8.7 Managing the complaint
8.7.1 Initial assessment of complaint
8.7.2 Addressing the complaint
8.7.3 Communicating with the complainant
8.8 Closing the complaint, review and record keeping
8.9 Implementation of recommendations and remedies
9 Maintenance and improvement
9.1 Collection of information
9.2 Analysis and evaluation of complaints
9.3 Satisfaction with the complaint management system
9.4 Monitoring the complaint management system
9.5 Auditing of the complaint management system
9.6 Management review of the complaint management system
9.6.1 Purpose of review
9.6.2 Inputs to review
9.6.3 Outputs of review
9.7 Continual improvement
Appendix A
A.1 General
A.2 Welcome complaints
A.3 Clear process
A.4 Staff awareness
A.5 Lowest level resolution
A.6 Acknowledge receipt of all complaints
A.7 Assess the complaint
A.8 Manage expectations
A.9 Inform the complainant about the outcome of their complaint
A.10 Record keeping
A.11 Review complaint data
Appendix B
B.1 General
B.2 Making the complaint management process accessible and usable
B.3 Flexible methods for making and managing complaints
Appendix C
C.1 General
C.2 Step one: Pre-collection activities
C.3 Step two: Collection
C.3.1 General
C.3.2 Quantitative data
C.3.3 Qualitative data
C.4 Step three: Analysis
C.5 Step four: Findings and reports
Appendix D
D.1 Principles of impartiality and fairness
D.2 Complaints about staff
D.3 Separating complaint management procedures from disciplinary procedures
D.4 Confidentiality
D.5 Impartiality and fairness monitoring
Appendix E
E.1 General
E.2 Examples of unreasonable conduct by complainants
E.3 Key principles for dealing with unreasonable conduct by complainants
E.3.1 Strategies for dealing with unreasonable conduct by complainants
E.3.2 Prevention principles
E.3.3 Management principles
E.3.4 Accountability principles
E.3.4.1 Supervisors and senior managers
E.3.4.2 All staff
Appendix F
F.1 General
F.2 Skills
F.3 Knowledge
F.4 Responsibilities of complaint handling management
Appendix G
G.1 General
G.2 Prevention
G.3 Management
G.4 Conflict coaching
G.5 Apology
G.6 Alternative dispute resolution (ADR)
Appendix H
H.1 General
H.2 Level one: Frontline complaint management — Early resolution
H.3 Level two: Internal assessment, investigation, ADR or review, or a combination thereof
H.4 Level three: External assessment, investigation, ADR or review
Appendix I
I.1 General
I.2 How can an apology be worded
I.3 Elements of an effective apology
I.3.1 Recognition of the harm or impact to the complainant suffered
I.3.2 Responsibility of the organization
I.3.3 Reasons for or the cause of the problem
I.3.4 Regret for the harm suffered
I.3.5 Redress for the wrong
I.3.6 Release from blame
Appendix J
J.1 General
J.2 Communication
J.3 Rectification
J.4 Mitigation
J.5 Satisfaction
J.6 Compensation
Appendix K
K.1 General
K.2 Establishing a RCA system
K.2.1 General
K.2.2 Step One: Identify the problems
K.2.3 Step Two: Assemble a RCA team
K.2.4 Step three: Analyse the problem and the goal
K.2.4.1 Causal factors
K.2.5 Step four: Create a logic tree
K.2.5.1 Logic tree
K.2.5.2 Five whys worksheet
K.2.5.3 Five whys technique
K.2.6 Step five: Implement the recommendations of the RCA team
K.2.7 Step six: Evaluate the impact of corrective action taken as a result of RCA
Appendix L
L.1 Information to collect on a complaint
L.2 Internal use of information provided on a complaint
L.2.1 Categorization
L.2.2 Complaint receipt
L.2.3 Complaint response
Appendix M
M.1 General
M.2 Management responsibility
M.3 Performance measurement and monitoring
M.3.1 General
M.3.2 Performance-monitoring criteria
M.3.3 Monitoring data
Appendix N
Appendix O
O.1 Presentation of information
O.2 Assemble an information system design (ISD) team or system sponsor
O.3 Implement the recommendations of the ISD team or system sponsor
O.4 Evaluate the impact of action taken as a result of the changes recommended by the ISD team or system sponsor
Cited references in this standard
Content history
[Available Superseded]
DR AS 10002:2021
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