Main Process Complaint Management

Number: MS-0000372
Management System Revision: 9

Effective date: Dec 6, 2019
Standard Operating Procedure Author: Dan Becker
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
Main Process Complaint Management
Legal Scope:
Global
Business Scope:
Cross Business
Process Scope:
6.6 Complaint Management
1. Process Overview
Classify complaint Conduct Failure Tracking of Close

Identify
and allocate to Management by complaint complaint and
complaint
business PSS procedure give feedback
2. Process Objectives
 Increase customer satisfaction and customer retention by quickly and securely handling of customer
complaints
 Optimized setup of an holistic complaint management
 Ensure the systematic detecting, categorizing and resolving of complaints to reduce administrative
costs and to receive payments faster (reduction of open items)
 Ensure traceability of any complaint on local, regional and global level by the same systematic
approach, using the same tools/instruments
 Ensure compliance/conformity to requirements, e.g. accreditation standards by release of a global
process to manage complaints
3. Principles, Terms and Abbreviations
Terms/Abbreviations Description
CAPA Corrective and Preventive Actions
CFT Cross Functional Team
CMR Complaint Manager
CMC Complaint Management Centre
FLE First Level Employee
PSS Problem Solving Sheet
PSR Problem Solving Responsible
SD Service Delivery
CQC Competence Quality Center
TCC Technical Competence Centre
TR AG TÜV Rheinland AG
LL Lessons Learned
Page 1 of 12 uncontrolled when printed out

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
3.1 Holistic approach

Complaint Management, in general, deals with the systematic detecting, recording, categorizing and
resolving of dissatisfaction expressions (complaints) by any person or organization both from external
and internal stakeholders of TR AG, where a response is expected. To that effect complaint
management covers a lot of different issues, e.g.:
A systematically steered information funnel is essential to enable target-oriented detecting and

categorizing of an holistic complaint management approach:
This SOP covers the management of external customer complaints and internal complaints related to
the service delivery along the performance processes.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
Other complaint classes such as Mark Surveillance (e.g. Appeals), Legal Disputes, are or will be linked
in a later stage to this SOP.
In order to cover the needs and preferences of all kind of external customer or other stakeholders, a
wide range of input channels should be available. All input channels are converged in a central tool
to simplify the work for “first-level employees” as much as possible.
Besides applied techniques for the coordination and the methodical support for the appropriate
initiation of corrective action in due time, our holistic complaint management is based on an open-
minded failure culture. The depersonalization is a main key factor for success and improvement.
For ensuring professional management of customer complaints (implementation, organization,

assigning roles/responsibilities and chronological course), the respective persons/management roles
on local level are responsible in the first stage level of complaint management. Corresponding
regulations are created also for higher-level management roles on regional and global level,
depending on severity and occurrence of complaints.
Due to the different types of complaints, they are processual steered differently after categorizing,
but can be interacting with relevant sub processes. Complaints e.g. caused by behavior and service
are not commercial complaints, but can later trigger commercial activities (credit memos,
cancellation, etc.) when complaints are handled. Along the complaint management system, it must
be ensured that no Personal Identifiable Information, such as Names or Employee numbers from
employees are recorded, circulated or evaluated. Data security requirements (laws, rules &
regulations) have to be considered (document and records security classifications).
3.2 Customer Complaint Process along the Performance processes

Definition: A Service Delivery complaint is the claim from a customer about a contractually agreed
part of a contracted service which was not fulfilled. Due to the requirements of applied accreditation
& certification standards in our business streams the customer complaint process in Service Delivery
covers the following activities:
 The complaint process contains the following sequences: receive, validate,

investigate/analyze the root cause, decide on CAPA, track and close-out
 The complaint communication, review and approval must be done by an independent
function.
The role which reviews, approves and communicates the complaint is independent to the
specific complaint context. The GO Quality owns the internal communication of the complaint
resolution. Sales owns the communication to the complainant (customer). Depending on the
complaint level and customer, this duty can be delegated e.g. to a Key Account Management
or others.)

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
 A generic complaint handling process must be made accessible for interested parties or
complainant, for example by a website . The way how to initiate a complaint and whom to
contact is communicated to the relevant interested parties.
 The complaint progress / end is communicated to complainant (on request)
 The complaint traceability within TR AG is mandatory.
Each complaint is linked to parameters due to its context. Within a Business Stream, the following
key parameters / data are generally linked to complaints:
 Business Stream / Business Field

 Customer
 Reason for the complaint / Failure code
 Complaint receiving date
 Complaint closing date
 Complaint resolution responsible
 Complaint criticality
The accountability for the complaints is with the Business Streams according to the depicted
escalation and information concept. Based on the criticality rating, the approval level may vary to
ensure regional and business specific involvement. With regard to the defined key factors:
 Occurrence
 Customer type
 Risk
The identified and assigned complaints are passing through a criticality rating (green  yellow  red)
as defined in the Criticality Rating Matrix (see therefore the related documents in Chapter 12).
This criticality rating facilitates to identify directly the responsible functions and is able to process
individual cases as well as clustered (and weighted) cases (e.g. by Customer, Business Field, Problem
Solving progress status, Failure code, Quality costs [€], etc….).
Communication:
 A notification of receipt of a complaint shall be given to the complainant
 A (preliminary) answer shall be given to the complainant, as soon as sufficient information
are available.
 A (final) answer shall be given to the complainant after the complaint is resolved.
The organization, to which the complaint is allocated to, is responsible to ensure evidencing and
traceability for the above described communication requirements. For further Details please see as
well MS-00034714 “Roles and Responsibilities – Complaint Management”.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
Those communication principles are complementing and supporting the requirements coming from
accreditation. It might be possible, that for some accreditation standards, such communication
principles are a “must” (not a “shall”). In such case, the stronger requirement from accreditation, has
to be taken into consideration.
3.3 Other complaint classes

Besides Service Delivery several other complaint classifications are resulting from sources for
complaints, e.g. caused by behavior of personnel during service delivery or resulting from mark
surveillance activities or they are focusing strictly commercial aspects. These complaints have to be
dealt with in an appropriate manner and according to the defined general principles as well as to
specific requirements. The processing is carried out in other tools/databases like e.g. ZCOMPLAINT for
commercial topics.
3.4 Legal Dispute Management

Whether a complaint can be a legal dispute or not right in the beginning, has to be challenged during
identification and classification. The “complaint owner” has to consider in his evaluation the
specifications defined by the GO Legal. If one (or more) specification seems to be true for the complaint,
the GO Legal has to be informed about this complaint. The GO Legal will conduct a legal assessment as
a final check/proof. As a consequence the GO Legal will be directly involved in the further management
of a complaint once confirmed that the complaint is a legal dispute.
The GO Legal needs to be consulted in case of:

 If legal proceedings are already ongoing, i.e. a claim has already been filed, and the sum in
dispute exceeds 25,000 €
 If there is a court order to pay and the sum in dispute exceeds 25,000 €
 If a lawyer’s letter regarding allegations of TÜV Rheinland’s liability or regarding imminent
legal dispute exists except for undisputed commercial claims)
 If there is a threat of legal proceedings
 If there is an estimation of damages above 25,000 €
 If a liability/ breach of duty by TÜV Rheinland is alleged
 If there is a third-party notice concerning TÜV Rheinland.
3.5 Dealing with complaints by applying a systematic Problem Solving Process

The QM sub-process “Problem Solving Process” delivers methods and instruments to perform an
appropriate root-cause analysis without or with involvement of the customer. Furthermore, the
definition and follow-up of corrective and preventive actions take place. The execution of this sub-
process including its documentation is mandatory for all complaint levels.
Complaints rated with Level 2 or Level 3 must be documented by the Problems Solving Sheet (see
related documents). If the PSR decides to use other standards, which exceed the prescribed scope from
PSS, as for example the 11S method or 8D, this is accepted, as long as the steps from PSS can be
matched.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
4. Scope of Application
The current scope of application is for the following complaint types:
Customer Complaint
Internal Complaints
Definition of “Customer Complaint” – ZRM1 (SAP Complaint Type)

 Breach of Duty regarding a commitment
 Breach of Duty regarding contractual agreements
 Breach of Duty regarding a service provided for:
 Testing
 Inspection
 Certification
 Auditing
 Training
 Other services
This complaint type is supposed to handle complaints for external relationships.

E.g. TÜV Legal Entity vs. Customer / Complainant
Definition of “Internal Complaints” – ZRMI (SAP Complaint Type)

 Breach of Duty regarding a commitment
 Breach of Duty regarding contractual agreements
 Breach of Duty regarding a service provided for:
 Testing
 Inspection
 Certification
 Auditing
 Training
 Other services
This complaint type is supposed to be used to handle complaints for internal relationships along and
in context to the service delivery processes.
Examples:
 Complaint from a Business Function on a Support Function - running project data lost in
server
 Complaint from sales on an operating function - details not given on time to sales to prepare
and send a quote for training to customer
 Complaint from one TÜV Rheinland entity on another TÜV Rheinland entity within the same
region, or different regions - Delayed response)

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
5. Process Flow
Description of Process
Process Flow Chart Responsible*
Steps
External Phone, 5.1 A complaint is internally or 5.1 Notifier of the
Letter, Fax, E-Mail, externally notified complaint
5.1 Notification of complaint
online
After Sales 5.2 The complaint is identified 5.2 FLE

and registered in the
Legal Complaint complaint database by the
5.2 Identify complaint Database (*) first level support
Order Closing
Finance &
Accounting
5.3 The complaint is sorted 5.3 FLE
Sales/Key
Account Complaint out according to its complaint
5.3 Sorting complaint class Database (*( class. If a SD complaint is
... triggered by the FLE to the
CMR, the complaint
management process in SD
starts.
Commercial Service Delivery Mark

Others
Complaint performance surveillance
5.4 First activity by the CMR is 5.4 CMR

5.4 Complaint allocation to Complaint the allocation to the business
Business Stream/Field Database (*) stream to document the
complaint ownership
Complaint 5.5 First evaluation of the 5.5 CMR

5.5 Evaluate complaint Database (*) input / gathered information
5.6/5.7 If criteria for a 5.6/5.7 CMR

potential legal dispute are
given/fulfilled, the CMR has to
5.6 Potential legal dispute? inform legal department and
NO to coordinate / align further
activities with the GO Legal or
YES delegated person from legal
department.
5.7 Evaluate legal criteria 5.8 If the evaluation of the
and activities complaint shows evidence
that the complaint comes
from an failure, this results to
internal and external
activities:
5.8.1 internal: The CMR assesses
5.8 Do we have a failure? all checked information / input and 5.8.1 CMR
NO decides in alignment with the
assigned PSR, if a failure has lead
to the complaint. If not, the
After Sales
complaint procedure has to be
further operated by After Sales.
YES 5.8.2 external: Latest with this 5.8.2 GFM/GFC
Complaint
process step, the customer gets a
Database (*)
notification. For example: within
A max. 3 days: “You will get a

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
Description of Process
Process Flow Chart Responsible*
Steps
qualified answer within a
fortnight.”
A
5.9 CMR
Criticality Rating 5.9 Categorize and prioritize
Matrix Fault Landscape
failure 5.9 A classification and rating
of the complaint/failure
according to the criticality
Complaint rating matrix is done by the
Database (*) CMR in alignment with the
5.10 Emergency response CMC as well as the BO QM for
action to consider? identified level 3 complaints. 5.10/5.11 CMR
NO
5.10/5.11 If necessary, e.g.
Crisis crisis situations (**),
YES Manage- emergency response actions
ment
5.11 Determine and have to be taken before the
implement immediate action After problem solving process
Sales starts. 5.12 PSR
... 5.12 The Problem Solving
Process has to be initiated for
5.12 Initiate and track identifying the root cause for
Problem Solving Process the failure/complaint and
further definition of CAPA. The
Problem Solving processing of problem solving
Process will be tracked by the PSR in
5.13 Evaluate and approve alignment with the CMR/CMC
where needed. If necessary,
execution of root cause
specific experts will be
analysis and CAPA involved by the PSR 5.13
Level 1: CMR
5.13 The results of the Level 2: CMR
5.14 Involve/Inform Problem Solving Process have
Complaint Level 3: BO QM
Database (*) customer about Problem to be checked /reviewed and
Solving improved by independent
roles 5.14 /5.15
See therefore
NO 5.14/5.15 The involvement of MS-0034714
the customer regarding
5.15 Agreement with customer
communication of the results
about complaint handling?
including the negotiations on
agreement have to be
coordinated by the complaint
YES
owner
5.16 Initiate Customer 5.16 PSR
Complaint Satisfaction & Improvement
Database (*) Process 5.16 To ensure essential input
to the customer satisfaction
database and to start lessons
learned the PSR initiates the
Improve-
After Sales after Sales process.
ment
The definition and discussion
on LL are initiated by After
Sales by involving the CMC
5.17:
5.17 End of specific Complaint Case Level 1: CMR
5.17 The complaint case is Level 2: CMR
finished with approval of the Level 3: BO QM
independent reviewer
*Responsible for the process step

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
(*) Complaint Database:

The Global Office QM determines the IT-Tool for the Complaint Database. At present, this is SAP CRM. The
usage of other systems for complaint management is not allowed. If needed, the Global Office QM can
determine new or other IT Tools for the Complaint Management Handling.
(**) Potential Crisis:

As soon as the complaint context indicates a severe business risk with high occurrence probability, actions
such as the initiation of a crisis team shall be considered. As indication by when the potential crisis should
be initiated, following reference values can be used:
 Financial disaster (Estimated loss in sales/profit and costs from € 5 Mio)

 Product recall (Estimated loss in sales/profit and costs from € 5 Mio)
 Safety concerns
 others
Other criteria not described above may exist and can be taken into consideration to initiate a potential
crisis.
6. Process Performance Indicators (Definition & Calculation of KPIs or PPIs)

6.1 Definition of indicators
Indicators for complaint management in Service Delivery
PPI Lead time ratio (LTR):

(a) Target time for problem solving (per problem)
Average time of problem solving (per problem)
PPI Closed Complaints Ratio (CCR):

(b) Closed problems per period per org unit
Total problems per period per org unit
6.2 Calculation of indicators

KPI - Problem Solving Performance [PSP]:
PSP is the sum of:
50 % Lead Time Ratio (LTR)

+ 50 % Closed Complaint Ratio (CCR)
 [PSP] = 0,5 x (a) + 0,5 x (b)
All customer related KPI data resulting from different complaint classes as mentioned in chapter 3 are
input for the Main Process “After Sales”  Customer Satisfaction.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
7. Process Risks & Opportunities

7.1 Risks
 Loss of customers: To avoid this a professional complaint process with clear responsibilities,
professional complaint managers, clear procedure for different cases and time lines and
management involvement is established.
 Loss of reputation: see above
 Increasing costs: see above; additionally the improvement process is connected to problem
solving activities and complaint management
7.2 Opportunities
 Less effort and expenses
 Reduction of commercial risks
 Improved customer loyalty
8. Process Roles & Responsibilities
Complaint Notifier Employee from TR AG, which has been notified about a
complaint.
First Level Employees

Contact person/point for customer making complaint (by
telephone, writing, email, fax, etc.), who delivers complaint data
within a defined classification route to the relevant complaint
manager.
Complaint Manager CMR The person handling the complaint is the "main guard", who
makes note of what has been done to handle the complaint and
notifies all parties involved when the complaint is dealt with. The
CMR allocates the complaints to the right business fields, is
responsible for classification and criticality rating of the
complaint on levels 1-3. He/she is automatically informed if there
is a delay in processing the complaint and is responsible for
supporting the review and approval of the methodical complaint
resolution including random check of appropriate cause analysis,
defined measures, and correctives implementation.
GO QM Is process owner and accountable for standard setting and
implementation of appropriate organization.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
Problem Solving Responsible (PSR) He or she facilitates and coordinates the complaint resolution.
Involves additional persons, if necessary. Consults with
commercial managers if needed; is responsible for processing the
complaint resolution according the problem solving process in
due time. Is responsible for initiating the approval of the
complaint resolution. Acts as delegate for the legal entity to
which the complaint is addressed to, respectively which is
accountable for the contracted service.
Experts Other employees participating in problem solving process. These
can be experts from cross the business as needed.
B-EVP They are “owner” of the complaints in their area of responsibility
and accountable for initiating promptly problem solving as well
as coordinating the communication to the complainant
(customer) for level 3 (red) complaints.
GFM/GFC They are “owner” of the complaints in their area of responsibility
RFM/RFC and accountable for initiating promptly problem solving as well
LFM/LSC as coordinating the communication to the complainant.
CMC (CQC) Is responsible for standard process setting in alignment with the
global office QM. Coordinates the comprehensive steering of
complaint management in Service Delivery including monitoring
and reporting in alignment with the BO QM, supports the
organization with training, and if necessary by taking over
responsibility in problem solving.
BO QM Responsible for creation, maintenance and governance of the
complaint management system in his/her Business Stream on
global level. Responsible for the review and approval of the
complaint resolution for level 3 complaints.
9. Interested Parties
Customer or Complainant
The customer or complainant making a complaint (complaint issuer) expects that his complaint will
be accepted in a service-oriented manner, and that the required care will be taken in processing his
complaint in a careful and appropriate amount of time (preferably quickly).
Executive Board and B-EVP

Requires an appropriate Complaint Management System to improve services and foster customer
loyalty
GO QM
Process Owner requires the compliant implementation of the defined framework he is accountable
for.

Number: MS-0000372
SOP Approver:
Process Owner:
Dan Becker
Kai-Uwe Harder
10. Records Management
N/A
11. Specifications
N/A
12. Attachments
KPI Sheet Complaint Management.docx
13. Related Documents

MS-0031010 - Main Process Quality Management
MS-0030851 - Main Process After Sales
MS-0000210 - Processing of commercial complaints
MS-0034350 - Problem Solving Sheet
MS-0034615 - Criticality Rating Matrix - Complaint Management
MS-0034714 - Roles and Responsibilities – Complaint Management
MS-0034066 - Problem Solving
MS-0001741 - Customer Voice Including Complaints and Appeals
MS-0037238 - AIA for inspection services in South Africa
MS-0008791 - Handling events of damage
MS-0022254 - Product-related notifications, Incidents and Appeals
14. External Reference Documents

N/A

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Number: MS-0000372

Management System Revision: 9