1、 AMERICAN NATIONAL STANDARD Quality management Customer satisfaction Guidelines for complaints handling in organizations AMERICAN SOCIETY FOR QUALITY P.O. BOX 3005 MILWAUKEE, WI 53201-3005 ANSI/ISO/ASQ Q10002-2004AMERICAN NATIONAL STANDARD Quality management Customer satisfaction Guidelines for comp
2、laints handling in organizations Approved as an American National Standard by: American Society for Quality April 14, 2006 American National Standards: An American National Standard implies a consensus of those substantially concerned with is scope and provisions. An American National Standard is in
3、tended as a guide to aid the manufacturer, the consumer, and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether he or she has approved the standard or not, from manufacturing, purchasing, or using products, processes, or procedures not
4、 conforming to the standard. American National Standards are subject to periodic review and users are cautioned to obtain the latest edition. Caution Notice: This American National Standard may be revised or withdrawn at any time. The procedures of the American National Standards Institute require t
5、hat action be taken to reaffirm, revise, or withdraw this standard no later than five years from the date of publication. Purchasers of American National Standards may receive current information on all standards by calling of writing the American National Standards Institute. ANSI/ISO/ASQ Q10002-20
6、04 2006 by ASQCopyright Protection Notice for the ANSI/ISO/ASQ Q10002-2004 Standard.This standard is subject to copyright claims of ISO, ANSI, and ASQ. Not for resale. No part of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written permi
7、ssion of ASQ. All requests pertaining to the ANSI/ISO/ASQ Q10002-2004 Standard should be submitted to ASQ.Note: As used in this document, the term “International Standard” refers to the American National Standard adoption of this and other International Standards.ASQ will consider requests for chang
8、e and information on the submittal of such requests regarding this Standard. All requests should be in writing to the attention of the Standards administrator at the address below.ASQ Mission: The American Society for Quality advances individual and organizational performance excellence worldwide by
9、 providing opportunities for learning, quality improvement, and knowledge exchange.Published by:ANSI/ISO/ASQ Q10002-2004Also available from ASQ Quality Press: The Certified Manager of Quality/Organizational Excellence Handbook, Third Edition Russell T. Westcott, editor The Quality Toolbox, Second Ed
10、ition Nancy R. Tague The Quality Improvement Handbook, Second Edition ASQ Quality Management Division and John E. Bauer, Grace L. Duffy, Russell T. Westcott, editors Making Change Work: Practical Tools for Overcoming Human Resistance to Change Brien Palmer Business Performance through Lean Six Sigma
11、: Linking the Knowledge Worker, the Twelve Pillars, and Baldrige James T. Schutta How to Audit the Process-Based QMS Dennis R. Arter, Charles A. Cianfrani, and John E. (Jack) West Unlocking the Power of Your QMS: Keys to Business Performance Improvement John E. (Jack) West and Charles A. Cianfrani R
12、oot Cause Analysis: Simplified Tools and Techniques, Second Edition Bjrn Andersen and Tom Fagerhaug The Practical Guide to People-Friendly Documentation Adrienne Escoe, Ph.D. Avoiding the Corporate Death Spiral: Recognizing and Eliminating the Signs of Decline Gregg Stocker To request a complimentar
13、y catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http:/qualitypress.asq.org. ANSI/ISO/ASQ Q10002-2004(This page is intentionally left blank.) iiiContents Page1 Scope 12 Normative references 13 Terms and definitions 14 Guiding principles . 24.1 General . 24.2 V
14、isibility 34.3 Accessibility 34.4 Responsiveness 34.5 Objectivity 34.6 Charges 34.7 Confidentiality . 34.8 Customer-focused approach 34.9 Accountability 34.10 Continual improvement 35 Complaints-handling framework 45.1 Commitment 45.2 Policy 45.3 Responsibility and authority 46 Planning and design 5
15、6.1 General . 56.2 Objectives 56.3 Activities 66.4 Resources 67 Operation of complaints-handling process . 67.1 Communication . 67.2 Receipt of complaint . 67.3 Tracking of complaint . 77.4 Acknowledgement of complaint 77.5 Initial assessment of complaint . 77.6 Investigation of complaints 77.7 Resp
16、onse to complaints . 77.8 Communicating the decision . 77.9 Closing the complaint . 78 Maintenance and improvement 78.1 Collection of information 78.2 Analysis and evaluation of complaints . 88.3 Satisfaction with the complaints-handling process . 88.4 Monitoring of the complaints-handling process 8
17、8.5 Auditing of the complaints-handling process 8ANSI/ISO/ASQ Q10002-2004iv8.6 Management review of the complaints-handling process . 98.7 Continual improvement . 9Annex A (informative) Guidance for small businesses . 10Annex B (informative) Form for complainant . 11Annex C (informative) Objectivity
18、 . 12Annex D (informative) Complaint follow-up form 14Annex E (informative) Responses . 17Annex F (informative) Escalation flowchart . 18Annex G (informative) Continual monitoring . 20Annex H (informative) Audit . 22Bibliography . 23ANSI/ISO/ASQ Q10002-2004vForewordISO (the International Organizatio
19、n for Standardization) is a worldwide federation of national standards bodies(ISO member bodies). The work of preparing International Standards is normally carried out through ISOtechnical committees. Each member body interested in a subject for which a technical committee has beenestablished has th
20、e right to be represented on that committee. International organizations, governmental andnon-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the InternationalElectrotechnical Commission (IEC) on all matters of electrotechnical standardization.Internation
21、al Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.The main task of technical committees is to prepare International Standards. Draft International Standardsadopted by the technical committees are circulated to the member bodies for voting. Publication as a
22、nInternational Standard requires approval by at least 75 % of the member bodies casting a vote.Attention is drawn to the possibility that some of the elements of this document may be the subject of patentrights. ISO shall not be held responsible for identifying any or all such patent rights.ISO 1000
23、2 was prepared by Technical Committee ISO/TC 176, Quality management and quality assurance,Subcommittee SC 3, Supporting technologies.NOTE ISO 10002 was circulated for vote as DIS 10018.ANSI/ISO/ASQ Q10002-2004viIntroduction0.1 GeneralThis International Standard provides guidance for the design and
24、implementation of an effective and efficientcomplaints-handling process for all types of commercial or non-commercial activities, including those related toelectronic commerce. It is intended to benefit an organization and its customers, complainants and otherinterested parties.The information obtai
25、ned through the complaints-handling process can lead to improvements in products andprocesses and, where the complaints are properly handled, can improve the reputation of the organization,regardless of size, location and sector. In a global marketplace, the value of an International Standard become
26、smore evident since it provides confidence in the consistent treatment of complaints.An effective and efficient complaints-handling process reflects the needs of both the organizations supplyingproducts and those who are the recipients of those products.NOTE Throughout the text of this International
27、 Standard, wherever the term “product” is used, it can also mean “service”.The handling of complaints through a process as described in this International Standard can enhancecustomer satisfaction. Encouraging customer feedback, including complaints if customers are not satisfied, canoffer opportuni
28、ties to maintain or enhance customer loyalty and approval, and improve domestic andinternational competitiveness.Implementation of the process described in this International Standard can provide a complainant with access to an open and responsive complaints-handling process, enhance the ability of
29、the organization to resolve complaints in a consistent, systematic and responsivemanner, to the satisfaction of the complainant and the organization, enhance the ability of an organization to identify trends and eliminate causes of complaints, and improve theorganizations operations, help an organiz
30、ation create a customer-focused approach to resolving complaints, and encouragepersonnel to improve their skills in working with customers, and provide a basis for continual review and analysis of the complaints-handling process, the resolution ofcomplaints, and process improvements madeOrganization
31、s may wish to use the complaints-handling process in conjunction with customer satisfaction codesof conduct and external dispute resolution processes.0.2 Relationship with ISO 9001:2000 and ISO 9004:2000This International Standard is compatible with ISO 9001 and ISO 9004 and supports the objectives
32、of these twostandards through the effective and efficient application of a complaints-handling process. It can also be usedindependently of them.ISO 9001 specifies requirements for a quality management system that can be used for internal application byorganizations, or for certification, or for con
33、tractual purposes. The process for complaints handling described inthis International Standard can be used as an element of a quality management system.This International Standard is not intended for certification or for contractual purposes.ANSI/ISO/ASQ Q10002-2004viiISO 9004 provides guidance on c
34、ontinual improvement of performance. The use of ISO 10002 can furtherenhance performance in the area of complaints handling and increase the satisfaction of customers and otherinterested parties. It can also facilitate the continual improvement of the quality of products based on feedbackfrom custom
35、ers and other interested parties.ANSI/ISO/ASQ Q10002-2004.viiiINTERNATIONAL STANDARD ANSI/ISO/ASQ Q10002-2004 1Quality management Customer satisfaction Guidelines for complaints handling in organizations1ScopeThis International Standard provides guidance on the process of complaints handling related
36、 to products withinan organization, including planning, design, operation, maintenance and improvement. The complaints-handling process described is suitable for use as one of the processes of an overall quality managementsystem.This International Standard is not applicable to disputes referred for
37、resolution outside the organization or foremployment-related disputes.It is also intended for use by organizations of all sizes and in all sectors. Annex A provides guidance specificallyfor small businesses.This International Standard addresses the following aspects of complaints handling:a) enhanci
38、ng customer satisfaction by creating a customer-focused environment that is open to feedback(including complaints), resolving any complaints received, and enhancing the organizations ability toimprove its product and customer service;b) top management involvement and commitment through adequate acqu
39、isition and deployment of resources,including personnel training;c) recognizing and addressing the needs and expectations of complainants;d) providing complainants with an open, effective and easy-to-use complaints process;e) analysing and evaluating complaints in order to improve the product and cu
40、stomer service quality;f) auditing of the complaints-handling process;g) reviewing the effectiveness and efficiency of the complaints-handling process.This International Standard is not intended to change any rights or obligations provided by applicable statutoryor regulatory requirements.2 Normativ
41、e referencesThe following referenced documents are indispensable for the application of this document. For datedreferences, only the edition cited applies. For undated references, the latest edition of the referenced document(including any amendments) applies.ISO 9000:2000, Quality management system
42、s Fundamentals and vocabulary3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 9000 and the following apply.NOTE In ISO 9000:2000, definition 3.4.2, “product” is defined as the “result of a process” which encompasses four genericproduct categories: serv
43、ices, software, hardware, and processed materials. Throughout the text of this InternationalStandard, wherever the term “product” is used, it can also mean “service”.23.1complainantperson, organization or its representative, making a complaint3.2complaintexpression of dissatisfaction made to an orga
44、nization, related to its products, or the complaints-handlingprocess itself, where a response or resolution is explicitly or implicitly expected3.3customerorganization or person that receives a productEXAMPLE Consumer, client, end-user, retainer, beneficiary and purchaser.ISO 9000:2000, definition 3
45、.3.53.4customer satisfactioncustomers perception of the degree to which the customers requirements have been fulfilledNOTE Adapted from ISO 9000:2000, definition 3.1.4. The Notes have been deleted.3.5customer serviceinteraction of the organization with the customer throughout the life cycle of a pro
46、duct3.6feedbackopinions, comments and expressions of interest in the products or the complaints-handling process3.7interested partyperson or group having an interest in the performance or success of the organizationNOTE Adapted from ISO 9000:2000, definition 3.3.7. The Example and Note have been del
47、eted.3.8objectivecomplaints-handling something sought, or aimed for, related to complaints handling3.9policycomplaints-handling overall intentions and direction of the organization related to complaints handling, asformally expressed by top management3.10processset of interrelated or interacting act
48、ivities which transforms inputs into outputsNOTE Adapted from ISO 9000:2000, definition 3.4.1. The Notes have been deleted.4 Guiding principles4.1 GeneralAdherence to the guiding principles set out in 4.2 to 4.10 is recommended for effective handling of complaints.ANSI/ISO/ASQ Q10002-200434.2 Visibi
49、lityInformation about how and where to complain should be well publicized to customers, personnel and otherinterested parties.4.3 AccessibilityA complaints-handling process should be easily accessible to all complainants. Information should be madeavailable on the details of making and resolving complaints. The complaints-handling process and supportinginformation should be easy to understand and use. The information should be in clear language. Informationand assistance in making a complaint should be m
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