ISO-10002-2018 Complaints Handling in Organizations
October 7, 2022 | Author: Anonymous | Category: N/A
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Description
BS ISO 10 002: 2018 2018
Standar dards ds Publ i cat catii on BSI Stan
Quality management — Customer satisfaction — Guidelines for complaints handling in organizations
BS ISO 10002: 2018
BRITISH STANDARD
National foreword This British British Standard Standard is the UK implement implementation ation of ISO 1000 2:2 01 8. It s u p e r s e de s B S I S O 1 0 0 0 2 : 2 0 14 , wh ic h i s wit h d r awn.
The UK participation in its preparation was entrusted to Technical C o m m i tt ee S VS/ 0 , C u s to m e r s e r v i c e - F u nda m e nt a l p p r i nc i p p l e s . A list of organizations represented on this committee can be obtained on r e qu e s t to i t s s e c r e t ar y. This publication does not purport to include all the necessary provisions o f a c o nt r ac t . Us e r s a r e r e s p o n s i b b le f o r i t s c o rr e c t a pp l ic at io n . © The British Standards Institution Institution 201 8 Published Publi shed by BSI BSI Standa Standards rds Limited 201 8 ISBN IS BN 97 978 8 0 580 98258 3
ICS 03 .120.1
0
Compliance with a British Standard cannot confer immunity from legal obligatio obligations. ns.
This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 July 2018. Amendments/corrigenda issued since publication Date
Text affected
INTERNATIONAL STANDARD
BS ISO 10002: 2018
IS O ISO 1000 2 Third edition 2018-07-3 0
Quality management — Customer satisfaction — Guidelines for complaints handling in organizations Management de la qualité — Satisfaction des clients — Lignes directrices pour le traitement des réclamations dans les organismes
Reference number ISO 10002: 2018(E)
©
ISO 201 201 8
BS ISO 10002: 2018 ISO 10002:2018(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2018 , Published in Switzerlan Switzerland d
All rights reserved. Unle ss otherwise specifie d, no part of this publication may be reproduc ed or utilize d otherwise i n any form or by by any means, electro electronic nic or or mechanica mechanical, l, includ including ing photoco photocopying, pying, or posting posting on the interne internett or an intranet, intranet, withou withoutt prior prior written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of the r e q ue s te r .
ISO copyright office Ch. de Blandonnet Blandonnet 8 • CP 40 1 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 1 1 Fax +41 22 749 09 47 co py r i ght@ i s o . o r g www.iso.org
BS ISO 10002: 2018 ISO IS O 10002:201 8
Contents
Page
Foreword............................................. Foreword....................... ......................................... ......................................... ............................................ ............................................. .................................... ............. v Introduction...................................................... Introduction................................... ......................................... ............................................ ............................................ ......................................... ................... vi 1
Scope................................................................................................................................................1
2
Normative references.......................................................... references............................................................................... ........................................ ................................... ................ 1
3
Terms and definitions................................ definitions...................................................... ............................................ ....................................................... .....................................1 ....1
4
Guiding princ Guiding principles iples.................................................................................................... ...................................................................................................................... ........................ ...... 3 4.1 General..... General .......... ......... ......... .......... .......... .......... .......... .......... .......... .......... .......... ......... ......... .......... ......... ........ ......... .......... ......... ......... .......... .......... .......... .......... .......... ......... ......... .......... ............3 .......3 4.2 Commitme Com mitment... nt.......... .............. .............. ............... ............... .............. .............. ............... ............... .............. .............. .............. .............. .................... ..............................3 .................3 4.3 Capacity.. Capaci ty....... .......... ......... ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ........ ......... .......... .......... .......... .......... ......... ......... .......... .......... ............. .................. ...........3 .3 4.4 Transparen Tran sparency..... cy............ .............. ............... ............... ............... ............... .............. ............... ............... .............. .............. .............. .............. .............. .............. ................ ............. .... 3 4.5 Accessibilit Access ibility.... y........ ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ........ ......... .......... ......... ......... .............. ................... .................3 .......3 4.6 Responsi Resp onsivenes veness...... s............. .............. .............. .............. ............... ............... .............. ............... ............... .............. .............. .............. .................. ..............................4 ...................4 4.7 Obj ectivi ectivity... ty....... ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ........ ......... .......... ......... ......... ............ ................ ................... .............4 ...4 4.8 Charges.. Char ges......... ............... ............... .............. ............... ............... .............. ............... ............... .............. ............... ................ ............... .............. .................................. ............................. .. 4 4.9 Informat Info rmation ion inte integrit grity..... y............ .............. ............... ............... .............. ............... ................ ............... .............. .............. .............. ............... .............................4 .....................4 4.10 Confident Conf identiali iality.... ty........... .............. .............. ............... ............... .............. ............... ............... .............. ............... ............... .............. .............................. ................................ ......... 4 4.11 CustomerCust omer-focus focused ed appro approach.. ach......... .............. ............... ............... .............. ............... ............... .............. ............... ............... .............. ................... .....................4 .........4 4.12 Accountab Accou ntabilit ility....... y.............. ............... ............... .............. ............... ............... .............. ............... ............... .............. ............. ............. ............... ............... .......................4 ................4
4.13 4.14 4.15
Improvement.... Improveme nt........... ............... ............... .............. ............... ................ ............... .............. .............. ............... ............... .............. ............... ............... ..........................4 ...................4 Competenc Comp etence...... e............. ............... ............... .............. ............... ............... .............. ............... ................ ............... ............... ............... .............. .............. .............. ............... ............4 ....4 Timeliness Timel iness..... .......... ......... ......... .......... .......... .......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... ......... ......... ......... ......... .......... .......... .......... .......... .......... .......... ............... ............4 ..4
5
Complaints-handling framework........................ framework.............................................. ............................................ ................................................ ............................5 ..5 5.1 Context Cont ext of the organ organizat ization.. ion......... ............... ............... .............. ............... ............... .............. ............... ............... .............. ............... ............... .....................5 ..............5 5.2 Leadershi Lead ership p and commi commitmen tment...... t............. .............. ............... ............... .............. ............... ............... .............. ............... ................ ............... ......................5 ...............5 5.3 Policy.... Polic y......... ........... ............ ........... ........... ............ ........... ........... ............ ........... ........... ............ ........... ........... ............ ........... ........... ............ ........... ........... ............ ........... ........... ............ ........... ...............5 ..........5 5.4 Responsi Resp onsibili bility ty and autho authority rity....... .............. ............... ............... .............. ............... ............... .............. ............... ............... .............. ............... ............... .............. ........5 .5
6
Planning, design and development.............................................................................................7 6.1 General..... General .......... ......... ......... .......... .......... .......... .......... .......... .......... .......... .......... ......... ......... .......... ......... ........ ......... .......... ......... ......... .......... .......... .......... .......... .......... ......... ......... ............ ............7 .....7 6.2 Obj ectiv ectives.... es......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ......... .......... .......... .......... .......... ......... ........ ......... .......... .......... ......... ......... .......... ......... .............. .................... .............7 ...7 6.3 Activities. Activi ties...... ......... ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ......... ............ ...............7 ........7 6.4 Resource Reso urces...... s.............. ............... ............... ............... .............. .............. ............... ............... .............. .............. .............. .............. ............... ............... .............. .......................8 ................8
7
Operation of complaints-handling process.................................................................................8 7.1 7.2 7.3 7.4 7.5 7.6 7.7 7.8 7.9
8
Communication... Communicati on....... ......... .......... .......... .......... .......... .......... .......... .......... .......... ......... ......... .......... ......... ......... .......... .......... .......... ......... ......... ......... ......... .......... .......... ......... ......... ...........8 ......8 Receipt Rece ipt of comp complain laints.... ts........... .............. ............... ............... .............. ............... ............... ............... ............... .............. .............. ............... ............... ............... ..............8 ......8 Tracking Trac king of compl complaint aints..... s............ .............. ............... ............... .............. ............... ................ ............... .............. .............. ............................ ................................ ........... 9 Acknowled Ackn owledgemen gementt of compl complaint aints..... s............ .............. ............... ............... .............. .............. ............... ............... .............. .............. .........................9 ..................9 Initial Initi al assessment of complaint complaints.... s......... .......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ......... .......... ........... ........9 ..9 Investi Inve stigati gation on of comp complain laints.... ts........... .............. ............... ............... ............... ............... .............. .............. .............. ............... ............... ...........................9 ....................9 Response Resp onse to compl complaint aints..... s............ ............... ............... .............. ............... ............... .............. ............... ............... .............. ............... ................ .............. ................9 ..........9 Communic Com municatin ating g the decis decision. ion........ ............... ............... .............. ............... ............... ............... ............... .............. .............. .............. ............... .....................9 .............9 Closing Closi ng compla complaints. ints..... ......... .......... .......... .......... .......... .......... .......... .......... .......... ......... ......... .......... ......... ......... .......... .......... .......... .......... ......... ........ ......... .............. ................... ............9 ..9
Maintenance and improvement improvement............ ....................... ....................... ........................ ....................... ..............................................9 ...................................9 8.1 Collection Colle ction of information.... information......... .......... .......... ......... ......... .......... ......... ......... .......... .......... ......... ......... .......... ......... ......... .......... .......... .......... .......... ......... ............. ..................9 .........9 8.2 Analysis and evaluation of complaints ............................................................................................................................ 1 0 8.3 Evaluation of the satisfaction with the complaints-handling process ................................................. 1 0 8.4 Monitoring of the complaints-handling process ..................................................................................................... 1 0 8.5 Auditing of the complaints-handling process ........................................................................................................... 1 0 ............................... ................................. ................................. ............................. ............. 1 processs ............... 8.6 Management review of the complaints-handling proces 8.7 Continual improvement ............................................................................................................................................................... 1
Annex A (informative) Interrelationship of ISO 10001, this document, ISO 10003 and ISO ISO 10004 ............................. 10004 ............................... ............................... .............................. .............................. ............................... ............................... .............................. ............................. ............................. .............................. ............................... .............................. .............. 1
1 1
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BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
Annex B (informative) Annex C Annex
(informative)
D
(informative)
Guidance for small busine business ss Form
for
................................ ................ ................................. ................................. ................................. ................................. ................................. ....................... ......
complainant ............................................. ............................................................................................... ............................................................................................. ........................................... 1
Objectivity
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1
1
5 6 7
Ann ex E (i nf o r m ative ) C o m p l a i n ts - handl i n g f l owc ha r t ............... .............................. ............................. ................................ ............................... ............................ ................................ ....................... ...... 1 9 Ann ex F (i nf o r m ative ) C o m p l a i n t f o ll ow- u p p f o r m.............. .............................. ............................... .............................. ............................... ............................... .............................. ................................ ...................... ..... 2 0 Annex
G
(informative)
Responses
Annex
H
(informative)
Escalation
Annex
I
(informative)
Annex
J
(informative)
Bibliography
Continual Audit
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4
flowchart ................................................. .................................................................................................. ............................................................................................ ........................................... 2
5
monitoring .................................................. ................................................................................................... .......................................................................................... ......................................... 2
7
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2
3
3
0 1
BS ISO 10002: 2018 ISO IS O 10002:201 8
Foreword ISO (the Interna International tional Organi Organization zation for Stand Standardizat ardization) ion) is a worldwi worldwide de federati federation on of nation national al stand standards ards bodies (ISO member bodies) . The work of prepar preparing ing International International Standa Standards rds is normall normally y carried out t h r o u g h I S O t e c h ni c a l c o mm i tt e e s . E ac h m e m be r b o d y i nte r e s t e d i n a s u b j e c t f o r wh i c h a te ch n i c al co mm i tt e e h as be e n e s t a b l i s h e d h a s t h e r i g h t t o be r e p r e s e nte d o n t h at c o mm i tt e e . I nte r na na t i o na nall organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO ISO collabor collaborates ates closely closely with with the the Internation International al Electrotec Electrotechnical hnical Com mis sio n ( IE C) on all matters of e le c t r o te c h n ic a l s t anda r d i z at io n .
The procedures used to develop this document and those intended for its further maintenance are de s c r i be b e d i n t h e IS O/ I E C D i r e c ti ve s , P ar t 1 . I n p p ar t ic u l ar t h e d i ff e r e nt a pp r o va l c r i te r i a nee de d f o r t h e d i ff e r e nt t yp e s o f I S O do c um e nt s s h o u ld be no te d . T h i s do c u m e nt wa s d r a f te d i n acc o r danc dan c e w i th t h e e d i to r i al r u le s o f t h e IS O/ I E C D i r e c t i ve s , P a r t 2 (s ee www . i s o . o r g/ d i r e c t ive s) . Attention Attent ion is drawn drawn to the possibi lity tha thatt some of the the elements elements of this this doc docume ument nt may be the the subject of p ate nt r ig h t s . IS O s h a ll no t be b e h e l d r e s p o n s i b b le f o r ide nt i f y i ng an y o r a ll s u c h p p ate nt r i gh t s . D e t a i l s o f any patent rights identified during the development of the document will be in the Introduction and/or o n th e IS O l i s t o f p p ate nt de cl ar atio n s r e ce i ve d (s ee www . i s o . o r g/ p ate nt s) . Any trade name used in this document is information given for the convenience of users and does not c o n s t i t u te an e ndo r s e m e nt . For an explanation on conformity the voluntary nature of standards, meaning about of ISO termsto and expressions related to assessment, as well as a s the information ISO’sspecific adherence the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: . T h i s do c u m e nt wa s p r e p a r e d b y Te ch n ic a l C o mm i tt ee IS O/ T C 1 76 , Qu ality m an a g em en t a n d qu ality upp p or tin g tec h n olo gies. a ssu r a n ce , S u b c o mm i tt ee S C 3 , S up
This third third edition edition cancels and replaces replaces the second edition ( technically revised.
ISO
The main changes compared with the previous edition are as follows: — alignment with ISO 9000:2015; — alignment with ISO 9001:2015; —
improved alignment with
ISO 1 0 0 0 1 , ISO 1 0 0 0 3 and ISO 1 0 0 0 4 .
10002:2014 ) ,
which
has
been
BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
Introduction 0.1
General
This document provides guidance for organizations to plan, design, develop, operate, maintain and improve an effective and efficient efficient complaints-handlin complaints-handling g process for all types of commercial or noncommercial activities, activities, including including those related to electronic electronic commerce. It is intended to benefit an o r gan i z ati o n and i t s c u s to m e r s , c o mp l a i nan t s , and o t h e r r e l e v an t i nte r e s te d p p a r t ie s .
The info informat rmation ion obta obtained ined throu through gh the compl complaint aints-han s-handlin dling g proce process ss can lead to impr improvemen ovements ts in products, service servicess and processes and, where the complaints are properly handled, can improve the r e pu t at i o n o f t h e o r g an i z at i o n, r e g ar d le ss o f s i z e , l o c at i o n and s e c t o r . I n a g lo b a l m a r k ke t p l ac e , th e v a lu e of usin using g an Inte Internati rnational onal Standard becomes more evident since it prov provides ides confi confidence dence in the consistent consistent t r e at m e nt o f c o m p l a i nt s . An effective effective and efficient efficient complaints-hand complaints-handling ling process reflects the needs and expectations expectations of both both the organizations supplying products and services and those who are the recipients of those products and services. The handling of complaints through a process as described in this document can enhance customer s at i s f ac t io n . E nc o u r ag i ng c u s to m e r f ee ee d b ac k , i nc l u di ng c o mp l ai nt s i f c u s to m e r s a r e no t s at i s f i e d , c an offer opportunities to maintain or enhance customer loyalty and approval, and improve domestic and i nte r na na ti o na nall co mp e t i t i ve ne ss . Implementation of the process described in this document can: — provide a complainan complainantt with access to an open and responsive complaintscomplaints-handling handling process; — enhance the ability of the organization to resolve complaints in a consistent, systematic, and responsive manner, to the satisfaction of the complainant and the organization; — enhance the ability of of the organization to identify identify trends and eliminate eliminate causes of complaints complaints,, and i mp r o ve t h e o r gan i z ati o n’s o p e r ati o n s ; — help the organization create a customer-focused customer-focused approach to resolving resolving complaints, and encourage personnell to improve their skills in working personne wo rking with customers customers;;
conti nual review and a nd analysis of the complaintscomplaints-handling handling process, pr ocess, the resolution — provide a basis for continual of complaints, and process improvements made. Organizations use dispute the complaints-hand complaints-handling ling process in conjunction with customer satisfaction codes of conduct and can external resolution processes. The satisfactio satisfaction n of persons or organizations that could or do receive a product or a service from a public o r a p p r i vate o r g an i z at io n i s t h e f o c u s o f t h i s do c u m e nt . 0.2
R elationship with ISO 9001 and ISO 9004 Re
This document is compatible with
ISO 9 0 0 1 and ISO 9 0 0 4 , and supports the obj ectives of these two standards through the effective and efficient application of a complaints-handling process. This document can also be used independently of ISO ISO 9001 and ISO 9004 .
p r o c e ss f o r c o mp l a i nt s h and andll i n g ISO 9001 s p e c i f ie s r e qu i r e m e nt s f o r a qu a l i t y m ana ge m e nt s ys te m . T h e p be d i n t h i s do c u m e nt (I S O 1 0 0 0 2 ) c an be be u s e d as an e le m e nt o f a qu a l i t y m ana ge m e nt s ys te m . de s c r i be c e to ac h i e ve s u s t a i ne d s u cc e s s o f an o r gan i z at i o n . T h e u s e o f t h i s do c u m e nt danc ISO 9004 p r o v ide s g u idan (ISO 10 00 2) can enhance performance in the area of complaints handling and increase the satisfaction of customers and other relevant interested parties to facilitate facilitate the achievement achievement of sustained success. success. It
BS ISO 10002: 2018 ISO IS O 10002:201 8
can also facilitat facilitate e the continual improvement of the quality of products, services and a nd processes based ee d b ac k f r o n f ee r o m c u s to m e r s and o t h e r r e l e van t i nt e r e s te d p p a r t ie s . NOTE Apart from customers and complainants, other relevant interested parties can include suppliers, industry industr y associations associations and their members, members, consumer consumer organization organizations, s, relevant relevant government agencies agencies,, personnel personnel,, owners and others who are affected by the complaints-handling process.
0. 3
Relationship with ISO 10001 , ISO 10003 and ISO 10004 Re
This document is compatible with ISO 10001
. These four documents can
and
, ISO 1 0 0 0 3 ISO 1 0 0 0 4 b e u s e d e it h e r i nde p e nde nt l y o r i n c o n j u nc t io n wi t h e ac h o t h e r . W h e n u s e d to ge t h e r , t h i s do c u m e nt , be pa part of a br broader an and in integrated fr framework for enhanced ISO 1 0 0 0 1 , ISO 1 0 0 0 3 and ISO 1 0 0 0 4 can be c ustomer satisfaction through codes of conduct, complaints handling, dispute resolution and monitoring and measurement of customer satisfaction (see Annex A) A) . c e o n co de s o f c o ndu c t f o r o r gan i z at i o n s r e l ate d to c u s to m e r danc ISO 10001 c o nt a i n s g u idan s at i s f ac t io n . Such codes of conduct can decrease the probability of problems arising and can eliminate causes of co mp l a i nt s and d i s p u te s wh ic h c an de c r e as e c u s to m e r s at i s f ac t io n . pu
ISO 10003 contains guidance on the resolution of disputes regarding product- and service-related c o m p l a i nt s t h at c o u l d no t be be s at i s f ac to r i l y r e s o l ve d ISO 10003 can help to minimize customer i nte r nall na ll y. d i ss ati s f ac t i o n s te mm i ng f r r o m u n r e s o l ve d c o mp l a i nt s .
contains guidance on establishi establishing ng effective processes for monitoring and measuring ISO 10004 c u s to m e r s ati s f ac t i o n . I t s f o c u s i s o n c u s to m e r s e x te r nal na l to t h e o r gan i z at i o n . G u i de l i ne s g i ve n i n can support the establishment and implementation of a complaints-handling complaints-handling process. For ISO e xam10004 ple, th the pr processes de described in ISO 10004 ca can n as si si s t the o rg rganization in in m on onitoring an and m ea eas ur uring customer satisfaction with the complaints-handling process (see ) . Likewise, information from a c o mp l ai nt s - h and andll i ng p r o c e ss c an be u s e d i n m o n i to r i n g and m e a s u r i ng c u s to m e r s ati s f ac t i o n . Fo r examp example, le, the frequ frequency ency and type of comp complain laints ts can be an ind indirect irect indicator indicator of cust customer omer satisfaction (see ISO 10004:2018, 7. 3 .2) .
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BS ISO 10002: 2018 INTERNATIONAL STANDARD
ISO IS O 10002:201 10002:201 8
Quality management — Customer satisfaction — Guidelines for complaints handling in organizations 1
Scope
This document document gives guidelines guidelines for the proce process ss of compl complaint aintss hand handling ling related related to prod products ucts and services within an organization, including planning, design, development, operation, maintenance and i mp r o ve m e nt . T h e c o mp l a i nt s - h and andll i ng p p r o c e ss de s c r i be be d i s s u it a b l e f o r u s e a s o ne o f th e p p r o c e ss e s o f an o ve r a ll qu a l i t y m ana ge m e nt s ys te m . NOTE Throughout this document, the terms “product” and “service” refer to the outputs ou tputs of an organization org anization t ha t a r e i n te nd e d f o r , o r r e qu i r e d b b y, a c u s to m e r .
This document is intended for use by any organization regardless of its type or size, or the products and s e r v i c e s i t p p r o v ide s . I t i s a l s o i nte nde d f o r u s e b y o r g an i z ati o n s i n a ll provides s e c to r s . guid guidance ance specifical specifically ly for small bu sin ess es. This document addresses addresses the following aspects of complaints handling: a)
enhancing customer satisfactio satisfaction n by creating a customer-focused environment that is open to feedback feedback (includi (including ng complaint complaints) s) , resol resolving ving any comp complain laints ts recei received, ved, and enhancing enhan cing the o r gan i z atio n’s a b i l it y to i mp r o ve i t s p p r o du c t s and s e r v ic e s , i nc l u d i ng c u s to m e r s e r v i ce ;
b)
top management involvement and commitment through through adequate acquisition and deployment resources, including personnel training;
c)
recognizing and addressing the needs and expectations of complainants;
d)
providing provi ding compl complainan ainants ts with an open, effectiv effective e and easy-to-u easy-to-use se complain complaints ts process; process;
of
e) analysing and evaluating complaints in order to improve the quality of products and services, including customer service; f )
audit aud iting ing of of th the e com compla plaint ints-h s-hand andli ling ng proces process; s;
g)
reviewing revi ewing the effectivene effectiveness ss and efficiency efficiency of the complaints complaints-hand -handling ling proces process. s.
This document does not apply to disputes referred for resolution outside the organization or for e m p l o y m e nt-r e l ate d d i s p u te s . pu
2
Norm No rmat ativ ive e re refe fere ren nce ces s
The following documents are referred to in the text in such a way that some or all of their content c o n s ti t u te s r e qu i r e m e nt s o f t h i s do c u m e nt . Fo r da te d r e f e r e nc e s , o n l y t h e e d i t i o n c i te d a pp l i e s . Fo r undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 9000:2015, Quality management systems — Fundamentals and vocabulary
3
Term Te rms s an and de defi fini niti tio ons
For th the e pu purp rpos ose es of this doc docu ume men nt, th the e ter terms ms and and def efiini nittion onss gi give ven n in in ISO 9000 an and d th the e fo folllow owiing ap app ply ly.. ISO and IEC maintain terminological databases for use in standardization at the following addresses: —
ISO Online browsing platform: available at
BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
— IEC Electropedia: available at 3.1 complainant person, organizat organization ion (
) or th thei eirr re repr pres esen enta tati tive ve mak makin ing g a com compl plai aint nt (
)
[SOURCE: ISO 10001:2018, 3 .2] 3. 2 complaint expression of dissatisfaction made to an organization (
) , related to its product or service, or the complaintscomplaints-handling handling p process rocess itself, where a response or resolution resol ution is explicitly or implicitly expected Note 1 to entry: Complaints can be made in relation to other processes where the organization interacts with the customer ( ) . No N o te 2 to e nt r y: C o mp l a i nt s c an be be m ade d i r e c t l y o r i nd i r e c t l y to t he o r gan i z ati o n .
[SOURCE: [SOUR CE: ISO 9 00 0: 20 15 , 3 .9. 3, modified — Notes Notes 1 and 2 to entry have have been added.] added.] 3. 3 customer person perso n or organ organizatio ization n (
) that could or does receive a product or a service that is intended for or
required by this person or organization E XAMPLE Consumer, client, end-user, retailer, receiver of product or service from an internal process, beneficiary and purchaser.
No N o te 1 to e nt r y : A c u s to m e r c an be be i nte r na na l o r e x te r na na l to t he o r g an i z at i o n .
[SOURC [SO URCE: E: ISO 900 0:2 015, 3 .2 .4] .4] 3.4 customer satisfaction cus tom e r ’s ( ) p ee to wh ic h t h e c u s to m e r ’s e x p e c t at io n s h ave be be e n f u l f i ll e d p e r ce p t io n o f t h e de g r ee N o te 1 to e nt r y : I t c an be No be t hat t he c u s to m e r ’s e x p e c t at i o n i s no t k no w n to t he or g a n iza tion ( ) , o r e ve n to t he customer in question, until the product or service is delivered. It can be necessary for achieving high customer s a t i s f ac t i o n to f u l f i l an e x p e c t at i o n o f a c u s to m e r e ve n i f i t i s ne i t he r s t ate d no r ge ne r a ll y i mp l ie d o r o b l i g ato r y.
Note 2 to entry: Complaints ( ) are a common indicator of low customer satisfaction but their absence does not n e c e ss a r i l y i mp l y h i gh c u s to m e r s at i s f ac t i o n . Note 3 to entry: Even when custome customerr require requirements ments have been agree agreed d with the custome customerr and fulfilled fulfilled,, this does n o t n e c e s s a r i l y e n s u r e h i g h c u s to m e r s at i s f ac ti o n .
[SOURCE: ISO 9000:2015, 3 .9.2] 3. 5 customer service interaction of the organization organization ( or a service
) with the customer (
) throughout the life cycle of a product
[SOURCE: ISO 9000:2015, 3 .9.4] 3. 6 3.6 feedback
satisfaction> opinions, comments and expressions of interest in a product, a service or a complaints-handling complaints -handling process Note 1 to entry: Feedba Feedback ck can be given in relation to other processes processes where the organization ( the customer ( ) .
2
) interac interacts ts with
© ISO 2018 – All rights reserved
BS ISO 10002: 2018 ISO IS O 10002:201 8
[SOURCE: [SOURC E: ISO 9 00 0: 20 15 , 3 .9.1, modified modified — Note 1 to entry has been added.] added.] 3.7 interested party stakeholder
person or organizatio person organization n ( decision or activity
) that can affect, be affected by, or perceive itself to be affected by a
E XAMPLE ) , owners, people in an organization, providers, Customers ( partners or society that can include competitors or op po si ng pressure groups.
bankers,
regulators,
unions,
[S OU OUR R C E : IS O 9000 : 2 0 15 , 3 . 2 . 3 , m o d i f i e d — — N N o te 1 to e nt r y h a s bee b ee n de l e te d . ] 3. 8 organization person or group of people peop le that has its own functions with responsibil responsibilities, ities, authoritie authoritiess and relationship relationshipss to achieve its obj ectives Note 1 to entry: The concept of organization includes, but is not limited to, sole-trader, company, corporation, firm, enterpr enterprise, ise, authori authority, ty, partnership, partnership, associa association, tion, charit charity y or instit institution, ution, or part or combinati combination on thereof, whe t he r i nc o r p o r ate d o r no t , p p u b l ic o r p p r i v ate .
[S OU OUR R C E : IS O 9000 : 2 0 15 , 3 . 2 . 1 , m o d i f i e d — — N N o te 2 to e nt r y h a s bee b ee n de le te d . ]
4 4.1
Guiding principles General
Adhere Adhe renc nce e to to the the gu guid idin ing g pr prin inci cipl ples es se sett ou outt in h and andll i ng o f c o mp l a i nt s .
4.2
S
is recommended for effective and efficient
Commitment
The organ organizati ization on shou should ld be activ actively ely commi committed tted handling process.
4.3
to
to
defining defin ing
and
implement impl ementing ing
a
complain comp laintsts-
Capacity ufficient resources should be made available for and committed to complaints handling, handling, and should be
m ana ge d e ff e c t i ve l y and e f f fi c ie ntl y.
4.4
Transparency
T he complaints-handling process should be communicated to customers, personnel and other relevant i nte r e s te d p a r t ie s . I nd i v idu al c o m p l a i nan t s s h o u ld be p r o v ide d wi t h ade qu ate i n f o r m ati o n a b o u t t h e h and andll i ng o f t h e i r c o mp l a i nt .
4 .5
A c c e s s ib i li ty
b l e to a ll c o m p l a i nan t s . I n f o r m at io n s h o u ld A c o m p l ai nt s - h and andll i ng p r o c e ss s h o u l d be e a s i l y acc e ss i b be m ade ava i l a b l e o n t h e de t ai l s o f m ak i ng and r e s o l v i ng c o mp l a i nt s . T h e c o mp l a i nt s - h and andll i n g p r o c e ss and supporting information should be easy to understand and use. The information should be in clear language. Information and assistance in making a complaint should be made available (see ) , in whatever languages or formats that the products and services were offered or provided in, in, including a l te r na na t i ve f o r m at s , s u c h a s l a r ge p p r i nt , B r a i ll e , o r au d io t a p e , s o t h at no c o m p l a i nan t s a r e d i s ad van t age d .
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BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
4.6
Respo pons nsiive ven ness
The organization should address the needs and expectations of customers with respect to complaints handling.
4.7
Objectivity
Each complaint should be addressed in an equitable, obj ective and unbiased manner through the complaints-handling process (see ).
4.8
Charges
ee o f c h a r ge to t h e c o mp l a i nan t . Acc e ss to t h e co mp l ai nt s - h and andll i ng p p r o c e s s s h o u l d be b e f r r ee
4.9 4. 9
Info In form rmat atio ion n int integ egri rity ty
The organization should ensure that the information about its complaints handling is accurate and not misleading, and that data collected are relevant, correct, complete, meaningful and useful.
4.10 Confidentiality Personally identifi identifiable able information concerning the complainant should be available where needed, but only for the purposes of addressi addressing ng the complaint within the organiza organization tion and should be actively protected protecte d from disclosure, unless the customer or complaina complainant nt expressly consents to its disclosure or disclosure is required by law. NOTE Personally Person ally identifiable infor information mation is informa information tion that when assoc associated iated with an individua individuall can be u s e d to id e n t i f y h i m o r he r , and i s r e t r ie v a b le b b y t he i nd i v i dua l ’s na m e , add r e ss , e m a i l add r e s s , te l e p ho ne nu m be r o r s i m i l a r l y s p e c i f i c i de nt i f i e r . T he p p r e c i s e m e an i n g o f t he te r m d i ff e r s a r o und the wo r ld .
4.11 Customer-focused approach The organization should adopt a customer-focused approach with respect to handling complaints and should be open to feedback.
4.12 Accountability The organization should establish and maintain accountability for, and reporting on, the decisions and actions with respect to complaints handling.
4.13 Improvement Increased effectiveness and efficiency of the o b j e c t i ve o f t h e o r g an i z at io n.
complaints-handling complaints -handling process
should be
a permanent
4.14 Competence Organization personnel should have the personal attributes, skills, training, education and experience ne c e ss a r y to h and andlle c o m p l a i nt s .
4.15 Timeliness Complain Comp laints ts should be handled as expeditious expeditiously ly as
feasible feas ible given the nature nature of the complaint complaint and of the
process used.
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BS ISO 10002: 2018 ISO IS O 10002:201 8
5
Comp Co mpla lain ints ts-h -han andl dlin ing g
5.1 5. 1
fram fr amew ewor ork k
Cont Co ntex extt of th the e or orga gani niza zati tion on
In plann planning, ing, desig designing ning,, devel developin oping, g, opera operating ting,, main maintain taining ing process, the organizatio or ganization n should sho uld consider c onsider its context by:
and
improvin impr oving g
the
complain comp laints-ha ts-handli ndling ng
— i de nti f y i ng and add r e ss i n g e x te r nal na l and i nte r nal na l i ss u e s t h at a r e r e l e van t to t h e o r g an i z at i o n’s purpose and that affect affec t its ability to achieve complaintscomplaints-handling handling obj ectives; ectiv es; — identifying the interested parties that are relevant to the complaints-handling addressing the relevant needs and expectations of these interested parties;
process,
and
— identifying the scope of of the complaints-handling process, including its boundaries and applicability, and taking into account the external external and internal issues and the needs of interested parties noted above.
5.2 5. 2
Lead Le ader ersh ship ip and and comm commit itme ment nt
Top management should demonstrate leadership in, and the organization should be actively committed to, effective and efficient complaints handling. It is particularly important that the commitment is s h o w n b b y, and p p r o m o te d f r r o m , t h e o r g an i z at i o n’s t o p m ana ge m e nt . A stro strong ng lead leadershi ership p in, and commi commitmen tmentt to, resp respondi onding ng to compl complaint aintss shou should ld allow both personnel personnel and c u s to m e r s to c o nt r i b b u te to th e i mp r o ve m e nt o f t h e o r gan i z at io n’s p p r o c e ss e s . p r o du c t s , s e r v ice s and p This leadership and commitment should be reflected in the definition definition,, adoption and disseminat dissemination ion o f p o l i c y and p r o c e du r e s f o r t h e r e s o l u t io n o f c o mp l a i nt s . M ana ge m e nt le ade r s h i p p and c o mm i t m e nt s h o u l d be be s h o wn b b y th e p p r o v i s io n o f ade qu ate r e s o u r ce s , i nc lu d i ng t r a i n i ng.
5. 3
Po l i c y
Top management should should establish an explicit explicit customer-focused customer-focused complaints-handling complaints-handling policy. policy. The policy should be made available to, and known by, all personnel. The policy should also be made available to c u s to m e r s and o th e r r e le van t i nte r e s te d p a r ti e s . T h e p o l i c y s h o u l d b e s up p o r te d b y p r o c e du r e s be and objectives for each function and personnel role included in the process. When establishi establishing ng the the policy policy and objectives for the complaints-hand complaints-handling ling process, the following factors should be taken into account: — identification of any applicable statutory and regulatory requirements; — financial, operational, and organizational requirements; — t h e i n p u t o f c u s to m e r s , p p a r t ie s . pu p e r s o nne l , and o t h e r r e l e van t i nte r e s te d p
The policies related to quality and complaints handling should be aligned.
5.4 5. 4
Resp Re spon onsi sibi bili lity ty and aut autho hori rity ty
5.4.1 5.4 .1
Top man manage agemen mentt sho should uld be res respon ponsib sible le for for::
a)
ensuring ensuri ng tha thatt organization;
b)
ens ensuri uring ng tha that t the compla com plain intsts-han handl dling ing proces pro cesss is with plann pl anned, ed, complaints-handling design des igned, ed, dev develo elope ped, d, operat ope ed, maintained and continually improved in accordance the policy ofrated, the organization;
the th e
compla com plaint ints-h s-hand andlin ling g
proces pro cesss
and
objj ect ob ective ivess
are
establ est ablish ished ed
withi wit hin n
the th e
BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
c)
identifying and allocating the management resources needed for an effective and efficient complaintshandling process;
d)
ensuring the promo ensuring promotion tion of awareness of the compl complaint aints-han s-handlin dling g proce process ss and the need for a customer focus throughout the organization organization;;
e)
ensuring that ensuring that infor informatio mation n about the the complaints complaints-hand -handling ling process process is communicated communicated to customers, customers, complainants, and, where applicable, other parties directly concerned in an easily accessible manner (see
);
f )
appointing appointi ng a complaint complaints-han s-handlin dling g management management repres representa entative tive and clearly clearly definin defining g their responsibilities and authority in addition to the responsibilities and authority set out in ;
g)
ensuring that ensuring that there is a process process for rapid rapid and effective effective notifi notificatio cation n to top management management of any significant complaints;
h) period periodical ically ly reviewing reviewing the complaint complaints-han s-handli dling ng process to ensure ensure that it is efficiently maintained and continually improved. 5 .4.2
effective effec tively ly
and
The complai complaintsnts-hand handling ling manag management ement repre represent sentativ ative e should should be respons responsible ible for: for:
a)
establishing a process of performance monitoring, evaluation and reporting;
b)
reporting to top management on the complaints-handling process, with recommendations for
c)
improvement; maintaining the effective effective and efficient operation of the complaintscomplaints-handling handling process, including the recruitment and training of appropriate personnel, technology requirements, documentation documentation,, setting and meeting target time limits and other requirements, and process reviews.
5.4.3 Otherr manag Othe managers ers invo involved lved in the comp complain laints-h ts-handli andling ng proc process ess shou should, ld, as appl applicabl icable e with within in thei theirr area of responsibility, be responsible for: a)
ensuring that the complaints-handling process is implemented;
b)
liaising with the complaints-handling management representative;
c)
ensuring the promotion of awareness of the complaints-ha complaints-handling ndling process and of the need for a customer focus;
d)
ensuring ensur ing that that infor informati mation on about the the complaints-h complaints-handl andling ing process process is easi easily ly access accessible ible;;
e)
reporting repor ting on actions actions and decis decisions ions with with respect respect to complain complaints ts handling; handling;
f )
ensuring ensur ing that that monito monitoring ring of the complaint complaints-han s-handlin dling g process process is unde undertake rtaken n and reco recorded; rded;
g)
ensuring that ensuring that action action is taken to corre correct ct a problem, problem, prevent prevent it happe happening ning in in the future, and that the the event is recorded;
h)
ensuring that complaints-handling data are available for the top management review.
5 .4. .4.4 4
All pers personn onnel el in cont contact act with cus custom tomers ers and and compla complaina inants nts shoul should: d:
— be trained in complaints handling; — comply with any complaints-handling reporting requirements determined by the organization; customersindividual; in a courteous manner and promptly respond to their complaints or direct them to — treat the appropriate
— show good interpersonal and good communication skills.
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5.4. 5. 4.5 5
Alll pe Al pers rso onn nnel el sh sho oul uld: d:
— be aware of their roles, responsibilitie responsibilitiess and authorities in respect of complaints;
wha t procedur procedures es to follow and what information to give to complain complainants; ants; — be aware of what — r e p o r t c o mp l ai nt s wh ic h h ave a s ig n i f ic an t i mp ac t o n th e o r gan i z at io n .
6
Plan Pl anni ning ng,, des desig ign n and and de deve velop lopme ment nt
6.1
General
The orga organizat nization ion shou should ld plan plan,, desi design gn and devel develop op an effec effective tive and effi efficien cientt compl complaint aints-han s-handlin dling g process in order to increase customer loyalty and satisfactio satisfaction, n, and also to improve the quality of the products and services provided. This process should comprise a set of interrelate interrelated d activities that function harmoniously harmoniously and use various personnel, information, information, material, material, financial and infrastructu infrastructure re r e s o u r ce s to c o n f o r m t o t h e c o mp l ai nt s - h and andll i ng p o l i c y and ach i e ve t h e o b j e c t i ve s . T h e o r g an i z at io n should take into account the best practices of other organizations with regard to complaints handling. The organization should understand the expectations and perceptions of customers and other relevant interested parties related to complaint handling. When establishin establishing g and using a complaints complaints-handling process, the organization should consider and address risks and opportuniti opportunities es that can arise. This involves: — monitoring and evaluating processes and external external and internal internal issues concerning risks and opportunities; — identifying and assessing specific risks and opportunities; — planning, designing, developin developing, g, implementing implem enting and a nd reviewing revie wing corrective c orrective actions and an d improvements improv ements p e r t a i n i ng to ide nti f ie d and a ss e ss e d r i s k s and o pp o r t u n i t ie s . As de f i ne d i n I S O 9000 : 2 0 15 , 3 . 7.9 , r i s k i s th e e ff e c t o f u nc e r t a i nt y, wh ic h c an be ne gat i ve o r p o s i t i ve . In the cont context ext of comp complain laints ts hand handling ling,, an exampl example e of a negat negative ive effec effectt is cust customer omer dissatisfaction dissatis faction resulting from insufficient resources to handle the volume or complexity of complaints received within the the specified time limits, limits, and an example of a positive effect is that the organization reconsiders the resources associated associated with complaint complaint handling as a result result of a review of the the training provided to the p e r s o nn e l i n c o nt ac t wi t h c u s to m e r s . T h e s e r i s k s c an be add r e ss e d b y r e v ie wi ng th e a ll o c at i o n and deployment of resources leading to the provision of additional personnel, training or options for access to to the complaints-hand complaints-handling ling process.
An opportunity is related to identificat identification ion of a new possible way of realizing positive outcomes, which r o m t h e o r g an i z at i o n’s e x i s t i ng r i s k s . F o r e xa m p l e , t h e o r g an i z at i o n do e s no t ne c e ss ar i l y ar i s e f r c an identify a new product, service or process as a result of a customer suggestion provided in the course of h and andll i ng a c o mp l a i nt .
6. 2
O b je c t iv e s
Top management should ensure that the complaints-handling objectives are established for, and c o mm u n i c ate d to , r e l e van t f u nc t i o n s and l e ve l s wi t h i n t h e o r gan i z at i o n . T h e s e o b j e c t i ve s s h o u ld be measurable and consistent with the complaints-h complaints-handling andling policy. These obj ectives should be set at r e g u l a r i nte r va l s a s de t a i le d p p e r f f o r m an anc c e c r i te r i a .
6.3
Activities
Top management should should ensure that the planning, planning, design and and development of the the complaints-h complaints-handling andling p r o ce ss i s c a rr i e d o u t i n o r de r to m ai nt a i n and i nc r e a s e c u s t o m e r s at i s f ac t i o n . T h e c o mp l a i nt s - h and andl l i ng
BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
process can process can be linked linked to and and aligned aligned with with other other processe processes s of the quali quality ty managem management ent system system of the o r gan i z ati o n . NOTE
6 .4
A flowchart showing the steps of handling individual complaints is provided in
.
Resources
In order to ensu ensure re that that the compl complaint aints-han s-handli dling ng proces processs operate operatess effecti effectively vely and effi efficient ciently, ly, top m ana ge m e nt s h o u ld a ss e ss t h e nee d s f o r r e s o u r c e s and p p r o v ide t h e m . T h e s e i nc l u de r e s o u r c e s s u c h a s personnel, training, proced procedures, ures, documenta documentation, tion, sp ec ia li st support, materials and equipment equipment,, computer hardware and software, and finances. T he selection, support and training of personnel involved in the p a r t ic u l a r l y i mp o r t an t f ac to r s .
7 7 .1
complaints-handling complaints-han dling
process
are
Operation of complaints-handling process Com omm m u n i c a tio n
Information concerning the complaints-hand complaints-handling ling process, such as brochures, pamphlets or electronic based informatio information, n, should be made readily available to customers, complain complainants ants and other relevant e p i nte r e s te d p p a r t ie s . S u ch i n f o r m atio n s h o u l d b be p r o v ide d i n c le a r l an g u age and , s o f a r a s i s r e a s o na b l e , r
t
t
t
t
t
t
r
.
r
n f o information: isuch b l e o a ll , s o h a no c o m p l a i nan s a e d i s ad van a ge d T h e f o ll o w i ng a e e xa m p le s o f m a s acc e ss i b
— where complaints can be made; — how complaints can be made; — information to to be be pr provided by by the co complainant (see
);
— the process for handling complaints; — time periods associated with various stages in the process; — th e c o mp l a i nan t ’s o p t io n s f o r r e m e dy, i nc l u d i n g e x te r nal na l m e an s (s ee ) ; — h o w t h e c o m p l a i nan t c an o b t ai n f ee ee d b ac k o n t h e s t at u s o f t h e co m p l a i nt .
7 .2
Rece Re ceip iptt of co com mpl plai aint nts s
U pon reportin reporting g of the initial complaint, the complaint should be recorde recorded d with supporting information and a unique identifier code. The record rec ord of the initial complaint should identify the remedy sought by the complaina complainant nt and any other informati information on necessar necessary y for the effective handling of the complaint including: — a description of the complaint and relevant supporting data; — the requested remedy; — the products and services or related organization practices complained about; — the due date for a response; — data on people, department, branch, organization and market segment; — immediate action taken (if any) .
For further guidance, see
a n d F.
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BS ISO 10002: 2018 ISO IS O 10002:201 8
7.3 7. 3
Trac Tr acki king ng of co comp mpla lain ints ts
The complaint should be tracked from initial receipt through the entire process until the complainant is satisfied or the the final final decision decision is made. An up-to-date up-to-date status should be made available to the complainant upon request and at regular intervals, at least at the time of pre-set deadlines. The complainants should be treated courteou courteously sly and be kept informed of the progress of their complaint through the complaintshandling process.
7.4
Acknowledgement of complaints
Receipt of each each complaint complaint should be acknowledged acknowledged to to the the complainant immediately (e.g. through post, phone or email) .
7.5 7. 5
Initi In itial al asses assessm sment ent of of co comp mpla lain ints ts
After recei After receipt, pt, each compl complaint aint should should be init initiall ially y a sses sed in terms of crit criteria, eria, such as seve severity rity,, safet safety y b i l i t y o f i mm e d i ate ac t io n . C o mp l a i nt s s h o u l d be be i mp l ic ati o n , c o mp le x i t y, i mp ac t, and t h e nee d and p p o ss i b addressed addre ssed promptl promptly y in accordance accordance with their urgency. urgency. For example, example, sig signifi nificant cant health health and safety safety issues s h o u ld be b e p p r o c e ss e d i mm e d i ate l y.
7.6 7. 6
Inve In vest stig igati ation on of of com compl plai aint nts s
E very reasonable effort should be made to investigate all the relevant circumstances and information s u rr o u nd i ng a co mp l a i nt . T h e l e ve l o f i nve s t i gat io n s h o u ld b e c o mm e n s u r ate wi t h t h e s e r io u s ne ss , be r r e qu e c o o cc u rr e c e s e e r t o t h e c o l t f n y f n and v i y f mp a i n .
7.7 7. 7
Resp Re spon onse se to co comp mpla lain ints ts
ollowing an appropriate investigation, the organization should offer a response (see ), f o r e x a m p l e , c o rr e c t t h e p r o b l e m and p r e ve nt i t h a pp e n i ng i n t h e f u t u r e . I f th e c o m p l a i nt c ann o t be immediately resolved, then it should be dealt with in a manner intended to lead to its effective resolution as soon as possible (see regarding escalation) . F
7.8
Communicating the decision
The decision or any action taken regarding the complaint, which is relevant to the complainant or to the be c o mm u n ic ate d to t h e m a s s oo n a s th e de c i s i o n o r ac t io n i s t a k e n . p e r s o nn e l i nvo l ve d, s h o u ld be
7 .9
Clo lossin ing g com compl plai aint ntss
If the complainant accepts the proposed decision or action, then the decision or action should be carried out and recorded. If the complainant rej ects the proposed decision or action, then the complaint should remain open. This should be recorded and the complainant complainant should be informed of alternative forms of internal and external recourse available (see ). The organization should continue to monitor the progress of the complaint until all reasonable internal and e x te r nal na l o p t i o n s o f r e c o u r s e a r e e x h au s te d o r t h e c o mp l a i nan t i s s at i s f i e d .
8 8 .1
Main Ma inte tena nanc nce e and and imp impro rove veme ment nt Col olle lect ctio ion n of in info form rmat atio ion n
The organization should record the performance of its complaints-handling complaints-handling process. The organization should establish and implement procedures for recording complaints and responses and for using these
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BS ISO 10002: 2018 ISO IS O 10002:201 10002:201 8
records and managing them, while protecting any personal information and ensuring the confidential confidentiality ity o f c o mp l a i nan t s . I n f o r m at io n c o ll e c te d s h o u l d be b e r e l e van t , c o rr e c t , c o mp le te , m e an i ng f u l and u s e f u l . This should include: a)
specifying steps for identifying, gathering, classifying, maintaining, storing and disposing ofrecords;
b)
recording its handling of a complaint and maintaining these records, taking utmost care to preserve such items as electronic files and recording media, since records in these media can be lost as a result of mishandling or obsolescence;
c)
keeping records of the type of training and instruction that individuals individuals involved in the complaintsc omplaintshandling process have received;
d) s p e c i f y i ng t h e o r gan i z at i o n’s c r i te r i a f o r r e s p o nd i ng to r e qu e s t s f o r r e c o r d p r e s e nt at i o n and record submissions made by a complainant or their agent; this can include time limits, what kind of information will be provided, to whom, or in what format;
e)
8.2
specifying how and when to the public.
statistical statisti cal non-personally identifiabl identifiable e complaints data are disclosed
Analysis and evaluation of complaints
All complaints complaints should be classified classified and and then analysed to identify systematic,
recurring and
single
incident problems and trends, to help eliminate the underlying causes of complaints, and to identify opportunities for improvement or changes in processes, products and services offered.
8.3
Evaluation Evalua tion of the satisfact satisfaction ion with with the compl complaints-h aints-handlin andling g process process
There should be regular action taken to determine the levels of satisfaction satisfaction of complainants complainants with the complaints-handling complaints-handling process. process. This can take the form of random surveys of complainants complainants and o t h e r te c h n iqu e s . NOTE 1 One method of improving satisfaction with the complaints-handling process is to simulate a contact wi t h a co m p l a i nan t and t he o r g an i z at i o n . N O T E 2 S ee ISO 10004 f o r g u i dan c e o n m o n i to r i n g and m e a s u r i ng c u s to m e r s at i s f ac t io n .
8.4
Monitoring of the complaints-handling process
Continual monitoring of the complaints-h complaints-handling andling process, the resources required (including personnel) , and th e da t a to be be c o ll e c te d s h o u ld be be u nde r t ak e n . The performance of the complaints-handling process should be measured against predetermined criteria (see ).
8.5
Auditing of the complaints-handling process
The organization should regularly perform or provide for audits in order to evaluate the performance of the complaints-handling complaints-handling process. The audit should provide information on: — process conformity to complaintscomplaints-handling handling procedur procedures; es; — p r o c e s s s u i t a b i l i t y and e ff e c t i ve ne ss to ac h ie ve c o mp l a i nt s - h and andll i ng o b j e c ti ve s .
The complaints-handling audit can be conducted as part of the quality management system audit, for example in accordance with ISO 19011. The audit results should be taken into account in the management review to identify problems and introduce improvements in the complaints complaints-handling -handling process. The audit should be carried out by competen competentt individuals indepen independent dent of the activity being au d i te d . F u r t h e r g u idan danc c e o n au d i t i ng i s p p r o v ide d i n .
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8.6
Manage Man agement ment rev review iew of the complai complaints nts-ha -handl ndling ing proces process s
8.6.1 Top manage management ment of the the organiza organization tion shou should ld review review the compla complaints ints-hand -handlin ling g process process on on a regular regular basis in order to to:: — ensure its continuing suitability, adequacy, effectiveness and efficiency; — identify and address address instances of of nonconformity with health, safety, environmental, environmental, customer, statutory, regulatory and other relevant requirements; — identify and correct product and service deficiencies; — identify and correct process deficiencies; — assess risks and opportunities and the need for changes to the complaints-handling process and products produ cts and and services services offered offered;; — evaluate the effectiveness of the actions taken in relation to risks and opportunities; — e va l u ate p p o te nti a l c h an ge s to th e c o mp l a i nt s - h and andll i n g p p o l ic y and o b j e c t i ve s .
8.6.2 8.6 .2
The inpu inputt to to manageme management nt rev review iew sho should uld incl include ude infor informat mation ion on: on:
requirements, competitive practices or — external factors such as changes in statutory and regulatory requirements, technological innovations innovations;; — internal factors such as changes in the policy, obj ectives, organizational structure, resources available, and products and services offered or provided;
complaints-handling ling process, including customer satisfacti satisfaction on — the overall performance of the complaints-hand surveys, and the results of the continual monitoring of the the process; — feedback on the complaints-handling process; — the results of audits; — risks and opportunities, including the related actions; — effectiveness of the actions taken to address risks and opportunities; — the status of corrective actions; — follow up actions from previous management reviews; — r e c o mm e nda t io n s f o r i m p r o ve m e nt .
8.6.3 8.6 .3
The outpu outputt from from the the manage managemen mentt revi review ew shou should ld incl include ude::
— decisions and actions related to improvement of the effectiveness and efficiency of the complaintshandling process; — proposals on product and service improveme improvement; nt; — decisions and actions related to identified resource needs (e.g. training programmes) . Records from management review should be maintained and used to identify opportunities for i m p r o ve m e nt .
8.7 8. 7
Con onti tinu nual al im impr prov ovem emen entt
The organization should continually improve the effectiveness and efficiency of the complaintshandling process. As a result, the organization can continually improve the quality of its products
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and services. This can be achieved through corrective actions, actions taken in relation to risks and o pp o r t u n i t ie s , and i nn o vat i ve i mp r o ve m e nt s . T h e o r g an i z at io n s h o u ld t ak e ac t io n to e l i m i nate t h e causes of existing existing and potential problems problems leading leading to complaints complaints in order order to prevent recurrence and o cc u rr e nce , r e s p e c t i ve l y. T h e o r g an i z at io n s h o u l d: — explore, identify, and apply lessons learned and best practices in complaints handling; — foster a customer-focused approach within the organization; — encourage innovation in complaints-handling development; — recognize exemplary complaints-handling behaviour.
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Annex A (informative) Interrelat Inter relationsh ionship ip of ISO 100 1 0001 01,, this document document,, ISO 1000 10 00 3 and an d ISO ISO 1000 4
i ll u s tr ate s t h e o r g an i z at io n’s p r o c e ss e s r e l ate d to c o de o f c o ndu c t, c o mp l a i nt h and andll i n g , external dispute resolution, and customer satisfaction monitoring and measuring.
be i n i t i ate d b b y a c u s to m e r o r an o th e r c o mp l ai nan t . A c o mp l a i nt c an be
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CUSTOMER’s interest in product or service
SUPPORT
INTERACTION Customer - Organization
CODE o f CONDUCT
based upon
ISO 1 0001
FEEDBACK
END OF INTERACTION
NO
INPUT
COMPLAINT MADE? SUPPORT
YES FEEDBACK
COMPLAINT H ANDLING
CONSIDERATION of CODE of CONDUCT
based upon
ISO 1 0002
INPUT
FILE CLOSED
YES
COMPLAINT RESOLVED?
SUPPORT
NO FEEDBACK
CONSIDERATION of CODE of CONDUCT
DISPUTE
RESOLUTION
based upon
ISO 1 0003
FEEDBACK
INPUT
FILE CLOSED
Figure A.1 — Interrelationship of ISO 10001, this document, ISO 10003 and ISO 1000 4
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Annex B (informative)
Guidance for small business
This document document is desi designed gned for organizatio organizations ns of all si zes . Howev However, er, it is recognized recognized that many smal smaller ler bu si ne ss es will have limited resourc resources es to dedicate to setting up and maintainin maintaining g a complaints-h complaints-handling andling process. This annex highlights key areas where they can focus their attention to achieve maximum effectiveness and efficiency from a simple process. The steps below identify key areas, with suggestions for action in each. — Be open to complaints: have a simple sign on show, or a paragraph on company invoices, saying (see ) , for example: “Your satisfaction is important to us, please tell us if you are not satisfied, we'd like to pu pu t i t r i gh t ”. — Collect and record complaints (see
and ) .
— Acknowledge your receipt of the complaint to the complainant if it is not received in person (a phone call or email is sufficient) (see ) . — Assess the complaint for validity, possible impact and who is the best person to deal with it (see
).
— Resolve as soon as is practically possible, or further investigate the complaint and then make a d ecision about what to do about it and act promptly (see ) . — Give information to the customer about what you intend to do about the complaint, and evaluate the c u s to m e r ’s r e s p o n s e . I s i t l i k e l y t h at t h e ac t i o n w i ll s at i s f y th e c u s to m e r ? I f ye s , th e n m o ve r a p i d l y to take the action the customer reasonably expects, bearing in mind the best practices within your industry (see ) . — When all possible actions have been done in your view to resolve the complaint, tell the customer 's s at i s f ac ti o n, e x p l ai n and r e c o r d t h e o u tc o m e . I f t h e c o mp l ai nt i s s t i ll no t r e s o l ve d to t h e c u s to m e r 's your decision and offer any possible alternative actions (see ) . — Review complaints regularly: a brief periodical review and a more intensive annual review to
establish there are cu any trends, or obvious things could change or put occ oc cur urri ring ng,if , im impr pro ove cust stom ome er se ser rvi vice ce,, or m ake cyou ust stom ome ers m ore or e sa sati tisf sfie ied dright (se see e to stop complaints and th the e complaints tracking in item 6 of ). T h e a b o ve g u idan danc ce i s de s i g ne d f o r e as y i mp le m e nt at i o n . I t c an be va lu a b l e to v i s i t o t h e r s i m i l ar b u s i ne ss e s , p e r h a p s no t do i ng e xac t l y th e s a m e , and s ee h o w t h e y de a l wi t h c u s to m e r s ’ c o mp l a i nt s . Valuable tips and techniques to apply can often be found.
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Annex C (informative)
Form for complainant
The following is a sample sample form containing the principal principal information information which can aid a complainant to p r o v i de t h e k e y de t a i l s r e qu i r e d b b y t h e o r g an i z ati o n to h and andll e t h e co mp l a i nt e ff e c t i ve l y and e f f f ic ie ntl y. 1
Details of complainant
Name/organization Address
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _ ___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Postcode, town
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Country
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Phone
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Fax
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Email
___ ___ __ __ ___ ___ __ __ ___ ___ ___ __ ___ __ ___ _
Details of person acting on behalf of complainant (if applicable) __ ___ __ __ ___ ___ ___ ___ __ ___ ___ __ ___ __ ___ __ ___ ___ __ ___ ___ ___ _
Details of person to be contacted (if different from above) __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _
2 Product description / service description
Reference number (if known or applicable)
__ ___ ___ ___ __ ___ __ __ Description __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __
3 Problem encountered
Date of occurrence
___ ___ ___ ___ ___ __ __ ___ ___ __ __ ___ ___ __ __ _ Description __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __
4 Remedy requested Yes
No
__ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __
5 Date, signature Date 6
__ __ ____ __ ___ ___ __ ___ _
Signature __________________
Enclosure
List of enclosed documents __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _
__ __ __ __ __ __ __ __ __
__ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _
__ __ __ __ __ __ __ __ __ _____
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Annex D
(informative) Objectivity
D .1
G e ne r a l
The principles for objectivity in the complaints-handling process include the following. a) O p e nn e ss : we ll pu pu b l ic i z e d , acc e ss i b b le and u nde r s too d b b y t h o s e i nvo l ve d i n a c o mp l a i nt . T h e p p r o c e ss s h o u ld be b e c l e ar and we ll pu pu b l ic i z e d s o t h at b b o t h p p e r s o nn e l and c o mp l a i nan t s c an f o ll o w t h e m . b)
Impartiality: avoiding any bias in dealing with the complainant, the person complained against, or Impartiality: e de s i g ne d to p r o te c t th e p e r s o n c o mp l a i ne d ag a i n s t f r t h e o r g an i z at i o n . T h e p r o c e ss s h o u l d b be r o m h a s i s s h o u l d be p l ac e d o n s o l v i ng t h e p r o b l e m and no t o n a ss ig ni ng an y b i a s e d tr e at m e nt . E m p ph b l a m e . I f a c o mp l a i nt i s m ade a b o u t p e r s o nn e l , t h e i nve s t i gatio n s h o u ld be c a rr ie d o u t i nde p e nde nt l y.
c) C o n f i de n ti a l i ty: t h e p r o c e ss s h o u l d be de s ig ne d to p r o te c t t h e c o mp l ai nan t ’s and c u s to m e r ’s
identity ident ity,, as far as is reas reason onabl ably y pos possi sible ble.. Thi Thiss aspec t is ver very y im impor portan tantt to avo avoid id det deterr erring ing pos possib sible le complaints from people who might be afraid that giving details could lead to inconvenience or d i s c r i m i na t i o n . d) Accessibility: Accessibility: the organization should allow the complainant access ac cess to the complaints-han complaints-handling dling be r e ad i l y p r o c e ss at an y r e as o na b l e p p o i nt o r t i m e . I n f o r m at io n a b o u t t h e co mp l ai nt s p p r o c e ss s h o u ld be ava i l a b l e i n c le ar l an g u a ge and i n f o r m at s acc e ss i b b l e to a ll c o mp l a i nan t s . W h e n a c o mp l a i nt a ff e c t s different supply chain participants participants,, a plan to coordinate a j oint response should be made. The process should allow any informati information on arising from the complaints to be known by any suppliers of t h e o r gan i z at i o n t h at a r e co nc e r ne d b b y t h e c o mp l ai nt s o t h at t h e y a r e a b l e to m ak e i mp r o ve m e nt s . e) Completeness: finding out the relevant facts, talking to people from both sides involved in complaint to establish a common ground and verify explanations, whenever possible. f )
the
Equit Equ itabi abilit lity: y: giving giving equ equal al treatm treatment ent to all peopl people. e.
g ) Sensitivity: each case should be considered on its its merits, paying due due care to individual differences, and nee d s and e x p e c t ati o n s .
D.2
Obj bjec ecttiv ivit ity y fo forr per perso sonn nnel el
C o m p l a i nt s - h and andll i ng p p r o c e du r e s s h o u ld e n s u r e th at t h o s e c o m p l ai ne d aga i n s t a r e t r e ate d o b j e c ti ve l y. This implies:
— informing them immediately and completely on any complaint about their performance; — giving them the opportunity to explain the circumstances and allowing them appropriate support;
ee p i ng th e m i n f o r m e d o f t h e p — k ee p r o g r e ss i n t h e i nve s t i gat io n o f th e c o mp l ai nt and t h e r e s u l t . It is vital that those against whom a complaint has been made are given full details of the complaint be f o r e t h e y a r e i nte r v i e we d . H o we ve r , co n f ide nt i al i t y s h o u l d be be o b s e r ve d . Personnel should be reassured that they are supported by the process. Personnel should be encouraged to lear learn n from the comp complain laints-h ts-handl andling ing exper experience ience and to devel develop op a bett better er understan understanding ding of the c o mp l a i nan t p p e r s p e c t i ve s .
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D.3
Separat Sep arating ing com compla plaints ints-han -handli dling ng proc procedur edures es from discip disciplin linary ary pro procedu cedures res
Complaints-handling procedures should be separated from disciplinary procedures.
D.4
Confidentiality
In addition to ensuring complainant confidentiality, the complaints-handling process should ensure confidentiality in the case of complaints against personnel. The details of such complaints should be confidentiality known only by those directly concerned. H o we ve r , i t i s i mp o r t an t t h at c o n f ide nt i a l it y i s no t u s e d as an e xc u s e to avo id de a l i ng wit h a c o mp l a i nt .
D.5 D. 5
Obj bjec ecti tivi vity ty mon onit itor orin ing g
O r g an i z at i o ns s h o u ld m o n i to r t h e r e s p o n s e s to c o mp l a i nt s to e n s u r e c o mp l a i nt s a r e h and andlle d o b j e c t i ve l y.
Measures may include: — a regular monitoring (e.g. monthly) of resolved complaint cases selected at random; — surveys of complainants, asking them if they were treated in an objective manner.
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Annex E (informative) Complaints-handling flowchart
i ll u s t r ate s t h e s te p s o f h and andll i ng i nd i v i du a l c o mp l a i nt s .
Figure E.1 — Complaints-handling flowchart
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Annex F (informative) Complaint follow-up form
The following following is a sample form (for internal use only) , containing the principal information which can ai d th e o r gan i z at i o n i n f o ll o wi ng up o n a c o mp l ai nt . 1 Details of complaint receipt Date of o f complaint
_____________________________________
Time of complaint
_____________________________________
Name of recipient
__ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ _
C om p l a i n t m e d i u m
P ho n e
Email
Postal mail
Others
Unique identifier code
_____________________________________
2 Details of complainant
See form for complainant Reference number of complaint Relevant data on complaint Complaint referred by 3 Problem encountered
Date of problem Recurrent problem Problem category 1
Yes
Product not delivered
2
Service not provided/partially provided
3
Delay in delivering product Duration of delay: __ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ___ _
4
Delay in providing service Duration of delay: __ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ___ _
5
Defective product
Internet
No
Personal
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6
Poor service Details: __ __ __ __ __ __ __ __ __ __ __ __ __ _ ____ __ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ _ ____ __ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ___ _
7
Product not in conformity with order
8
Products not ordered
9
Damage suffered
10
Refusal to honour the guarantee
11
Refusal to sell
12
13
Commercial practices/sales methods
14
Incorrect information
15
Inadequate information
16
Payment arrangements
17
Price
18
Price increase
19
Supplementary charges
20
Unjustified costs/billing
21
Terms of contract
22
Coverage of contract
23
Assessment of damage
24
Refusal to pay compensation
25
Inadequate compensation
26
Modification of contract
27
Poor performance of contract
28
C an anc c e ll at i o n/ r r e s c i ss i o n o f c o nt r ac t
29
Cancellation of service
30
Loan reimbursement
31
Interest demanded
32
33
34
Refusal to provide service
Failure to honour commitments
Incorrect invoicing
Undue delay in dealing with a complaint
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35
Other type of problem:
____ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ __ ____ __ __ __ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ __ _____ __ ___ __ _____ ___ __ _____ ___ ___ ___ __ _____ ___ __ _____ ___ __ _____ ___ ___ ___ ___ __ _____ ___ ___ ___ ___ __ ____ __
Additional information: ____ __ __ __ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ __ ____ __ __ __ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ __ ____ __ __ __ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ___ _
4 Complaint assessment Evaluate the scope and severity s everity of the actual and potential effects of the complaint: Severity: ________________________________________________________________ ____ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ___ _ Complexity: __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ ____ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ___ _ Impact: _________________________________________________________________ ___ ___ ___ ___ __ _____ ___ ___ __ _____ ___ __ _____ ___ ___ ___ ___ __ _____ ___ ___ ___ ___ __ _____ ___ __ _____ ___
Safety concern?
Yes
No
Need for immediate action
Yes
No
Availability of of immediate action
Yes
No
Likelihood of o f compensation
Yes
No
5 Complaint resolution
Remedy requested
Yes
Action to be taken 36
Delivery of the product
37
Repair/rework of the product
38
Exchange of the product
39
Cancellation of sale
40
Enforcement of the guarantee
41
Honouring of commitments
42
Conclusion of a contract
43
C an anc c e ll ati o n/ r r e s c i s s i o n o f c o nt r ac t
No
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44
Cancellation of invoice
45
Information
46
Correction of assessment of damage
47
Payment of an indemnification in the sum of: __ __ __ __ __ __ __ __ __ __ __ __ __ __
48
Reimbursement of a down payment in the amount of: _____________________
49
Reimbursement of other payments effected in the amount of: __ __ __ __ __ __ __ _
Price rebate in the amount of: __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ___ _
51
Payment facilities
52
53
50
Apology Other action:
____ __ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ __ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ ____ ____ ____ __ __ ____ ____ __ __ ____ ___ _
6 Complaint tracking Action taken Complaint acknowledged to complainant Complaint assessment Investigation Investigati on of complaint Resolution of complaint Information to complainant Correction Correction verified Complaint closed
Date
Name
Remarks
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Annex G (informative) Responses
T h e o r g an i z at io n’s p p o l ic y o n th e p p r o v i s io n o f r e s p o n s e s c an i ncl u de : — refunds; — replacement; — r e p a i r / / r r e wo r k k; — substitutes; — technical assistance; — information; — referral; — financial
assistance;
— other assistance; — compensation; —
apology;
— goodwill gift or token; — i nd ic at io n o f c h an ge s i n p p r o du c t s , s e r v ic e s , p p r o ce s s e s , p p o l ic ie s , o r p p r o c e du r e s a r i s i ng f r r o m c o mp l ai nt s . Issues to be considered can include:
— addressing all aspects of the complaint; — following-up where appropriate; — whether it is appropriate to offer remedies to others who might have suffered in the same way as the complainant but did not make a formal complaint; — level of authority for the various responses; — disseminatio dissemination n of the information to the relevant personnel.
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Annex H (informative)
Escalation flowchart
i s an e s c a l at io n f lo wc h a r t .
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Figure H.1 — Escalation flowchart
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Annex I (informative)
Continual monitoring
I .1
G e ne r a l
This annex is a generic guide for effective and efficient continual monitoring of the complaints-handling p r o ce ss . T h e a pp r o ac h ado p te d s h o u ld be b e a p pp p r o p r i ate to t h e t yp e and s i z e o f t h e o r gan i z atio n .
I.2
Man ana agem eme ent
responsibi billity
It is vital to ensure that those responsible for monitoring and reporting on the performance of the complaints-handling process and for taking corrective actions are competent for this role. The following are some of the types of responsibilities that can be considered. a)
Top management should: — define the monitoring obj ectives; — define the monitoring responsibilities; — conduct reviews of the monitoring process; — e n s u r e t h at i mp r o ve m e nt s a r e i mp le m e nte d .
b)
The complaints-handling management representative should: — establish a process of performance monitoring, evaluation, and reporting; — report to top management on the performance revealed during the complaints-handling complaints-handling process reviews, so that all necessary improvements can be made.
c)
Other managers involved in the complaints in the organization should ensure that: — adequate monitoring of the complaints-handling process is undertaken and recorded within their area of responsibil responsibility; ity; — corrective action is taken and recorded within their area of responsibility; — adequate complaints-handling complaints-handling data are available for the top manageme management nt review of the m o n i to r i ng p p r o c e ss w it h i n t h e i r a r e a o f r e s p o ns i b b i l i t y.
I.3 I. 3
Perf Pe rfor orma manc nce e mea measu sure reme ment nt an and d mo moni nito tori ring ng
I .3 . 1
G e n er a l
The organization should as se ss and monitor the performance of the complaints-handling complaints-handling process using a s e t o f p p r e de te r m i ne d c r i te r i a. Organizational processes, products and services differ widely, as do t he performance-monitoring c r i te r i a a pp r o p r i ate to t h e m . O r gan i z at i o n s s h o u l d de ve l o p p e r f f o r m an anc c e -m o n i to r i ng c r i te r i a r e l e van t t o t h e i r p c e s . E xa m p l e s ar e g i ve n i n . p a r t ic u l a r c i r c u m s t an anc
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I.3.2
Perf Pe rfor orma manc ncee-mo moni nito tori ring ng
criteri crite ria a
Examples of criteria that can be considered and included when monitoring the performance of the complaints-handling complaints -handling process include: — whether a complaints-handl complaints-handling ing policy and obj ectives ectives has been established, maintained, maintained, and made appropriately available; — personne personnell perceptio perception n of the top manageme management nt commitment to complaints handling; — whether responsibilities for complaints handling have been appropriately assigned; — whether personnel in contact with customers are authorized to resolve complaints on the spot; — whether discretionary limits concerning responses have been set for personnel in contact with customers; — whether personnel specialized in complaints handling have been appointed; — the proportion of personnel in contact with customers who are trained in complaints handling; — the effectiveness and efficiency of complaints-handling training; — the number of suggestions from personnel to improve complaints handling; — attitude of personne personnell to complaints handling; — frequency of complaints-handling audits or management reviews; — time taken to implement recommendations from complaints-handling audits or management reviews; — time taken to respond to complainants; — degree of complainant satisfaction;
corrective actions and actions taken in — effectiveness and efficiency of the processes required for corrective r e l at i o n to r i s k s and o pp o r t u n i t i e s , wh e n a pp r o p r i ate .
I.3.3 I.3 .3
Mon oniitor oriing data
The monitoring of data is important since it provides a direct indicator of complaints-handl complaints-handling ing performance. perform ance. Monitoring data can c an include the number or proportions pro portions of: — complaints received; — complaints resolved at the point at which they are made, — complaints incorrectly prioritized; — complaints acknowledged after agreed time; — complaints resolved after agreed time; — co comp mpla lain ints ts ref refer erre red d to exte extern rnal al met metho hods ds of of re reso solu luti tion on (se (see e
);
— repeat complaints or recurrent problems that have not been complained about; — i mp r o ve m e nt s i n p p r o ce du r e s du e to c o mp l a i nt s .
Careful attention should be exercised in data interpretation because: — objective data, data, such as response times, can show how well the the process is working but might not provide informatio information n about abo ut complainant compla inant satisfaction; satisf action;
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—
an increase in the number of complaints compla ints after the introductio introduction n of a new complaintscomplaints-handling handling process can reflect an effective process rather than poor products and services.
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Annex J (informative) Audit
The organ organizat ization ion shou should ld cont continua inually lly impro improve ve the effec effective tiveness ness and effi efficienc ciency y of its comp complain laintstshandling hand ling process. process. For this reason, reason, proc process ess performance performance and outcomes should should be regul regularly arly monitored monitored to identify and remove causes of existing and potential problems, as well as to uncover any opportunit opportunities ies f o r i mp r o ve m e nt . T h e m a i n o b j e c ti ve o f a co mp l ai nt s - h and andll i ng au d i t i s to f ac i l i t ate i mp r o ve m e nt b y p r o v id i ng i nf o r m at io n o n t h e p e r f fo r m an c e o f th e co m p l ai nt s - h and anc andll i ng p r o c e ss a ga i n s t s t ate d c r i te r i a . Such criteria can include various policies, procedures and standards related to complaints handling. When examining examining the the performance of the complaints-h complaints-handling andling process, the audit evaluates the extent extent to which the process conforms to the stated criteria, as well as the suitabil suitability ity of the process to ac h i e ve o b j e c t i ve s . For example, an audit can be implemented to assess: — th e c o n f o r m i t y o f c o m p l a i nt s -h and andll i n g p p r o c e du r e s wi th th e o r g an i z at io n’s p p o l ic y and o b j e c t i ve s ; — the extent to which complaints-handling procedures are being followed; — the ability of the existing complaints-handling process to achieve obj ectives; — strengths and weaknesses of the complaints-h complaints-handling andling process; — o pp o r t u n i ti e s f o r i m p r o ve m e nt i n t h e c o m p l ai nt s - h and andll i ng p p r o c e ss and i t s o u tc o m e s .
The complaints-ha complaints-handling ndling audit can be planned and conducted as part of the quality management system au d i t . Fo r m o r e i n f o r m at i o n o n m ana ge m e nt s ys te m au d i t i n g , o r gan i z at i o n s s h o u ld co n s u lt ISO 19011 .
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[2]
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