1、BSI Standards PublicationBS ISO 10002:2014Quality management Customer satisfaction Guidelines for complaintshandling in organizationsBS ISO 10002:2014 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 10002:2014. Itsupersedes BS ISO 10002:2004 which is withdrawn.
2、The UK participation in its preparation was entrusted to TechnicalCommittee QS/1, Quality management and quality assuranceprocedures.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisio
3、ns of a contract. Users are responsible for its correctapplication. The British Standards Institution 2014. Published by BSI StandardsLimited 2014ISBN 978 0 580 85581 8ICS 03.120.10Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published und
4、er the authority of theStandards Policy and Strategy Committee on 31 August 2014.Amendments issued since publicationDate Text affectedBS ISO 10002:2014 ISO 2014Quality management Customer satisfaction Guidelines for complaints handling in organizationsManagement de la qualit Satisfaction des clients
5、 Lignes directrices pour le traitement des rclamations dans les organismesINTERNATIONAL STANDARDISO10002Second edition2014-07-15Reference numberISO 10002:2014(E)BS ISO 10002:2014ISO 10002:2014(E)ii ISO 2014 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2014All rights reserved. Unless otherwise
6、 specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
7、 or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 10002:2014ISO 10002:2014(E) ISO 2014 All rights reserved iiiContents PageForeword
8、vIntroduction vi1 Scope . 12 Normative references 13 Terms and definitions . 14 Guiding principles . 24.1 General . 24.2 Visibility 24.3 Accessibility . 24.4 Responsiveness . 34.5 Objectivity . 34.6 Charges 34.7 Confidentiality . 34.8 Customer-focused approach . 34.9 Accountability 34.10 Continual i
9、mprovement 35 Complaints-handling framework 35.1 Commitment . 35.2 Policy . 45.3 Responsibility and authority 46 Planning and design 56.1 General . 56.2 Objectives. 56.3 Activities . 56.4 Resources . 67 Operation of complaints-handling process 67.1 Communication 67.2 Receipt of complaints 67.3 Track
10、ing of complaints . 67.4 Acknowledgement of complaints 77.5 Initial assessment of complaints . 77.6 Investigation of complaints 77.7 Response to complaints 77.8 Communicating the decision 77.9 Closing complaints . 78 Maintenance and improvement 78.1 Collection of information . 78.2 Analysis and eval
11、uation of complaints . 88.3 Satisfaction with the complaints-handling process 88.4 Monitoring of the complaints-handling process 88.5 Auditing of the complaints-handling process 88.6 Management review of the complaints-handling process 88.7 Continual improvement 9Annex A (informative) Guidance for s
12、mall businesses .10Annex B (informative) Form for complainant 11Annex C (informative) Objectivity 13Annex D (informative) Complaint follow-up form .15Annex E (informative) Responses .19BS ISO 10002:2014ISO 10002:2014(E)iv ISO 2014 All rights reservedAnnex F (informative) Escalation flowchart 20Annex
13、 G (informative) Continual monitoring.22Annex H (informative) Audit 25Bibliography .26BS ISO 10002:2014ISO 10002:2014(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Sta
14、ndards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also
15、take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In
16、particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements
17、 of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (s
18、ee www.iso.org/patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence
19、 to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary informationThe committee responsible for this document is ISO/TC 176, Quality management and quality assurance, Subcommittee SC 3, Supporting technologies.This second edition cancels and r
20、eplaces the first edition (ISO 10002:2004), of which it constitutes a minor revision. It also incorporates the Technical Corrigendum ISO 10002:2004/Cor.1:2009. ISO 2014 All rights reserved vBS ISO 10002:2014ISO 10002:2014(E)Introduction0.1 GeneralThis International Standard provides guidance for the
21、 design and implementation of an effective and efficient complaints-handling process for all types of commercial or non-commercial activities, including those related to electronic commerce. It is intended to benefit an organization and its customers, complainants, and other interested parties.The i
22、nformation obtained through the complaints-handling process can lead to improvements in products and processes 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 Internatio
23、nal Standard becomes more 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 supplying products and those who are the recipients of those products.NOTE In ISO 9000:2005, “p
24、roduct” is defined as the “result of a process” which encompasses four generic product categories: services, software, hardware and processed materials. Throughout the text of this International Standard, wherever the term “product” is used, it can also mean “service”.The handling of complaints thro
25、ugh a process as described in this International Standard can enhance customer satisfaction. Encouraging customer feedback, including complaints if customers are not satisfied, can offer opportunities to maintain or enhance customer loyalty and approval, and improve domestic and international compet
26、itiveness.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 the organization to resolve complaints in a consistent, systematic, and responsive manner, to the satis
27、faction of the complainant and the organization, enhance the ability of an organization to identify trends and eliminate causes of complaints, and improve the organizations operations, help an organization create a customer-focused approach to resolving complaints, and encourage personnel to improve
28、 their skills in working with customers, and provide a basis for continual review and analysis of the complaints-handling process, the resolution of complaints, and process improvements made.Organizations can use the complaints-handling process in conjunction with customer satisfaction codes of cond
29、uct and external dispute resolution processes.0.2 Relationship with ISO 9001 and ISO 9004This International Standard is compatible with ISO 9001 and ISO 9004, and supports the objectives of these two International Standards through the effective and efficient application of a complaints-handling pro
30、cess. It can also be used independently of them.ISO 9001 specifies requirements for a quality management system that can be used for internal application by organizations, or for certification, or for contractual purposes. The process for complaints handling described in this International Standard
31、can be used as an element of a quality management system.ISO 9004 provides guidance on managing for the sustained success of an organization. The use of this International Standard (ISO 10002) can enhance performance in the area of complaints handling and increase the satisfaction of customers and o
32、ther interested parties to facilitate the achievement of vi ISO 2014 All rights reservedBS ISO 10002:2014ISO 10002:2014(E)sustained success. It can also facilitate the continual improvement of the quality of products based on feedback from customers and other interested parties.0.3 Relationship with
33、 ISO 10001, ISO 10003 and ISO 10004This International Standard is compatible with ISO 10001, ISO 10003 and ISO 10004. These four International Standards can be used either independently or in conjunction with each other. When used together, ISO 10001, ISO 10003, ISO 10004 and this International Stan
34、dard can be part of a broader and integrated framework for enhanced customer satisfaction through codes of conduct, complaints handling, dispute resolution and monitoring and measurement of customer satisfaction.ISO 10001 contains guidance on codes of conduct for organizations related to customer sa
35、tisfaction. Such codes of conduct can decrease the probability of problems arising and can eliminate causes of complaints and disputes which can decrease customer satisfaction.ISO 10003 contains guidance on the resolution of disputes regarding product-related complaints that could not be satisfactor
36、ily resolved internally. ISO 10003 can help to minimize customer dissatisfaction stemming from unresolved complaints.ISO 10004 contains guidance on establishing effective processes for monitoring and measuring customer satisfaction. Its focus is on customers external to the organization. ISO 2014 Al
37、l rights reserved viiBS ISO 10002:2014BS ISO 10002:2014Quality management Customer satisfaction Guidelines for complaints handling in organizations1 ScopeThis International Standard provides guidance on the process of complaints handling related to products within an organization, including planning
38、, design, operation, maintenance, and improvement. The complaints-handling process described is suitable for use as one of the processes of an overall quality management system.This International Standard is not applicable to disputes referred for resolution outside the organization or for employmen
39、t-related disputes.It is also intended for use by organizations of all sizes and in all sectors. Annex A provides guidance specifically for small businesses.This International Standard addresses the following aspects of complaints handling:a) enhancing customer satisfaction by creating a customer-fo
40、cused environment that is open to feedback (including complaints), resolving any complaints received, and enhancing the organizations ability to improve its product and customer service;b) top management involvement and commitment through adequate acquisition and deployment of resources, including p
41、ersonnel 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 customer service quality;f) auditing of the comp
42、laints-handling process;g) reviewing the effectiveness and efficiency of the complaints-handling process.2 Normative referencesThe following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition c
43、ited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.ISO 9000:2005, Quality management systems Fundamentals and vocabulary3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 9000 and the fo
44、llowing apply.3.1complainantperson, organization, or its representative, making a complaint3.2complaintexpression of dissatisfaction made to an organization, related to its products, or the complaints-handling process itself, where a response or resolution is explicitly or implicitly expectedINTERNA
45、TIONAL STANDARD ISO 10002:2014(E) ISO 2014 All rights reserved 1BS ISO 10002:2014ISO 10002:2014(E)3.3customerorganization or person that receives a productEXAMPLE Consumer, client, end-user, retailer, beneficiary, and purchaser.SOURCE: ISO 9000:2005, 3.3.5, modified Note has been deleted.3.4customer
46、 satisfactioncustomers perception of the degree to which the customers requirements have been fulfilledSOURCE: ISO 9000:2005, 3.1.4, modified Notes have been deleted.3.5customer serviceinteraction of the organization with the customer throughout the life cycle of a product3.6feedbackopinions, commen
47、ts, 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 an organizationSOURCE: ISO 9000:2005, 3.3.7, modified Example and note have been deleted.3.8objectivecomplaints handling something
48、sought, or aimed for, related to complaints handling3.9policycomplaints handling overall intentions and direction of the organization related to complaints handling, as formally expressed by top management3.10processset of interrelated or interacting activities which transforms inputs into outputsSO
49、URCE: ISO 9000:2005, 3.4.1, modified 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.4.2 VisibilityInformation about how and where to complain should be well publicized to customers, personnel, and other interested parties.4.3 AccessibilityA complaints-handling process should be easily accessible to all complainants. Information should be made available on the details of making and resolving complain
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