Global Industry Technology Information

SOP of claim and complaint

4 min read
investigation sop

investigation sop

Whenever we got a quality complaint and claim, we need to provide a reasonable explanation to the buyer of how and why it happened. To provide this explanation, we need to make a thorough investigation to find out the possible root cause as well as provide the correct action plan to avoid future happening. During the investigation, we need to involve a lot of data and questions. In our past experiences, we spent a lot of time back and forth emails to collect the data and find out the root cause because either we forgot to check this or that. Therefore, I hope this SOP can coach our people to make the right action during the investigation and saving our time. Below is the SOP for our AEs and country heads. I will divide this into 2 parts. Part I is for the investigators ( AE or country heads) and part II is more about the data collection from Henry and Miho’s or our coordinator’s team to assist to collect. 

Part I / Investigation 

Step 1: Stop Bleeding 

This is the most important what we should react. Whenever we receive a complaint or a claim, the first thing we need to do is checking whether we still have same or similar style under production. Country heads should review their own countries then remind factory and our QA to stop this mistake immediately. Country heads /AEs need to report to us the situation and the affect scale. 

Step 2: Verification who ‘s mistake 

You should verify this complaint or claim if our QA mistake or merch or buyer wrong approval or wrong information on QC file particularly the complaints are talking about the packing method, wrong styling, wrong construction or even wrong measurement. If we can proof this mistake because of wrong information on hands or wrong approval from merch, then we can save a lot of unnecessary further investigation and we can basically to put a full stop in here. Otherwise, we need to go through below series questions and steps. 

Step 3: Investigation 

A/List all the basic information such as PO/ style / order qty  

B/Inspection history how many inlines and how many finals, inspection date, inspector name, team leader, PO factory, production factory and each inspection whether we found the same problems with the complained issue and submit us the PDF inspection reports for our ref. 

C/multiple shipments or single shipment of that styles to see if factory can shift the goods 

D/If complaint on measurement, compare the spec. sheet with QA’s measurement report VS buyer ‘s spec. We need to know if our QA use the correct spec during inspection. please attach our measurement report to us if buyer complain the measurement. 

E/ if complaining the wrong packing, please show us the box audit form and packing list from the MQC report. 

F/Inspected carton number from our QA VS buyer inspected carton number 

G/Packing percentage for final inspection. This is crucial as well. 

H/Any late-night inspection? 

I/ Workload for the QA at that days including how many inlines, or finals and number of total sampling qty? 

J/What’s the explanation from factory after talking to them 

K/What’s vendor’s investigation or their comment? 

L/What’s QA’s explanation after talk to them? 

M/ Review production and shipment sample and what’s the findings. And if there is leftover products in factory, we should check and share with us your findings. 

N/ Last but not least, we need the conclusion from the AE /country heads about the root cause and if this QA made mistake. 

O/ Your correct action plan need to be included in this investigation. 

Part II/ Data collection 

To collect so much data because sometimes we need to use big picture to change the buyer’s perception to let them know even if we screw up this time, our performance is not that bad compare the holistic. Therefore, we need below data. 


1/How many total  Pos and  total styles we shipped for that division in the past 12 months  ? 

2/ how many FOB we shipped last 12 months for that divisions. 

3/ how many final inspection counts we did for that division last 12 months?  

4/ The FFPR and FFPRACC for that division in the last 12 months? 

5/ how many cases from that division in the past 12 months? 

Vendor and factory wise:- 

1/ how many Pos and styles we shipped from that vendor and that factory in the past 12 months? 

2/ how many FOB we shipped last 12 months from that vendor? From that factory? 

3/ how many inspection counts we did for that vendors? For that factory in the last 12 months? 

4/ The FFPR and FFPRACC in the past 12 months for the vendor and factory? 

5/ how many cases from that vendors and factories in the past 12 months? 


1/ in the past 12 months, how many complaints / claim involved in that QC ?  

2/What are they? ———————-should be from the occurrence book. Any disclipnary action taken to him? 

4/ how many years the QC work for company? 

5/ how long did he conduct the inspection for that divisions? 

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