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INTERNATIONAL ISO
STANDARD 10003

Second edition
2018-07

Quality management — Customer

satisfaction — Guidelines for dispute
resolution external to organizations
Management de la qualité — Satisfaction du client — Lignes
directrices relatives à la résolution externe de conflits aux organismes

Reference number
ISO 10003:2018(E)

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ISO 10003:2018(E)


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ISO 10003:2018(E)


Contents Page

Foreword...........................................................................................................................................................................................................................................v
Introduction................................................................................................................................................................................................................................. vi
1 Scope.................................................................................................................................................................................................................................. 1
2 Normative references....................................................................................................................................................................................... 1
3 Terms and definitions...................................................................................................................................................................................... 1
4 Guiding principles................................................................................................................................................................................................ 4
4.1 General............................................................................................................................................................................................................ 4
4.2 Commitment.............................................................................................................................................................................................. 4
4.3 Responsiveness........................................................................................................................................................................................ 4
4.4 Information integrity.......................................................................................................................................................................... 4
4.5 Accountability........................................................................................................................................................................................... 4
4.6 Consent to participate....................................................................................................................................................................... 5
4.7 Accessibility................................................................................................................................................................................................ 5
4.8 Suitability...................................................................................................................................................................................................... 5
4.9 Fairness.......................................................................................................................................................................................................... 5
4.10 Competence................................................................................................................................................................................................ 5
4.11 Timeliness.................................................................................................................................................................................................... 5
4.12 Confidentiality.......................................................................................................................................................................................... 5
4.13 Transparency............................................................................................................................................................................................. 6
4.14 Agreement.................................................................................................................................................................................................... 6
4.15 Capacity.......................................................................................................................................................................................................... 6
4.16 Improvement............................................................................................................................................................................................. 6
4.17 Customer-focused approach........................................................................................................................................................ 6
5 Dispute-resolution framework............................................................................................................................................................... 6
5.1 Context of the organization........................................................................................................................................................... 6
5.2 Commitment.............................................................................................................................................................................................. 6
5.3 Dispute-resolution policy............................................................................................................................................................... 7
5.3.1 Policy establishment..................................................................................................................................................... 7
5.3.2 Policy review........................................................................................................................................................................ 7
5.3.3 Policy consistency............................................................................................................................................................ 7
5.4 Top management responsibilities........................................................................................................................................... 7
6 Planning, design and development.................................................................................................................................................... 8
6.1 General............................................................................................................................................................................................................ 8
6.2 Objectives..................................................................................................................................................................................................... 8
6.3 Activities........................................................................................................................................................................................................ 8
6.3.1 Diagnosis................................................................................................................................................................................. 8
6.3.2 Design......................................................................................................................................................................................... 9
6.3.3 Testing........................................................................................................................................................................................ 9
6.4 Resources...................................................................................................................................................................................................... 9
7 Operation................................................................................................................................................................................................................... 10
7.1 General......................................................................................................................................................................................................... 10
7.2 Complaint referral.............................................................................................................................................................................. 10
7.3 Receipt of dispute notice.............................................................................................................................................................. 10
7.4 Formulation of the organization’s response................................................................................................................ 10
7.4.1 Evaluation of dispute................................................................................................................................................. 10
7.4.2 Development of initial position......................................................................................................................... 10
7.5 Resolution of dispute....................................................................................................................................................................... 11
7.5.1 Facilitative method...................................................................................................................................................... 11
7.5.2 Advisory and determinative methods......................................................................................................... 11
7.5.3 Settlement............................................................................................................................................................................ 12
7.5.4 Acceptance of recommendation....................................................................................................................... 12
7.5.5 Review of determinative decision................................................................................................................... 12

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ISO 10003:2018(E)


7.6 Implementation of resolution.................................................................................................................................................. 12

7.7 Closing the file....................................................................................................................................................................................... 13
8 Maintenance and improvement..........................................................................................................................................................13
8.1 Monitoring................................................................................................................................................................................................ 13
8.2 Analysis and evaluation................................................................................................................................................................. 13
8.3 Evaluation of the satisfaction with the dispute-resolution process........................................................ 13
8.4 Management review......................................................................................................................................................................... 13
8.4.1 General................................................................................................................................................................................... 13
8.4.2 Input......................................................................................................................................................................................... 13
8.4.3 Output..................................................................................................................................................................................... 14
8.5 Continual improvement................................................................................................................................................................ 14
Annex A (informative) Guidance on dispute-resolution methods.......................................................................................15
Annex B (informative) Interrelationship of ISO 10001, ISO 10002, this document and ISO 10004.17
Annex C (informative) Guidance on consent to participate........................................................................................................19
Annex D (informative) Guidance on accessibility.................................................................................................................................21
Annex E (informative) Guidance on suitability........................................................................................................................................23
Annex F (informative) Guidance on fairness..............................................................................................................................................25
Annex G (informative) Guidance on competence..................................................................................................................................27
Annex H (informative) Guidance on timeliness......................................................................................................................................28
Annex I (informative) Guidance on transparency................................................................................................................................29
Annex J (informative) Guidance on selecting providers.................................................................................................................31
Annex K (informative) Guidance on dispute-resolution policy..............................................................................................32
Annex L (informative) Guidance on elements of design for dispute resolution....................................................33
Annex M (informative) Dispute-resolution flowchart......................................................................................................................34
Bibliography.............................................................................................................................................................................................................................. 36

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ISO 10003:2018(E)


Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is 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 part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www​.iso​.org/directives).
Attention is drawn to the possibility that 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. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www​.iso​.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www​.iso​.org/iso/foreword​.html.
This document was prepared by Technical Committee ISO/TC 176, Quality management and quality
assurance, Subcommittee SC 3, Supporting technologies.
This second edition cancels and replaces the first edition (ISO 10003:2007), which has been technically
revised.
The main changes compared with the previous edition are as follows:
— alignment with ISO 9000:2015;
— alignment with ISO 9001:2015;
— improved alignment with ISO 10001, ISO 10002 and ISO 10004.

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ISO 10003:2018(E)


Introduction
0.1 General
This document provides guidance for organizations to plan, design, develop, operate, maintain and
improve effective and efficient external dispute resolution for product- and service-related complaints.
Dispute resolution gives an avenue of redress when organizations do not remedy a complaint internally.
Most complaints can be resolved successfully within the organization, without the need for further
time-consuming and more adversarial procedures.
NOTE 1 Organizations are encouraged to develop an effective and efficient internal complaints-handling
process consistent with ISO 10002.

There are different methods for resolving disputes and different terms used to describe them. These
methods are facilitative, advisory or determinative (see Annex A). Each method can be used by itself or
the methods can be used in sequence.
This document can be used to:
a) design a dispute-resolution process and decide when to offer dispute resolution to complainants;
b) select a dispute-resolution provider (hereinafter referred to as “provider”; see 3.9) that is able to
meet an organization’s specific needs and expectations.
NOTE 2 Providers from the public and private sectors can take various forms around the world, including
industry-sector specific associations, ombudsmen and multi-sector associations.

While this document is directed towards organizations, providers can also benefit from knowing what
guidance is being given to organizations. Providers can also use the guidance in their dispute-resolution
process.
Organizations are encouraged to plan, design, develop, operate, maintain and improve a dispute-
resolution process in conjunction with a customer satisfaction code of conduct and internal complaints-
handling process, and to integrate them with the organization’s quality or other management systems.
This document can assist individuals and organizations in evaluating the effectiveness, efficiency and
fairness of an organization’s dispute-resolution process. Implementation of this document can:
— provide flexible dispute resolution that, in comparison with court-based processes, can be less
expensive, easier and quicker, especially in disputes across borders;
— help to enhance customer satisfaction and loyalty;
— provide a benchmark against which individuals and organizations can evaluate claims by
organizations and providers that they operate in an effective, efficient and fair manner;
— help to inform potential users of dispute resolution about the conditions of access, cost and the legal
consequences;
— enhance the ability of the organization to identify and eliminate causes of disputes;
— improve the way complaints and disputes are handled in the organization;
— provide additional information that can contribute to improvement of the organization’s products,
services and processes;
— improve the organization’s reputation or avoid damage to it;
— improve domestic and international competitiveness;
— provide confidence of fair and consistent treatment of disputes throughout the global marketplace.
NOTE 3 External dispute resolution can be the subject of statutory and regulatory requirements.

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ISO 10003:2018(E)


NOTE 4 The satisfaction of persons or organizations that could or do receive a product or a service from a
public or a private organization is the focus of this document.

0.2 Relationship with ISO 9001 and ISO 9004

This document is compatible with ISO  9001 and ISO  9004 and supports the objectives of these two
standards through the effective and efficient application of a dispute-resolution process. This document
can also be used independently of ISO 9001 and ISO 9004.
ISO  9001 specifies requirements for a quality management system. The dispute-resolution process
described in this document (ISO 10003) can be used as an element of a quality management system.
ISO 9004 provides guidance to achieve sustained success of an organization. The use of this document
(ISO 10003) can further enhance performance in resolving disputes with complainants and increase
the satisfaction of customers, complainants and other relevant interested parties to facilitate the
achievement of sustained success. It can also facilitate the continual improvement of the quality of
products, services and processes based on feedback from customers, complainants and other relevant
interested parties.
NOTE Apart from customers and complainants, other relevant interested parties can include suppliers,
industry associations and their members, consumer organizations, relevant government agencies, personnel,
owners and others who are affected by the dispute-resolution process.

0.3 Relationship with ISO 10001, ISO 10002 and ISO 10004

This document is compatible with ISO  10001, ISO  10002 and ISO  10004. These four documents can
be used either independently or in conjunction with each other. When used together, this document,
ISO 10001, ISO 10002 and ISO 10004 can be part of a broader and integrated framework for enhanced
customer satisfaction through codes of conduct, complaints handling, dispute resolution and monitoring
and measurement of customer satisfaction (see Annex B).
ISO 10001 contains guidance on customer satisfaction codes of conduct for organizations. Such codes,
in setting out what customers can expect from the organization and its products and services, can
decrease the likelihood of problems arising and can eliminate causes of complaints and disputes.
When complaints and disputes do arise, the existence of codes of conduct can assist the parties in
understanding customer expectations and the organization’s attempts to meet those expectations.
ISO 10002 contains guidance on the internal handling of product- and service-related complaints. This
document (ISO 10003) can be used when complaints are not resolved internally.
ISO  10004 contains guidance on establishing effective processes for monitoring and measuring
customer satisfaction. Its focus is on customers external to the organization. Guidelines given in
ISO  10004 can support the establishment and implementation of a dispute resolution process.
For example, the processes described in ISO  10004 can assist the organization in monitoring and
measuring customer satisfaction with the dispute resolution process (see 8.3). Likewise, information
from a dispute resolution process can be used in monitoring and measuring customer satisfaction. For
example, the frequency and nature of disputes can be an indirect indicator of customer satisfaction (see
ISO 10004:2018, 7.3.2).

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INTERNATIONAL STANDARD ISO 10003:2018(E)

Quality management — Customer satisfaction —

Guidelines for dispute resolution external to organizations

1 Scope
This document gives guidelines for an organization to plan, design, develop, operate, maintain and
improve an effective and efficient dispute-resolution process for complaints that have not been resolved
by the organization.
This document is applicable to:
— complaints relating to the organization’s products and services, the complaints-handling process or
dispute-resolution process;
— resolution of disputes arising from domestic or cross-border business activities, including those
arising from electronic commerce.
This document is intended for use by any organization regardless of its type or size, or the products and
services it provides, and deals with:
— guidance on determining when and how organizations can participate in dispute resolution;
— guidance on the selection of providers and use of their services;
— top management involvement in, and commitment to, dispute resolution and deployment of adequate
resources within the organization;
— the essentials for fair, suitable, transparent and accessible dispute resolution;
— guidance on management of an organization’s participation in dispute resolution;
— monitoring, evaluating and improving the dispute-resolution process.
This document is particularly aimed at dispute resolution between an organization and
— individuals purchasing or using products and services for personal or household purposes, or
— small businesses.
This document does not apply to the resolution of other types of disputes, such as employment disputes.
It does not apply to complaints handling within an organization.

2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements 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 9000:2015, Quality management systems — Fundamentals and vocabulary

3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 9000 and the following apply.

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ISO 10003:2018(E)


ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at http:​//www​.iso​.org/obp
— IEC Electropedia: available at http:​//www​.electropedia​.org/
3.1
association
<customer satisfaction> organization (3.12) consisting of member organizations or persons
[SOURCE: ISO 9000:2015, 3.2.8]
3.2
complainant
person, organization (3.12) or their representative, making a complaint (3.3)
Note 1 to entry: In this document, customers (3.4) who refer their complaints to a provider in the first instance
are also considered to be “complainants”.

[SOURCE: ISO 10001:2018, 3.2, modified — Note 1 to entry has been added.]

3.3
complaint
<customer satisfaction> expression of dissatisfaction made to an organization (3.12), related to its
product or service, or the complaints-handling process itself, where a response or resolution is explicitly
or implicitly expected
Note 1 to entry: Complaints can be made in relation to other processes where the organization interacts with the
customer (3.4).

Note 2 to entry: Complaints can be made directly or indirectly to the organization.

[SOURCE: ISO 9000:2015, 3.9.3, modified — Notes 1 and 2 to entry have been added.]
3.4
customer
person or organization (3.12) that could or does receive a product or a service that is intended for or
required by this person or organization
EXAMPLE Consumer, client, end-user, retailer, receiver of product or service from an internal process,
beneficiary and purchaser.

Note 1 to entry: A customer can be internal or external to the organization.

[SOURCE: ISO 9000:2015, 3.2.4]

3.5
customer satisfaction
customer’s (3.4) perception of the degree to which the customer’s expectations have been fulfilled
Note 1 to entry: It can be that the customer’s expectation is not known to the organization (3.12), or even to the
customer in question, until the product or service is delivered. It can be necessary for achieving high customer
satisfaction to fulfil an expectation of a customer even if it is neither stated nor generally implied or obligatory.

Note 2 to entry: Complaints (3.3) are a common indicator of low customer satisfaction but their absence does not
necessarily imply high customer satisfaction.

Note 3 to entry: Even when customer requirements have been agreed with the customer and fulfilled, this does
not necessarily ensure high customer satisfaction.

[SOURCE: ISO 9000:2015, 3.9.2]

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ISO 10003:2018(E)


3.6
customer service
interaction of the organization (3.12) with the customer (3.4) throughout the life cycle of a product or
a service
[SOURCE: ISO 9000:2015, 3.9.4]
3.7
dispute
<customer satisfaction> disagreement, arising from a complaint (3.3), submitted to a DRP-provider (3.9)
Note 1 to entry: Some organizations (3.12) allow their customers (3.4) to express their dissatisfaction to a DRP-
provider in the first instance. In this situation, the expression of dissatisfaction becomes a complaint when sent to
the organization for a response, and becomes a dispute if not resolved by the organization without DRP-provider
intervention. Many organizations prefer their customers to first express any dissatisfaction to the organization
before utilizing dispute resolution external to the organization.

[SOURCE: ISO 9000:2015, 3.9.6]

3.8
dispute resolver
<customer satisfaction> individual person assigned by a DRP-provider (3.9) to assist the parties in
resolving a dispute (3.7)
EXAMPLE Staff, volunteer, contract personnel.

[SOURCE: ISO 9000:2015, 3.1.6]

3.9
DRP-provider
dispute resolution process provider
person or organization (3.12) that supplies and operates an external dispute (3.7) resolution process
Note  1  to entry:  Generally, a DRP-provider is a legal entity, separate from the organization or person as an
individual and the complainant (3.2). In this way, the attributes of independence and fairness are emphasized.
In some situations, a separate unit is established within the organization to handle unresolved complaints (3.3).

Note 2 to entry: The DRP-provider contracts with the parties to provide dispute resolution, and is accountable
for performance. The DRP-provider supplies dispute resolvers. The DRP-provider also utilizes support, executive
and other managerial staff to supply financial resources, clerical support, scheduling assistance, training,
meeting rooms, supervision and similar functions.

Note 3 to entry: DRP-providers can take many forms including not-for-profit, for-profit and public entities. An
association (3.1) can also be a DRP-provider.

Note 4 to entry: In this document, instead of the term DRP-provider, the term “provider” is used.

[SOURCE: ISO 9000:2015, 3.2.7, modified — Note 4 to entry has been modified.]

3.10
feedback
<customer satisfaction> opinions, comments and expressions of interest in a product, a service or a
complaints-handling process
Note 1 to entry: Feedback can be given in relation to other processes where the organization (3.12) interacts with
the customer (3.4).

[SOURCE: ISO 9000:2015, 3.9.1, modified — Note 1 to entry has been added.]

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