Quality Management Customer Satisfaction Organization Complaint Handling Guide

Quality Management Customer Satisfaction Guidelines for Complaints Handling in Organizations
Quality management-Customer satisfaction- Guidelines for complaints handling in organizations
 

Preface

The International Organization for Standardization (ISO) is a worldwide federation composed of national standardization bodies (ISO member bodies). The work of developing international standards is usually carried out by ISO technical committees. Any member body interested in a project established by a technical committee has the right to participate in the work of that committee. Various international organizations (official or unofficial) maintaining contact with ISO may also participate in the relevant work. In the field of electrotechnical standards, ISO maintains close cooperation with the International Electrotechnical Commission (IEC).
International standards are drafted in accordance with the rules of Part 2 of the ISO/IEC Directives. Draft international standards approved by the technical committees are submitted to the member bodies for voting and require approval by at least 75% of the member bodies casting a vote to be published as international standards. Some content in this international standard may involve patent rights, which should be noted. ISO is not responsible for identifying any such patent rights.
ISO10002 is developed by ISO/TC176/SC3 Quality management and quality assurance technical committee/support subcommittee.
Note: ISO10002 is the result of the ISO/DIS10018 draft standard after voting.

Introduction

0.1 Overview
This international standard provides guidelines for establishing and implementing effective complaint handling procedures. The scope of complaints includes various commercial and non-commercial or e-commerce related activities, aiming to provide a basis for complaints from organizations and their consumers, complainants, and other related parties.
Information obtained from the complaint handling process can effectively promote improvements in products and processes, regardless of the organization's size, geographic location, or environment. If complaints are handled effectively, the organization's reputation can be enhanced. This international standard provides a uniform approach in the global market, highlighting its importance.
Effective and efficient complaint handling reflects the common needs of sellers and buyers.
Note: Throughout the international standard, the term "product" also includes the meaning of "service."
Handling complaints according to the procedures provided by the international standard can improve user satisfaction. If consumers are dissatisfied, they are encouraged to provide feedback on products, including complaints, which helps maintain and enhance consumer trust and support for the products, and strengthens domestic and international competitiveness.
This international standard can fulfill the following procedures:
—— Provide complainants with an open and result-oriented complaint handling process;
—— Improve the organization's ability to coordinate, systematize, and promptly resolve complaints to satisfy both complainants and the organization;
—— Enhance the organization's ability to clarify direction, reduce disputes, and promote normal operation;
—— Create a consumer-centered complaint handling philosophy and encourage employees to improve communication skills with consumers;
—— Provide a basis for continuous evaluation and analysis of the complaint handling process, complaint resolution, and process improvement. Organizations are expected to combine the complaint handling process with customer satisfaction behavior rules and external dispute resolution methods.
0.2 Relationship of this international standard with ISO9001:2000 and ISO9004:2000
This international standard is coordinated with ISO9001 and ISO9004 standards, achieving the objectives of these two standards through the use of effective and efficient complaint handling processes. Of course, this standard can also be used independently.
ISO9001 specifies clear requirements for quality management systems, which can be applied internally within organizations, for certification, or for contractual purposes. The complaint handling process in this international standard can serve as a component of a quality management system that meets ISO9001 requirements.
This standard is not applicable for certification or contractual purposes.
ISO9004 provides guidance for continuous performance improvement. The application of ISO10002 can further enhance the performance of the complaint handling process and improve the satisfaction of customers and other related parties.
Quality management--Customer satisfaction--Guidelines for complaints handling in organizations
1 Scope
This international standard provides guidelines for complaint handling procedures related to products within organizations, including the arrangement, design, operation, maintenance, and improvement of procedures, and can serve as a component of an integrated quality management system.
This international standard is not applicable to resolving disputes outside the organization, nor to resolving occupational disputes. The complaint handling procedures provided by this international standard are applicable to organizations and departments of all sizes. Appendix A provides guidelines specifically for complaint handling procedures in small businesses.
This international standard addresses the following aspects of complaint handling:
a) Three effective ways to improve customer satisfaction: creating a customer-centered environment with open feedback on products, resolving all accepted complaints, and enhancing the organization's ability to improve products and services;
b) Top management and committees will reasonably utilize and allocate resources, including personnel training;
c) Understanding the needs and expectations of complainants;
d) Providing complainants with an open, effective, and convenient complaint procedure;
e) Improving product and customer service quality through analysis and evaluation of complaints;
f) Reviewing the complaint handling procedures;
g) Evaluate the effectiveness and efficiency of the complaint handling procedure. This international standard does not reduce the powers or obligations granted by relevant laws or regulations.
2 Referenced Standards
The following documents are referenced standards to be used in conjunction. The provisions contained in the following standards are incorporated into this standard by reference. The versions shown at the time of publication of this standard (including amendments) are valid.
ISO9000:2000 Quality Management Systems — Fundamentals and Vocabulary
3 Terms and Definitions
The terms and definitions in ISO9000 remain applicable in this international standard.
Note: In the definition of clause 3.4.2 of ISO9000:2000, "product" is defined as "the result of a process." It includes four categories of products:
services, software, hardware, and process materials. The term "product" in this international standard includes the meaning of "service."
3.1 Complainant
An individual, organization, or their agent who submits a complaint.
3.2 Complaint
An expression of dissatisfaction by a consumer to an organization due to product quality or the complaint handling itself not meeting consumer expectations.
3.3 Customer
An individual or organization receiving a product.
For example: consumer, customer, end user, owner, beneficiary, and purchaser.
[ISO9000:2000 clause 3.3.5]
3.4 Customer Satisfaction
Recognition of the degree to which customer needs are satisfied.
Note: According to the definition in ISO9000:2000 clause 3.1.4, the annotation is canceled.
3.5 Customer Service
The interaction between the organization and the consumer throughout the product lifecycle.
3.6 Feedback
Opinions, comments, or statements regarding the product or complaint handling procedure.
3.7 Interested Party
Individuals or groups interested in the operation and performance of the organization.
Note: According to the definition in ISO9000 clause 3.3.7, examples and annotations are canceled.
3.8 Objective
The purpose expected to be achieved by complaint handling.
3.9 Policy
The overall principles and objectives regarding the organization's complaint handling formally established by top management.
3.10 Process
A series of related or interacting activities that transform acceptance into results.
Note: According to the definition in ISO9000 clause 3.4.1, the annotation is canceled.
4 Guiding Principles
4.1 General
Fully implement the guiding principles presented in clauses 4.2 to 4.10 of this standard to ensure effective complaint handling.
4.2 Transparency
Information on how and where to complain must be made public to consumers, employees, and other relevant personnel.
4.3 Accessibility
The complaint handling procedure applies to all complainants. Relevant information for making and resolving complaints should be easily accessible. Supporting information for the complaint handling procedure should be easy to understand and use, with clear and simple language. Regardless of the language or form of the product, such as outdoor advertising, Braille, or tapes, the operability of the relevant information is required (see Appendix B) to avoid placing complainants at a disadvantage.
4.4 Responsiveness
Each complaint must be promptly acknowledged to the complainant upon receipt, and actions should be taken quickly according to the urgency of the complaint. For example, complaints involving significant health and safety issues should be handled immediately. Treat complainants kindly and keep them informed of the progress of complaint handling in a timely manner.
4.5 Fairness
Complaint handling should be fair, impartial, open, and reasonable. (See Appendix C)
4.6 Costs
For complainants, the entire complaint handling process should be free of charge.
4.7 Confidentiality
Unless consent is obtained from the consumer or complainant, their personal information may only be used when the organization is handling the complaint. In other cases, the identity of the complainant must be kept confidential.
4.8 Customer-Centered Philosophy
The organization should be able to establish a customer-centered philosophy, openly feedback opinions including complaints, and reflect its obligation to resolve complaints through actions.
4.9 Accountability
An organization should clearly establish responsibility and reporting systems regarding complaint handling actions and decisions.
4.10 Continuous Improvement
Continuous improvement of the complaint handling process and ongoing enhancement of product quality should be a perpetual goal for an organization.
5 Basic Framework for Complaint Handling
5.1 Responsibilities
The organization has an unshirkable responsibility to handle customer complaints effectively and efficiently. The top management of the organization should attach great importance to this.
Employees and customers' feedback on complaints helps improve the organization's products and production processes, which is the responsibility of both parties.
Responsibility.
The sense of responsibility for complaint work is reflected in allowing employees and consumers to contribute to the improvement of the organization's products and processes.
Contributions should be reflected in the adoption and implementation of complaint resolution policies and procedures. The management's responsibility is to provide appropriate resources for the organization, including training.
5.2 Policy
Top management should establish a clear customer-centered complaint handling policy, which all staff, consumers, and other relevant personnel need to understand and be able to fully apply.
The objectives and procedures for each responsibility in the complaint handling process, as well as the roles of employees, must support this policy. When establishing related policies and objectives for complaint handling procedures, the following factors must also be considered:
— Any relevant legal requirements;
— Financial operations and organizational requirements;
— Opinions of consumers, employees, and other relevant personnel.
Policies related to quality and complaint handling should be consistent.
5.3 Rights and Obligations
5.3.1 Top management must:
a) Establish complaint handling procedures and objectives according to the organization's respective functions;
b) Ensure that the preparation, design, execution, maintenance, and continuous improvement of complaint handling procedures are consistent with the organization's complaint handling policy;
c) Identify and allocate management resources for the effective and efficient implementation of complaint handling procedures;
d) Ensure the organization's awareness of complaint handling and customer-centered needs;
e) Communicate relevant information about complaint handling procedures to consumers, complainants, and other directly related parties in an easy-to-understand manner (see Appendix C);
f) Appoint a complaint handling management representative who, in addition to possessing the powers and obligations described in 5.3.2, should have clearly defined powers and obligations;
g) Ensure a rapid and effective notification procedure to promptly inform top management of complaints with significant impact;
h) Regularly evaluate complaint handling procedures to ensure their effective and efficient continuous improvement.
5.3.2 The complaint handling management representative is responsible for the following:
a) Establishing procedures for execution supervision, evaluation, and reporting;
b) Reporting suggestions for improvement of complaint handling procedures to top management;
c) Maintaining the effective and efficient operation of complaint handling procedures, including recruiting and training appropriate staff, providing technology, necessities, documentation, environment, deadlines for achieving goals, and other requirements and procedure evaluations.
5.3.3 Other management personnel involved in complaint handling must ensure and be responsible within their scope of duties for the following:
a) Ensuring the execution of complaint handling procedures;
b) Establishing liaison with the complaint handling management representative;
c) Ensuring the organization's awareness of complaint handling and customer-centered needs;
d) Ensuring that information related to complaint handling procedures is easily accessible;
e) Report opinions on complaint handling;
f) Ensure supervision and recording of the complaint handling process;
g) Ensure corrective actions are taken to prevent similar incidents from recurring and being recorded again;
h) Ensure that the complaint handling data used for top management evaluation is useful.
5.3.4 All personnel in contact with customers and complainants must:
- Have received relevant training on complaint handling;
- Comply with the organization's established requirements for complaint handling reports;
- Treat customers kindly, respond promptly to their complaints or forward their complaints to designated personnel;
- Must possess good interpersonal and communication skills.
5.3.5 All staff must:
- Confirm their roles, responsibilities, and rights in complaints;
- Clearly understand the procedures to follow and what information can be provided to the complainant;
- Report complaints that have significant impact on the organization to superiors.
6 Arrangement and Design
6.1 General Principles
The organization should arrange and design an effective customer complaint handling procedure to enhance customer trust and user satisfaction, and improve the quality of existing products to comply with complaint handling principles and achieve objectives. An organization should consider best practices from other organizations regarding complaint handling.
6.2 Objectives
Top management must ensure that complaint handling objectives are established at relevant functions and levels within the organization. Complaint handling objectives must be measurable and consistent with the complaint handling policy. These objectives should be scheduled according to detailed process requirements.
6.3 Actions
Top management must ensure the implementation of complaint handling program plans to maintain and improve user satisfaction. Complaint handling procedures should be consistent with other quality management systems.
6.4 Resources
To ensure the effective and efficient operation of the complaint handling procedure, top management should assess the required resources and provide them as needed. These resources include personnel, training, procedures, documents, expert support, equipment, computer hardware and software, and funding.
The selection, staffing, and training of personnel are very important in the complaint handling process.
7 Operation of the Complaint Handling Procedure
7.1 Communication
Relevant information about the complaint handling procedure, such as manuals, leaflets, and electronic information, should be easily accessible to consumers, complainants, and other related personnel. This information should be presented in clear and understandable language and reasonable formats to ensure complainants are not disadvantaged. For example, the following information:
- Where to file complaints;
- How to file complaints;
- Information that complainants need to provide (see Appendix B);
- Complaint handling procedures;
- Time limits for each stage of the complaint handling procedure;
- Complainants' opinions on compensation, including external compensation methods (see Clause 7.9);
- How complainants receive feedback during the complaint process.
7.2 Acceptance of Complaints
The original complaint report can be recorded using auxiliary information and identification codes. At the same time, the record should indicate the compensation requested by the complainant and other relevant content for effective complaint handling, including:
- Description of the complaint and related materials;
- Methods of requesting compensation;
- The product involved in the complaint and related organizational actions;
- Expected response time;
- Information about personnel, departments, units, organizations, and markets;
- Immediate actions taken (if any).
More detailed guidelines can be found in Appendix B and Appendix D.
7.3 Follow-up of Complaints
Complaint tracking work runs through the entire complaint process from the start of acceptance until the complainant is satisfied or a final solution is reached. The latest status of complaint handling should be communicated to the complainant as requested, periodically, or at least before the scheduled deadline.
7.4 Confirmation of Complaints
Upon receiving a complaint, it must be immediately confirmed to the complainant (e.g., by mail, phone, or email).
7.5 Initial Complaint Assessment
After receiving a complaint, it should be assessed immediately based on the severity of each complaint, implied safety, complexity, impact, necessity, and feasibility of immediate action.
7.6 Investigation of Complaints
Efforts should be made to investigate the relevant circumstances and information of the complaint, and the extent of the investigation should be consistent with the severity and frequency of the complaint.
7.7 Response to Complaints
Based on the investigation results, the organization should provide a response (see Appendix E), such as taking corrective actions to prevent similar incidents from recurring. If the complaint cannot be resolved immediately, other useful methods should be adopted as soon as possible (see Appendix F).
7.8 Notification of Handling Opinions
The handling opinions or decisions regarding the complaint should be immediately notified to the complainant or personnel related to the complaint.
7.9 Closing Complaints
If the complainant accepts the handling opinion, the decision should be implemented immediately and recorded. If the complainant refuses to accept the handling opinion, the complaint continues and will be recorded. The complainant may choose internal or external resolution methods. The organization must continue to monitor the complaint process until all internal or external resources are exhausted or the complainant is satisfied.
8 Maintenance and Improvement
8.1 Information Collection
The organization should record the execution of complaint handling. To protect private information and ensure the confidentiality of the complainant's situation, the organization should establish procedures for recording complaints and responses, usage records, and management records.
Specifically includes:
a) Clearly record the specific steps of the work: such as confirmation, collection, classification, maintenance, preservation, and organization of records;
b) Record the complaint handling process and keep these records. Materials recorded as electronic documents or tapes are easily discarded if mishandled or treated as waste, so these records should be given high attention;
Improper handling or disposal as waste can easily lead to loss, so these records must be given high attention;
c) Record the types of training and education received by personnel involved in the complaint handling process;
d) Specifically stipulate the standards for responding to records submitted by complainants or agents, including time limits, who is provided with what kind of information, and in what format;
Information, and the format used;
e) Determine how and when to disclose non-private submitted complaint information to the public.
8.2 Analysis and Evaluation of Complaints
All complaints must be classified, then determine whether the complaint is a recurring or occasional issue, so as to eliminate the potential causes of complaints.
8.3 Satisfaction with the Complaint Handling Process
The satisfaction level of complainants with the complaint handling process must be regularly evaluated, which can be done through random surveys or other methods.
Conducted.
Note: Improving satisfaction with the complaint handling process can be achieved by simulating contact between complainants and the organization.
8.4 Supervision of the Complaint Handling Procedure Continuous supervision of the complaint handling procedure, required resources (including personnel), and collected data.
The execution level of the complaint handling procedure should be measured according to predetermined standards. (See Appendix G)
8.5 Audit of the Complaint Handling Procedure
To evaluate the execution of the complaint handling procedure, the organization should conduct regular audits and provide the following information:
— Coordination with the complaint handling procedure;
— The extent to which complaint handling objectives are achieved.
The audit of complaint handling can be part of the quality management system audit and consistent with ISO19011. The audit results can serve as management's confirmation and review for improvement of the complaint handling process. The audit should be performed by competent personnel unrelated to the audited object. For more detailed guidelines on auditing, see Appendix H.
8.6 Management Review of the Complaint Handling Procedure
8.6.1 The organization's top management should regularly review the complaint handling procedure to:
— Ensure the continuity, suitability, adequacy, and effectiveness of the procedure;
— Confirm and revise procedures that do not comply with health, safety, environment, consumer, regulations, and other laws;
—— Confirm and correct product defects;
—— Confirm and correct program defects;
—— Provide evaluation opportunities for the complaint handling process and necessary changes for product improvement;
—— Evaluate possible changes in complaint handling policies and objectives.
8.6.2 Management review opinions should include the following information:
—— Changes in internal factors, such as: policies, objectives, organizational structure, available resources, and product changes;
—— Changes in the external environment, such as: regulations, competition, and technological innovations;
—— Overall implementation status of the complaint handling procedure, including consumer satisfaction surveys and program supervision results;
—— Audit results;
—— Implementation status of corrective and preventive actions;
—— Specific implementation status of comments previously made by management departments;
—— Suggestions for improvement.
8.6.3 The results of management review include the following aspects:
—— Decisions and actions taken to improve the effectiveness and efficiency of the complaint handling procedure;
—— Suggestions for product improvement;
—— Decisions and actions taken to confirm resource needs (e.g., training programs). Records of management reviews should be properly kept for improvements in similar situations.
8.7 Continuous Improvement
The organization should continuously improve the effectiveness and efficiency of the complaint handling procedure to promote product quality improvement. This can be achieved through the implementation of corrective and preventive measures and innovation. To prevent recurring complaints, the organization should take actions to eliminate existing and potential causes of complaints. The organization should:
—— Research, identify, and adopt the best solutions in complaint handling;
—— Establish a customer-centric philosophy within the organization;
—— Encourage innovation during the development of complaint handling;
—— Advocate standardized complaint handling behavior. For other methods to promote continuous organizational improvement, refer to Appendix B of ISO9004:2000.

Appendix A
(Informative)
Guidelines for Complaint Handling in Small Enterprises

This international standard applies to organizations of different sizes. However, small-scale enterprises face resource limitations when setting up and maintaining complaint handling procedures. The purpose of this appendix is to focus resources through simple procedures to achieve maximum effectiveness.
The following steps state key links and specific recommendations for each action:
—— Complaint disclosure. Use a simple sign or note on the company's invoice (see Clause 4.2), for example: "Your satisfaction is important to us. If you are not satisfied, please complain, and we will correct or take corresponding measures."
—— Collect and record complaints (see Appendices B and D).
—— If not received personally (by phone or email), confirm the complaint with the consumer (see Clause 7.4).
—— Evaluate the validity of the complaint, possible impacts, and identify the best candidate (see Clause 7.5).
—— Resolve complaints as soon as possible. Further investigate the complaint, determine specific implementation plans, and take immediate action (see Clause 7.7).
—— Communicate the complaint handling opinions to the consumer and evaluate the consumer's response. Is the consumer satisfied with the complaint handling opinion? If satisfied, take immediate action according to the consumer's expectations, always remembering to make the greatest effort and adopt the best solution (see Clause 7.8).
—— When all complaint handling has been completed, notify the consumer and record the results. If the complaint handling does not meet the customer's satisfaction, explain your handling method and other available options to the consumer (see Clause 7.9).
—— Conduct regular complaint reviews. Establish a brief stage review and a summarized annual review system to anticipate, change, or prevent complaints, improve customer service, and thus increase customer satisfaction (see Clause 7 of complaint tracking in Appendices B and D). The above guidelines are simple and practical and are also valuable references for handling other incidents. By learning from others' skills in handling customer complaints, one can make up for their own shortcomings.

Appendix B
(Informative)
Complaintant Information Summary
 

To properly resolve complaint issues, the organization will require the complainant to provide key details about the complaint. The following sample form can help the complainant list the main content of their complaint.
1. Complainant Information
Name/Organization Name:                                                                     
Address:                                                                                       
Postal Code/City:                                                                     
Country:                                                                                         
Telephone:                                                                                                   
Fax:                                                                                         
Email Address:                                                                                
Complainant Agent Information (if available)                                           
Contact Person (if different from above)                                                       
2. Product Description
Product Standard Code/Number (if known)                                         
Detailed Description                                                                                                            

3. Problems Encountered
Date of Occurrence                                                                            

Detailed Description                                                                        
                                                                                                                    
4. Compensation Requested
Yes□   No□
5. Date and Signature
Date  Signature                                                                 
6. Attachments
List of Related Documents                                                                 

Appendix C
(Informative)
Fairness

C.1 General Principles
The main principles of fairness in the complaint handling procedure include:
a) Transparency: The complaint handling procedure should be widely known, simple, easy to use, and easy to understand. The entire process should be highly transparent so that the parties involved and the complainants can follow it at any time.
b) Fairness: Avoid any bias against the complainant, the respondent, and the organization. The complaint handling procedure should protect the respondent from prejudiced treatment. The focus of the procedure should be on resolving the issue rather than assigning blame. If the complaint involves an employee, the investigating organization should select competent and unrelated personnel to conduct the investigation.
c) Confidentiality: The procedure should keep the complainant's identity confidential as much as possible. People may hesitate to complain due to concerns about inconvenience or differential treatment after providing detailed personal information, so confidentiality is especially important.
d) Feasibility: The organization should allow complainants to file complaints at any time and by any means, and promptly communicate the progress of complaint handling to all complainants in clear and effective language and format. When complaints involve multiple complainants, a coordinated feedback plan should be developed. The complaint handling process should ensure that relevant personnel within the organization are informed of all information related to the complaint to enable improvements.
e) Integrity: Investigate to ascertain relevant facts and communicate with both parties to reach consensus as much as possible, aiming for reconciliation between the complainant and the respondent.
f) Equality: Treat everyone equally.
g) Flexibility: Each complaint should be handled according to its own characteristics, individual differences, and needs with different measures.
C.2 Fair Treatment of Employees
The complaint handling procedure should ensure the fair status of the respondent, which requires:
— Prompt and complete notification of the complaint handling progress to the respondent;
— Allow employees to explain the situation and provide appropriate support;
— Inform about progress and results during the investigation. Before formal interviews with the respondent, it is necessary to inform them of the complaint details while maintaining confidentiality. The procedure should help employees eliminate doubts, encourage learning from complaint handling experiences, and gradually master complaint resolution skills.
C.3 Distinguishing Complaint Handling Procedures from Disciplinary Procedures
The complaint handling procedure should be distinguished from disciplinary procedures.
C.4 Confidentiality
In addition to keeping the complainant's information confidential, the complaint handling procedure should also keep the respondent's related information confidential. Such complaint information should only be known to personnel involved in the complaint. However, confidentiality should not be used as an excuse to avoid handling complaints.
C.5 Supervision of Fairness The organization should supervise and inspect the feedback on complaints to ensure fair execution of complaint handling. Specific measures should include:
— Randomly select resolved complaint cases for regular supervision and inspection (e.g., monthly);
— Visit complainants to inquire whether their complaints have been handled fairly.

Appendix D
(Informative)
Complaint Investigation Form
 

The following is a sample form (for internal use only) providing key information for organizations to conduct complaint investigations.

1. Complaint Acceptance Details
Complaint Date:                                                                          
Complaint Time:                                                                           
Name of Receiver:                                                                                                            
Complaint Acceptance Method: Phone□  Email□  Online□  Visit□  Letter□ Other□
Other Uncertain Methods:                                                                    
2. Complainant Information
(See Complainant Information Summary)
3. Detailed Complaint Information
Complaint Standard Number:                                                                       
Related Complaint Materials:                                                                      
Complaint Submitter:                                                                           
4. Problems Encountered
Date the issue occurred:                                                                    
Repeated occurrence: Yes□ No□ Category of the issue:
1 □ Product not delivered
2 □ Service not provided/partially provided
3 □ Delayed product delivery
4 □ Delayed service provision
Length of delay:
5 □ Defective product
6 □ Poor quality service
Details:                                                                                       

          
7 □ Product inconsistent with order
8 □ Not the ordered product
9 □ Product damaged
10 □ Refusal to provide product warranty
11 □ Refusal to sell
12 □ Refusal to provide service
13 □ Business conduct/sales methods
14 □ Incorrect information
15 □ Incomplete information
16 □ Payment method
17 □ Price
18 □ Price increase
19 □ Additional charges
20 □ Unreasonable fees/bills
21 □ Contract terms
22 □ Contract scope
23 □ Damage assessment
24 □ Refusal to compensate
25 □ Compensation not according to regulations
26 □ Contract amendments
27 □ Poor contract performance
28 □ Termination/cancellation of contract
29 □ Service cancellation
30 □ Loan repayment
31 □ Required interest
32 □ Failure to fulfill promises
33 □ Incorrect invoice
34 □ Excessive delay in handling complaints
35 □ Other issues

Additional information:

5. Complaint assessment
Assess the actual and potential scope and extent of the impact caused by the complaint:
 

Severity:                                                                                                 

Complexity:                                                                                                                                   

Impact:                                                                                                                            

Is immediate action required   Yes□   No□
Can immediate action be taken   Yes□   No□
Is compensation possible   Yes□   No□
6. Complaint resolution methods
Is compensation requested   Yes□   No□       Possible compensation measures                                                 
36 □ Deliver product
37 □ Repair/reproduce
38 □ Replace product
39 □ Return goods
40 □ Fulfill commitments
41 □ Fulfill obligations
42 □ Terminate contract
43 □ Cancel/void contract
44 □ Cancel order
45 □ Notify
46 □ Correct amount of loss compensation
47 □ Pay total compensation amount:                                                                   
48 □ Initial compensation amount:                                                                   
49 □ Other forms of compensation amount:                                                            
50 □ Discount amount:                                                                          
51 □ Provide equipment
52 □ Apologize
53 □ Other handling methods:                                                                     
 

Appendix E
(Informative)
Handling methods
 

E.1 Complaint handling methods provided by the organization include:
— Compensation;
— Replacement;
— Repair/reproduction;
— Substitution;
— Provide technical guidance;
— Provide information;
— Introduce methods;
— Provide financial assistance;
— Provide other assistance;
— Compensation;
— Apology;
— Gift or souvenir giving;
— Indicate changes to products, processes, policies, or procedures caused by the complaint.
E.2 Other issues to consider include
— List complaint items;
—— Reconfirmation;
—— Whether to provide corresponding compensation methods for others who have suffered the same treatment but have not filed complaints;
—— The authority of feedback from all aspects;
—— Inform relevant personnel of the situation.

Appendix F
(Informative)
Complaint Handling Process Flowchart

Appendix G
(Informative)
Supervision of the Complaint Handling Process
 

This appendix is a general guide for effective and efficient supervision of the complaint handling process. When implementing, appropriate supervision methods should be selected according to the type and scale of the organization.
G.2 Management Responsibilities
It is very important for the organization to ensure that competent personnel are selected to supervise, report, and implement corrective actions in the complaint handling procedure.
The following are the responsibilities of several categories of personnel to consider:
a) Responsibilities of Top Management:
—— Determine the supervision targets;
—— Define supervision responsibilities;
—— Review the supervision process;
—— Ensure the implementation of improvement measures.
b) Responsibilities of the Complaint Handling Management Representative
—— Establish procedures for supervision, evaluation, and reporting;
—— Assist top management in reviewing the complaint handling procedure, report relevant information about the handling process, and ensure the effective implementation of improvement measures.
c) Responsibilities of Other Managers within the Organization
—— Ensure the effective implementation of the complaint handling supervision process and keep detailed records;
—— Ensure the implementation of compensation measures and keep detailed records;
Within their responsibilities, provide relevant complaint information for the top management's review.
G.3 Measurement and Supervision of Implementation
G.3.1 Overview
Organizations should use predetermined standards to measure and supervise the complaint handling process. Due to significant differences in handling processes and products, the standards for supervision also vary. Each organization should develop different standards according to its specific situation. See sample in G.3.2.
G.3.2 Implementation of Supervision Standards
In supervising the complaint handling process, supervision standards should include the following aspects:
—— Whether relevant policies for complaint handling have been established, maintained, and achieved considerable effectiveness;
—— Recognition of complaint handling responsibilities by top management;
—— Whether complaint handling responsibilities have been implemented;
—— Whether employees in contact with consumers have been empowered to resolve complaints on site;
—— Whether employees in contact with customers have the authority to make autonomous decisions when responding;
—— Whether specific personnel have been assigned to handle complaints;
—— The proportion of employees in contact with consumers who have received training during the complaint handling process;
—— The effectiveness and efficiency of complaint handling training;
—— The number of suggestions made by employees to improve the complaint handling procedure;
—— Employees' attitudes towards complaint handling;
—— The efficiency of inspection work and management department evaluation in complaint handling;
—— The timeliness of fulfilling suggestions made during evaluation by inspection and management departments;
—— The time limit for responding to complainants;
—— The satisfaction level of complainants;
—— Whether improvements and preventive measures in the complaint handling process are effectively and efficiently implemented at appropriate times.
G.3.3 Supervision Data Supervision data is very important as it reflects the indicators of the complaint handling process. Supervision data should include the following numbers or ratios:
—— Complaints received;
—— Proportion of complaints resolved;
—— Complaints improperly prioritized;
—— Complaints confirmed after negotiation;
—— Complaints resolved through negotiation;
—— Complaints resolved with the help of external means (see 7.9);
—— Repeated complaints or recurring issues without complaints;
—— Number of improvements made to the complaint handling procedure. When analyzing data, the following issues should be noted:
—— Objective data such as the number of responses can effectively reflect the operation of the complaint handling procedure but cannot reflect the complainant's satisfaction level;
—— An increase in the number of complaints after the introduction of a new complaint handling procedure can only indicate the effectiveness of the new procedure, not an increase in poor-quality products.

Appendix H
(Informative)
Audit

 

To eliminate existing and potential problems in the complaint handling process, the organization should continuously improve the effectiveness and efficiency of the complaint handling procedure, regularly supervise the implementation and results, and strive to find ways to improve the procedure. The purpose of complaint handling supervision is to analyze and compare relevant information from the complaint handling process with predetermined standards to obtain effective ways to improve the procedure. The predetermined standards should include various policies, procedures, and rules related to the complaint handling procedure.
When inspecting the complaint handling procedure, the consistency of the complaint procedure with predetermined standards, procedures, and policies should be evaluated.
For example: an audit of a procedure should evaluate:
—— The degree to which the complaint handling procedure aligns with the organization's policies and objectives;
—— The extent to which the complaint handling procedure is implemented;
—— The capability of the existing complaint handling process to achieve objectives;
—— Strengths and weaknesses of the complaint handling procedure;
—— Opportunities for improvement and achievements in the complaint handling procedure. The audit of complaint handling can be improved and managed as part of the quality management system audit. For related content on management system audits, refer to ISO19011.