Postal services - Quality of service - Complaints handling principles

This European Standard specifies complaints handling principles related to domestic and international postal services. It applies to both national and cross border services.  Attention is given to how to handle complaints in multiple operator situations. The standard also gives guidance for compensation and redress procedures.
This European Standard may be applied to all types of postal service both Universal service and non-universal service and by all types of postal organizations. It defines various types of complaints and establishes a methodology for handling complaints in order to improve the service given to postal users. It also gives guidance for complaints handling processes to be set up by postal service providers in order to improve quality of service.
This European Standard provides guidelines beyond the requirements given in ISO 10002 and ISO 9001 in order to consider both the effectiveness and efficiency of a complaint handling process, and consequently the potential for improvement of the performance of an organization. When compared to ISO 9001, the objectives of customer satisfaction and product quality are extended to include the satisfaction of interested parties and the performance of the organization.
This European Standard is applicable to the processes of the organization and consequently the quality management principles on which it is based can be deployed throughout the organization. The focus of this European Standard is the achievement of ongoing improvement, measured through the satisfaction of customers and other interested parties.
It should be noted that the number of complaints received might not be related to the level of service given. A large number of complaints may on the contrary reflect the effectiveness of the postal operator's complaint handling process.
This European Standard consists of guidance and recommendations and is neither intended for certification, regulatory or contractual use, nor as a guide to the imple

Postalische Dienstleistungen - Dienstqualität - Grundsätze der Bearbeitung von Beschwerden

Diese Europäische Norm legt Grundsätze zur Bearbeitung von Beschwerden bezüglich inländischer und inter¬nationaler Postdienste fest. Sie gilt sowohl für nationale als auch für grenzüberschreitende Dienstleistungen. Besondere Beachtung wird Situationen beigemessen, in denen mit Beschwerden umgegangen werden muss, an denen mehrere Betreiber beteiligt sind. Die Norm stellt außerdem eine Anleitung für Entschädigungs¬verfahren dar.
Diese Europäische Norm darf auf alle Postdienst Arten angewendet werden, sowohl auf den Universaldienst als auch auf den Nicht Universaldienst sowie auf alle Arten von Postorganisationen. Sie definiert verschiedene Beschwerdearten und beschreibt einen Beschwerdebearbeitungsprozess zur Verbesserung der Dienstleistung für Nutzer von postalischen Dienstleistungen. Sie gibt auch eine Anleitung für Beschwerde¬bearbeitungsprozesse, die von Postdienstanbietern eingesetzt werden müssen, um die Dienstqualität zu verbessern.
Diese Europäische Norm gibt Richtlinien, die über die in ISO 10002 und ISO 9001 angegebenen Anforde-rungen hinausgehen, um sowohl die Effektivität als auch die Effizienz eines Beschwerdebearbeitungs-prozesses und nachfolgend das Potential zur Verbesserung der Leistungsfähigkeit einer Organisation zu berücksichtigen. Im Vergleich zu ISO 9001 werden die Ziele der Kundenzufriedenheit und Produktqualität erweitert, um die Zufriedenheit von interessierten Parteien und die Leistungsfähigkeit der Organisation einzubeziehen.
Diese Europäische Norm gilt für die Verfahren der Organisation; somit können die Grundsätze des Qualitäts¬managements, auf denen die Norm basiert, in der gesamten Organisation angewendet werden. Der Schwer¬punkt dieser Europäischen Norm liegt im Erreichen einer ständigen Verbesserung, gemessen an der Zufrie¬denheit der Kunden und anderer interessierter Parteien.

Services postaux - Qualité du service - Principes de traitement des réclamations

La présente Norme européenne précise les principes de traitement des réclamations liés aux
services postaux nationaux et internationaux. Elle s'applique aux services tant nationaux que
transfrontières. Une attention particulière est portée sur la manière de traiter les réclamations dans
des situations impliquant plusieurs opérateurs. La norme donne également des lignes directrices
relatives aux procédures de dédommagement et de réparation.
La présente Norme européenne peut être appliquée à tous les types de services postaux, service
universel et non universel, ainsi que par tous les types d'organismes postaux. Elle définit divers
types de réclamations et établit une méthodologie pour le traitement des réclamations afin
d'améliorer le service fourni aux usagers du service postal. Elle donne également des lignes
directrices pour les processus de traitement des réclamations devant être mis en place par les
prestataires de services postaux afin d'améliorer la qualité du service.
La présente Norme européenne fournit des lignes directrices au-delà des exigences formulées
dans l'ISO 10002 et dans l'ISO 9001 afin de prendre en compte tant l'efficacité que le bon
fonctionnement d'un processus de traitement de réclamations et, par voie de conséquence, le
potentiel pour l'amélioration de la performance d'un organisme. En comparaison à l'ISO 9001, les
objectifs de satisfaction du client et de qualité du produit ont été étendus pour inclure la satisfaction
des parties intéressées et la performance de l'organisme.
La présente Norme européenne est applicable aux processus de l'organisme et, par voie de
conséquence, les principes de gestion de la qualité sur lesquels elle est basée peuvent être
déployés dans tout l'organisme. La présente Norme européenne vise à l’obtention d’une
amélioration continue, mesurée à travers la satisfaction des clients et des autres parties
intéressées.

Poštne storitve - Kakovost storitve - Načela ravnanja s pritožbami

General Information

Status
Withdrawn
Publication Date
25-Nov-2008
Withdrawal Date
17-Sep-2019
Current Stage
9960 - Withdrawal effective - Withdrawal
Completion Date
18-Sep-2019

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2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.LPostalische Dienstleistungen - Dienstqualität - Grundsätze der Bearbeitung von BeschwerdenServices postaux - Qualité du service - Principes de traitement des réclamationsPostal services - Quality of service - Complaints handling principles03.240Poštne storitvePostal servicesICS:Ta slovenski standard je istoveten z:EN 14012:2008SIST EN 14012:2009en01-januar-2009SIST EN 14012:2009SLOVENSKI

STANDARDSIST EN 14012:20041DGRPHãþD
SIST EN 14012:2009

EUROPEAN STANDARDNORME EUROPÉENNEEUROPÄISCHE NORMEN 14012November 2008ICS 03.240Supersedes EN 14012:2003

English VersionPostal services - Quality of service - Complaints handlingprinciplesServices postaux - Qualité du service - Principes detraitement des réclamationsPostalische Dienstleistungen - Dienstqualität - Grundsätzeder Bearbeitung von BeschwerdenThis European Standard was approved by CEN on 25 October 2008.CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this EuropeanStandard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such nationalstandards may be obtained on application to the CEN Management Centre or to any CEN member.This European Standard exists in three official versions (English, French, German). A version in any other language made by translationunder the responsibility of a CEN member into its own language and notified to the CEN Management Centre has the same status as theofficial versions.CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland,France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMITÉ EUROPÉEN DE NORMALISATIONEUROPÄISCHES KOMITEE FÜR NORMUNGManagement Centre: rue de Stassart, 36

B-1050 Brussels© 2008 CENAll rights of exploitation in any form and by any means reservedworldwide for CEN national Members.Ref. No. EN 14012:2008: ESIST EN 14012:2009

EN 14012:2008 (E)

2 Contents Page Foreword..............................................................................................................................................................4 Introduction.........................................................................................................................................................5 1 Scope......................................................................................................................................................7 2 Normative references............................................................................................................................8 3 Terms and definitions...........................................................................................................................8 4 Complaint handling - Guiding principles..........................................................................................11 4.1 General.........................................................................................................................................................11 4.2 Visibility.......................................................................................................................................................11 4.3 Accessibility................................................................................................................................................11 4.4 Acceptability................................................................................................................................................11 4.5 Responsiveness..........................................................................................................................................12 4.6 Objectivity....................................................................................................................................................12 4.7 Confidentiality.............................................................................................................................................12 4.8 User focused approach..............................................................................................................................12 4.9 Auditability..................................................................................................................................................12 4.10 Continual improvement............................................................................................................................12 4.11 Conformity with national and international framework........................................................................12 4.12 Resolution of problem at local level.......................................................................................................13 4.13 Complaints on postal items handled by multiple operators (cross border or multi-handled domestic mail)......................................................................................................................................13 4.14 Compensation to users............................................................................................................................13 5 Complaint handling commitment.................................................................................................................13 6 Complaint handling management................................................................................................................14 7 Operation of the complaints handling process..........................................................................................14 7.1 Communication...........................................................................................................................................14 7.2 Access to complaint handling processes................................................................................................14 7.3 Timescales for users to make complaints...............................................................................................14 7.4 Receipt of complaints................................................................................................................................14 7.5 Classification of complaints......................................................................................................................15 7.6 Acknowledgement of complaints received..............................................................................................15 7.7 Tracking of complaints..............................................................................................................................15 7.8 Investigation of complaints.......................................................................................................................15 7.9 Response to complaints............................................................................................................................15 7.10 Claims for compensation.........................................................................................................................15 7.11 Communication of the decision..............................................................................................................16 7.12 Review of complaints and decisions......................................................................................................16 7.12.1 Internal escalation.................................................................................................................................16 7.12.2 External escalation................................................................................................................................16 7.13 Closing the record of a complaint...........................................................................................................16 7.14 Complaint reporting & performance improvement...............................................................................16 7.14.1 Internal Reporting..................................................................................................................................16 7.14.2 External Reporting.................................................................................................................................17 7.15 Improvement activity................................................................................................................................17 8 Maintenance and improvement....................................................................................................................17 Annex A (informative)

Customer complaint processes – channels and mechanisms for communicating complaint handling processes to postal users....................................................18 A.1 Communication content............................................................................................................................18 SIST EN 14012:2009

EN 14012:2008 (E) 3 A.2 Communication channels.........................................................................................................................18 Annex B (informative)

Complaint channels....................................................................................................19 B.1 List of complaint channels involved.................................................................................................19 B.2 Channel operation...............................................................................................................................19 B.2.1 General.................................................................................................................................................19 B.2.2 Telephone complaints.........................................................................................................................19 B.2.3 Complaints made in writing...............................................................................................................19 B.2.4 E-mail complaints................................................................................................................................20 B.2.5 Complaints made in person...............................................................................................................20 B.2.6 Other facilities......................................................................................................................................20 Annex C (informative)

Capturing user information on complaints..............................................................21 Annex D (informative)

Complaint categorisation and classification..........................................................23 D.1 Introduction..........................................................................................................................................23 D.2 Complaint justification........................................................................................................................23 D.3 Complaint ownership..........................................................................................................................23 D.4 Complaint categories..........................................................................................................................24 D.5 Reasons for complaint........................................................................................................................24 Annex E (informative)

Responses..................................................................................................................25 E.1 Content of responses – suggested sequence........................................................................................25 E.2 Issues to be considered can include.......................................................................................................25 E.3 Timescales for responses.........................................................................................................................25 Annex F (informative)

Complaint reporting...................................................................................................26 F.1 General.................................................................................................................................................26 F.2 Timescales for reporting....................................................................................................................26 F.3 Report content.....................................................................................................................................26 F.4 Extra monitoring data.........................................................................................................................27 Annex G (normative)

Performance improvement activity...........................................................................29 G.1 General.................................................................................................................................................29 G.2 Assessing the organization is able to deal with the information of the complaint handling process.................................................................................................................................................29 G.2.1 Organization of complaint information dissemination:...................................................................29 G.2.2 Examples of complaint analysis contribution to performance improvement:..............................29 G.3 Assessing how the complaint handling process drives continual improvement........................29 Annex H (informative)

Continual improvement............................................................................................31 H.1 Continual improvement of the complaint handling process..........................................................31 H.2 Continual improvement of products and services..........................................................................31 Annex I (informative)

Transferring from 1st edition of the EN 14012 to this 2nd edition of the EN 14012.....................................................................................................................................................32 I.1 General.................................................................................................................................................32 I.2 Classification of complaints...............................................................................................................32 I.2.1 Classification process........................................................................................................................32 I.2.2 Categories of complaints...................................................................................................................33 I.2.3 Complaints about lost items..............................................................................................................34 I.2.4 Maximum handling time......................................................................................................................34 I.3 Measurement of complaints...............................................................................................................35 I.3.1 Records................................................................................................................................................35 I.3.2 Statistical indicators...........................................................................................................................35 I.3.3 Reporting statistics about complaints..............................................................................................36 I.4 Report on statistical indicators..........................................................................................................37 I.4.1 General.................................................................................................................................................37 I.4.2 Permanent statistical indicators........................................................................................................38 Bibliography......................................................................................................................................................46

SIST EN 14012:2009
EN 14012:2008 (E)

4 Foreword This document (EN 14012:2008) has been prepared by Technical Committee CEN/TC

“331”, the secretariat of which is held by NEN. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by May 2009, and conflicting national standards shall be withdrawn at the latest by May 2009. This document supersedes EN 14012:2003. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such patent rights. The content has been extensively revised to reflect:  an increased requirement for postal operators and organizations to demonstrate a stronger focus on providing a quality mail and associated complaint handling experience to postal users;  limiting the number of measuring parameters; and

 stronger alignment with ISO 10002 adhering to the measuring method described in the first edition of EN 14012 means that also the measuring requirements of this revised 2nd edition of EN 14012 are met. Annex F contains general information regarding measuring and reporting of complaints based on the criteria described in the first edition of EN 14012 and included in Annex I. However this revised second edition of EN 14012 contains more requirements on improvements and corrective actions According to the CEN/CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and the United Kingdom. SIST EN 14012:2009

EN 14012:2008 (E) 5 Introduction In 1992 the European Commission pointed out in its Green paper the need to establish common rules for the development of community postal services and the improvement of quality of service. The Commission identified requirements for quality of service measurement including the management and measurement of complaints. The 1997 Directive of the European Parliament and of the Council on common rules for the development of the internal market of Community postal services and the improvement of quality of service, 97/67/CE article 19, requires universal service providers to publish information once a year on the number of complaints and the way they are dealt with. Complaints are requests given by users of the postal service in order to communicate that they feel that the service provided has not met the standard they expect or the standard the service provider has to comply with. It is recommended to investigate complaints in order to verify if there is actual non-conformity with the service and to respond to the complainants. Moreover, complaints should be regarded as the instrument to protect users if the service provider does not respect the commitments and promises it has made.

The service provider can use complaints in its continuous quality improvement of the postal service. The level of complaints and the reasons for complaints provide important information about the satisfaction of users with different aspects of the postal service. There needs to be commitment to effective complaints handling at all levels within the postal organization. An investigation carried out by the European postal regulators CERP in 2004 showed that the costs for fully implementing the first edition of EN 14012:2003 were likely to be too high, even for postal service organizations with existing established and sophisticated complaint management & measurement/ reporting systems. This prompted CEN/TC 331 to start a revision of the European Standard in 2005, incorporating annexes about guidance for its use. This Second version of EN 14012 does not force those who already are using EN 14012:2003 to change their measurement systems to comply with the European Standard, but gives an opportunity to measure less extensively. This second version is also aligned with ISO 10002 on Complaints handling and thus places more emphasis on the need for overall quality improvements within the postal organizations. Regulatory aspects, information about business sensitive information and special requirements for Universal services have deliberately been left out of this European Standard. The reasons are that it is up to the regulatory and governmental bodies, as well as in contracts between business partners, to refer to business agreements and this European Standard, and to state which part has to be followed and for which service. National regulators may have more specific requirements than those given in this European Standard. In this second edition of EN 14012, the general structure of ISO 10002 is followed. For general complaints handling rules that are not postal specific, references are made to the latest version of ISO 10002, which may be revised independently of EN 14012. The intention of the modified EN 14012 is to provide guidance on how to set up a complaints handling system for postal service operators that can deliver positive solutions for postal users who complain and provide sufficient information about quality of service related to complaints. Postal specific issues which need to be taken into account are:-  many postal organization employees are in frequent contact with postal users during the delivery of their core job and may be able to deal with complaints on the spot. Most of this contact is not recognised as complaint handling contact and is therefore not formally recorded. (For example, a postman conducting regular collection and delivery activity); SIST EN 14012:2009

EN 14012:2008 (E)

6  cross border mail may generate cross border complaints where it may be difficult to establish which postal operator is responsible;  postal operations involving multiple operators carrying an item of mail will result in complaints being made to organizations that may or may not be the responsibility of that organization;  person who complains may not be the person who has paid for the service; for example, a recipient of a mail item complaining about an incorrect delivery procedure;  postal business in Europe is regulated by European and national regulatory law. This regulatory law focuses primarily on the Universal Postal Service (which differs from Member State to Member State)

SIST EN 14012:2009

EN 14012:2008 (E) 7 1 Scope This European Standard specifies complaints handling principles related to domestic and international postal services. It applies to both national and cross border services.

Attention is given to how to handle complaints in multiple operator situations. The standard also gives guidance for compensation and redress procedures.

This European Standard may be applied to all types of postal service both Universal service and non-universal service and by all types of postal organizations. It defines various types of complaints and establishes a methodology for handling complaints in order to improve the service given to postal users. It also gives guidance for complaints handling processes to be set up by postal service providers in order to improve quality of service. This European Standard provides guidelines beyond the requirements given in ISO 10002 and ISO 9001 in order to consider both the effectiveness and efficiency of a complaint handling process, and consequently the potential for improvement of the performance of an organization. When compared to ISO 9001, the objectives of customer satisfaction and product quality are extended to include the satisfaction of interested parties and the performance of the organization. This European Standard is applicable to the processes of the organization and consequently the quality management principles on which it is based can be deployed throughout the organization. The focus of this European Standard is the achievement of ongoing improvement, measured through the satisfaction of customers and other interested parties. It should be noted that the number of complaints received might not be related to the level of service given. A large number of complaints may on the contrary reflect the effectiveness of the postal operator's complaint handling process.

This European Standard consists of guidance and recommendations and is neither intended for certification, regulatory or contractual use, nor as a guide to the implementation of ISO 9001. In Annex I the relationship with the second edition of this European Standard is explained.

SIST EN 14012:2009

EN 14012:2008 (E) 8 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO 10002 Quality management — Customer satisfaction — Guidelines for complaints handling in organizations 3 Terms and definitions 3.1

"access to customer service information" complaint complaint about the information provided by the service provider on the specifications of its products and services NOTE 1 Examples would be complaints about availability of information on product specifications and prices, about incorrect information and advice, or about information on complaints procedures. NOTE 2 Complaints about information provided by a contractor or franchisee of the service provider would be included in this category. 3.2 "access to postal services" complaint complaint about how and when postal services are available NOTE 1 Examples would be complaints about opening hours at post offices, about queues at post offices, about cleanliness of post offices, or about access for disabled and handicapped people. NOTE 2 Complaints about access points for postal services provided by the service provider through franchised operations are also included in the access to postal services category of complaints. 3.3

"behaviour and competence of postal employees" complaint complaint regarding the behaviour of individual postal employees and the way individual employees operate postal procedures NOTE 1 Examples would be complaints about rudeness or behaviour of employees which is inconsiderate of users of the postal service. NOTE 2 Complaints about mistakes resulting in loss of, damage to or delay to postal items or causing delivery problems is not included in this complaints category. 3.4

cause of complaint originating event leading to a complaint NOTE E.g. specific explanation for a service failure or customer perception of failure, generating a complaint. 3.5

compensation redress given to a complainant by a service provider
NOTE Compensation rules are generally specified in the terms of business.
SIST EN 14012:2009

EN 14012:2008 (E) 9 3.6 complainant person, organization or its representative, making a complaint 3.7

complaint expression of dissatisfaction made to an organization, related to the perceived failure of its products, services or policies, or the complaints-handling process itself, where a response or resolution is explicitly or implicitly expected NOTE Organizations may have a more detailed definition of what comprises a complaint in their respective complaint handling approaches. 3.8 complaints handling process

process starting at the receipt of a complaint through a series of actions resulting in a final response or any necessary escalation

3.9 "complaint handling" complaint complaint expressing dissatisfaction about the way in which a previous complaint has been treated NOTE Reasons for dissatisfaction could include the time taken to handle the complaint or the response received from the service provider. 3.10 cross border mail mail distributed from one country to another country

[EN 14534:2007] 3.11

customer natural or legal person having a business relationship with a postal operator

NOTE A consumer who purchases postal services is a customer.
cf. User
3.12

customer service interaction of the organization with the user throughout the life cycle of a product or service

3.13

feedback opinions, comments and expressions of interest in the products or services or the complaints handling process 3.14 final response communication by means of which the service provider informs a complainant of the results of any investigation caused by a complaint, and whether the complaint is considered to be justified or not NOTE 1 A continued dialogue between the service provider and an unsatisfied customer, after the complainant has been informed about the results of the investigation in the final response, is considered a new complaint about complaint handling. NOTE 2 Even if the complainant is still not satisfied with the content of the final response, the specific complaint is solved by the final response.

SIST EN 14012:2009
EN 14012:2008 (E) 10 cf. complaint handling complaint 3.15
general complaint complaint that i
...

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