1、National Standard of CanadaCAN/CSA-ISO 10002:04(ISO 10002:2004)International Standard ISO 10002:2004 (first edition, 2004-07-01) has been adopted without modification (IDT)as CSA Standard CAN/CSA-ISO 10002:04, which has been approved as a National Standard of Canada by theStandards Council of Canada
2、.ISBN 1-55397-643-6 September 2004Quality management Customersatisfaction Guidelines for complaintshandling in organizationsManagement de la qualit Satisfaction des clients Lignesdirectrices pour le traitement des rclamations dans les organismesThe Canadian Standards Association (CSA), under whose a
3、uspices this National Standard has been produced, was chartered in 1919 and accredited by the Standards Council of Canada to the National Standards system in 1973. It is a not-for-profit, nonstatutory, voluntary membership association engaged in standards development and certification activities. CS
4、A standards reflect a national consensus of producers and users including manufacturers, consumers, retailers, unions and professional organizations, and governmental agencies. The standards are used widely by industry and commerce and often adopted by municipal, provincial, and federal governments
5、in their regulations, particularly in the fields of health, safety, building and construction, and the environment. Individuals, companies, and associations across Canada indicate their support for CSAs standards development by volunteering their time and skills to CSA Committee work and supporting
6、the Associations objectives through sustaining memberships. The more than 7000 committee volunteers and the 2000 sustaining memberships together form CSAs total membership from which its Directors are chosen. Sustaining memberships represent a major source of income for CSAs standards development ac
7、tivities. The Association offers certification and testing services in support of and as an extension to its standards development activities. To ensure the integrity of its certification process, the Association regularly and continually audits and inspects products that bear the CSA Mark. In addit
8、ion to its head office and laboratory complex in Toronto, CSA has regional branch offices in major centres across Canada and inspection and testing agencies in eight countries. Since 1919, the Association has developed the necessary expertise to meet its corporate mission: CSA is an independent serv
9、ice organization whose mission is to provide an open and effective forum for activities facilitating the exchange of goods and services through the use of standards, certification and related services to meet national and international needs.For further information on CSA services, write toCanadian
10、Standards Association5060 Spectrum Way, Suite 100Mississauga, Ontario, L4W 5N6CanadaThe Standards Council of Canada is the coordinating body of the National Standards system, a federation of independent, autonomous organizations working towards the further development and improvement of voluntary st
11、andardization in the national interest. The principal objects of the Council are to foster and promote voluntary standardization as a means of advancing the national economy, benefiting the health, safety, and welfare of the public, assisting and protecting the consumer, facilitating domestic and in
12、ternational trade, and furthering international cooperation in the field of standards. A National Standard of Canada is a standard which has been approved by the Standards Council of Canada and one which reflects a reasonable agreement among the views of a number of capable individuals whose collect
13、ive interests provide to the greatest practicable extent a balance of representation of producers, users, consumers, and others with relevant interests, as may be appropriate to the subject in hand. It normally is a standard which is capable of making a significant and timely contribution to the nat
14、ional interest. Approval of a standard as a National Standard of Canada indicates that a standard conforms to the criteria and procedures established by the Standards Council of Canada. Approval does not refer to the technical content of the standard; this remains the continuing responsibility of th
15、e accredited standards development organization. Those who have a need to apply standards are encouraged to use National Standards of Canada whenever practicable. These standards are subject to periodic review; therefore, users are cautioned to obtain the latest edition from the organization prepari
16、ng the standard.The responsibility for approving National Standards of Canada rests with theStandards Council of Canada270 Albert Street, Suite 200Ottawa, Ontario, K1P 6N7CanadaCette Norme nationale du Canada est offerte en anglais et en franais.Although the intended primary application of this Stan
17、dard is stated in its Scope, it is importantto note that it remains the responsibility of the users to judge its suitability for their particular purpose.Registered trade-mark of Canadian Standards AssociationQuality management Customer satisfaction CAN/CSA-ISO 10002:04 Guidelines for complaints han
18、dling in organizationsSeptember 2004 Canadian Standards Association CSA/1CAN/CSA-ISO 10002:04Quality management Customer satisfaction Guidelines for complaints handling in organizationsCSA PrefaceThis is the first edition of CAN/CSA-ISO 10002, Quality management Customer satisfaction Guidelinesfor c
19、omplaints handling in organizations, which is an adoption without modification of the identicallytitled ISO (International Organization for Standardization) Standard 10002 (first edition, 2004-07-01).The ISO 9000 and 10000 family of Standards were developed by quality experts from around theworld, u
20、nder the auspices of ISO Technical Committee 176. Canada plays a major role in this area. TheSecretariat of ISO/TC 176 is held by CSA on behalf of Canadas member body in ISO, the StandardsCouncil of Canada.Canadian stakeholders participate actively in the administration and development of the ISO 90
21、00 and10000 family of International Standards through CSAs national consensus development forum. The CSATechnical Committee on Quality Management is the source of Canadian experts and public input for theISO 9000 and ISO 10000 Standards. In its capacity as the Canadian Advisory Committee to ISO/TC 1
22、76(CAC/ISO/TC 176), the Technical Committee is responsible for:(a) developing and submitting coordinated Canadian responses, comments, and voting actions onISO/TC 176 documents;(b) providing the Canadian delegates participating at international meetings of ISO/TC 176 and itsWorking groups; and(c) re
23、commending the Canadian position for delegates to take in international meetings.This Standard was reviewed for Canadian adoption by CSA Technical Committee on QualityManagement (CAC/ISO/TC 176), under the jurisdiction of the Strategic Steering Committee on BusinessManagement, and has been formally
24、approved by the Technical Committee. A list of the members of theTechnical Committee is available upon request. This Standard has been approved as a National Standardof Canada by the Standards Council of Canada.September 2004 Canadian Standards Association 2004 All rights reserved. No part of this p
25、ublication may be reproduced in any form whatsoever without the prior permission ofthe publisher. ISO material is reprinted with permission. Where the words “this International Standard” appear in the text,they should be interpreted as “this National Standard of Canada”.Inquiries regarding this Nati
26、onal Standard of Canada should be addressed to Canadian Standards Association5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4044www.csa.caINTERNATIONALSTANDARDISO10002First edition2004-07-01Reference numberISO 10002:2004(E) ISO 2004Quality management Custome
27、r satisfaction Guidelines for complaints handling in organizationsManagement de la qualit Satisfaction des clients Lignes directrices pour le traitement des rclamations dans les organismesISO 10002:2004(E)ii ISO 2004 All rights reservedPDF disclaimerThis PDF file may contain embedded typefaces. In a
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30、g. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In theunlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. ISO 2004All rights reserved. Unless otherwise specified, no part of this publi
31、cation may be reproduced or utilized in any form or by any means,electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below orISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20
32、Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgISO 10002:2004(E) ISO 2004 All rights reserved iiiContents Page1 Scope 12 Normative references 13 Terms and definitions 14 Guiding principles . 24.1 General . 24.2 Visibility 34.3 Accessibility 34.4 Responsiveness 34.5
33、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 56.1 General . 56.2 Objectives 56.3 Activities 66.4 Res
34、ources 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 Response to complaints . 77.8 Communicating the decision .
35、 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 88.5 Auditing of the complaints-handling process 8ISO 1
36、0002:2004(E)iv ISO 2004 All rights reserved8.6 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 . 12Annex D (informative) Compl
37、aint follow-up form 14Annex E (informative) Responses . 17Annex F (informative) Escalation flowchart . 18Annex G (informative) Continual monitoring . 20Annex H (informative) Audit . 22Bibliography . 23ISO 10002:2004(E) ISO 2004 All rights reserved vForewordISO (the International Organization for Sta
38、ndardization) 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 the right t
39、o 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.International Standa
40、rds 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 anInternat
41、ional 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 10002 was pre
42、pared 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.ISO 10002:2004(E)vi ISO 2004 All rights reservedIntroduction0.1 GeneralThis International Standard provides guidance for th
43、e design and 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 info
44、rmation obtained 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 St
45、andard becomesmore 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
46、International 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, canof
47、fer opportunities 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 th
48、e ability of 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, he
49、lp an organization 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 madeOrganizations 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 9001:20
