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1、 AMERICAN NATIONAL STANDARD Quality management Customer satisfaction Guidelines for complaints handling in organizations AMERICAN SOCIETY FOR QUALITY P.O. BOX 3005 MILWAUKEE, WI 53201-3005 ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee
2、=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale
3、, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- AMERICAN NATIONAL STANDARD Quality management Customer satisfaction Guidelines for complaints handling in organizations Approved as an American National Standard by: American Society for Quality April 14,
4、 2006 American National Standards: An American National Standard implies a consensus of those substantially concerned with is scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public. The existence of an American Nationa
5、l Standard does not in any respect preclude anyone, whether he or she has approved the standard or not, from manufacturing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards are subject to periodic review and users are cautioned to ob
6、tain the latest edition. Caution Notice: This American National Standard may be revised or withdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffirm, revise, or withdraw this standard no later than five years from the date of publicat
7、ion. Purchasers of American National Standards may receive current information on all standards by calling of writing the American National Standards Institute. ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, U
8、ser=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- 2006 by ASQ Copyright Protection Notice for the ANSI/ISO/ASQ Q10002-2004 Standard. This standard is subject to copyright claims of ISO, ANSI, and ASQ. Not for resale. No par
9、t of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written permission of ASQ. All requests pertaining to the ANSI/ISO/ASQ Q10002-2004 Standard should be submitted to ASQ. Note: As used in this document, the term “International Standard” r
10、efers to the American National Standard adoption of this and other International Standards. ASQ will consider requests for change and information on the submittal of such requests regarding this Standard. All requests should be in writing to the attention of the Standards administrator at the addres
11、s below. ASQ Mission: The American Society for Quality advances individual and organizational performance excellence worldwide by providing opportunities for learning, quality improvement, and knowledge exchange. Published by: ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided
12、by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- Also available from ASQ Quality Press: The Certified Manager of Quality/Organizational Excellence Handbook,
13、 Third Edition Russell T. Westcott, editor The Quality Toolbox, Second Edition Nancy R. Tague The Quality Improvement Handbook, Second Edition ASQ Quality Management Division and John E. Bauer, Grace L. Duffy, Russell T. Westcott, editors Making Change Work: Practical Tools for Overcoming Human Resi
14、stance to Change Brien Palmer Business Performance through Lean Six Sigma: Linking the Knowledge Worker, the Twelve Pillars, and Baldrige James T. Schutta How to Audit the Process-Based QMS Dennis R. Arter, Charles A. Cianfrani, and John E. (Jack) West Unlocking the Power of Your QMS: Keys to Busine
15、ss Performance Improvement John E. (Jack) West and Charles A. Cianfrani Root Cause Analysis: Simplified Tools and Techniques, Second Edition Bjrn Andersen and Tom Fagerhaug The Practical Guide to People-Friendly Documentation Adrienne Escoe, Ph.D. Avoiding the Corporate Death Spiral: Recognizing and
16、 Eliminating the Signs of Decline Gregg Stocker To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http:/qualitypress.asq.org. ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ License
17、e=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- (This page is intentionally left blank.) Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/11
18、11111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- iii Contents Page 1Scope 1 2Normative references 1 3Terms and definitions 1 4Guiding principles . 2 4.1General . 2 4.2Visibility 3 4.3Accessibility 3 4.4Responsiv
19、eness 3 4.5Objectivity 3 4.6Charges 3 4.7Confidentiality . 3 4.8Customer-focused approach 3 4.9Accountability 3 4.10Continual improvement 3 5Complaints-handling framework 4 5.1Commitment 4 5.2Policy 4 5.3Responsibility and authority 4 6Planning and design 5 6.1General . 5 6.2Objectives 5 6.3Activiti
20、es 6 6.4Resources 6 7Operation of complaints-handling process . 6 7.1Communication . 6 7.2Receipt of complaint . 6 7.3Tracking of complaint . 7 7.4Acknowledgement of complaint 7 7.5Initial assessment of complaint . 7 7.6Investigation of complaints 7 7.7Response to complaints . 7 7.8Communicating the
21、 decision . 7 7.9Closing the complaint . 7 8Maintenance and improvement 7 8.1Collection of information 7 8.2Analysis and evaluation of complaints . 8 8.3Satisfaction with the complaints-handling process . 8 8.4Monitoring of the complaints-handling process 8 8.5Auditing of the complaints-handling pro
22、cess 8 ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- iv 8.6Management review of
23、the complaints-handling process . 9 8.7Continual improvement . 9 Annex A (informative) Guidance for small businesses . 10 Annex B (informative) Form for complainant . 11 Annex C (informative) Objectivity . 12 Annex D (informative) Complaint follow-up form 14 Annex E (informative) Responses . 17 Anne
24、x F (informative) Escalation flowchart . 18 Annex G (informative) Continual monitoring . 20 Annex H (informative) Audit . 22 Bibliography . 23 ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie N
25、ot for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- v Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards i
26、s normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take par
27、t in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to p
28、repare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility tha
29、t some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 10002 was prepared by Technical Committee ISO/TC 176, Quality management and quality assurance, Subcommittee SC 3, Supporting technologies
30、. NOTEISO 10002 was circulated for vote as DIS 10018. ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitted without lic
31、ense from IHS -,-,- vi Introduction 0.1General This International Standard provides guidance for the design and implementation of an effective and efficient complaints-handling process for all types of commercial or non-commercial activities, including those related to electronic commerce. It is int
32、ended to benefit an organization and its customers, complainants and other interested parties. The information obtained through the complaints-handling process can lead to improvements in products and processes and, where the complaints are properly handled, can improve the reputation of the organiz
33、ation, regardless of size, location and sector. In a global marketplace, the value of an International Standard becomes more evident since it provides confidence in the consistent treatment of complaints. An effective and efficient complaints-handling process reflects the needs of both the organizat
34、ions supplying products and those who are the recipients of those products. NOTEThroughout the text of this International Standard, wherever the term “product” is used, it can also mean “service”. The handling of complaints through a process as described in this International Standard can enhance cu
35、stomer satisfaction. Encouraging customer feedback, including complaints if customers are not satisfied, can offer opportunities to maintain or enhance customer loyalty and approval, and improve domestic and international competitiveness. Implementation of the process described in this International
36、 Standard can provide a complainant with access to an open and responsive complaints-handling process, enhance the ability of the organization to resolve complaints in a consistent, systematic and responsive manner, to the satisfaction of the complainant and the organization, enhance the ability of
37、an organization to identify trends and eliminate causes of complaints, and improve the organizations operations, help an organization create a customer-focused approach to resolving complaints, and encourage personnel to improve their skills in working with customers, and provide a basis for continu
38、al review and analysis of the complaints-handling process, the resolution of complaints, and process improvements made Organizations may wish to use the complaints-handling process in conjunction with customer satisfaction codes of conduct and external dispute resolution processes. 0.2Relationship w
39、ith ISO 9001:2000 and ISO 9004:2000 This International Standard is compatible with ISO 9001 and ISO 9004 and supports the objectives of these two standards through the effective and efficient application of a complaints-handling process. It can also be used independently of them. ISO 9001 specifies
40、requirements for a quality management system that can be used for internal application by organizations, or for certification, or for contractual purposes. The process for complaints handling described in this International Standard can be used as an element of a quality management system. This Inte
41、rnational Standard is not intended for certification or for contractual purposes. ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or netw
42、orking permitted without license from IHS -,-,- vii ISO 9004 provides guidance on continual improvement of performance. The use of ISO 10002 can further enhance performance in the area of complaints handling and increase the satisfaction of customers and other interested parties. It can also facilit
43、ate the continual improvement of the quality of products based on feedback from customers and other interested parties. ANSI/ISO/ASQ Q10002-2004 Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/20
44、07 09:26:11 MDTNo reproduction or networking permitted without license from IHS -,-,- . viii Copyright American Society for Quality Provided by IHS under license with ASQ Licensee=IHS Employees/1111111001, User=Wing, Bernie Not for Resale, 04/18/2007 09:26:11 MDTNo reproduction or networking permitt
45、ed without license from IHS -,-,- INTERNATIONAL STANDARD ANSI/ISO/ASQ Q10002-2004 1 Quality management Customer satisfaction Guidelines for complaints handling in organizations 1Scope This International Standard provides guidance on the process of complaints handling related to products within an or
46、ganization, including planning, design, operation, maintenance and improvement. The complaints- handling process described is suitable for use as one of the processes of an overall quality management system. This International Standard is not applicable to disputes referred for resolution outside th
47、e organization or for employment-related disputes. It is also intended for use by organizations of all sizes and in all sectors. Annex A provides guidance specifically for small businesses. This International Standard addresses the following aspects of complaints handling: a)enhancing customer satisfaction by creating a customer-focused environment that is open to feedback (including complaints), resolving any complaints received, and enhancing the organizations ability to improve its product and customer service; b)top management involvement and commitment through adequa