ISO9001 System Document Package (14) | Procedure for Control of Processes Related to the Customer (8.2)

Document Description

This procedure corresponds to clause 8.2 "Requirements for products and services" of ISO 9001:2015, and is one of the core procedures in the "Customer-Oriented Process" (COP) of the quality management system (QMS). It covers the entire process from customer inquiries, contract/order acceptance and review, requirement changes, to post-delivery communication and feedback. Its purpose is to ensure that the company has the capability to meet all explicit, implicit, and legally mandated requirements before committing to provide products and services to customers, and to ensure that the communication process is accurate, changes are controlled, and feedback is closed-loop. This procedure is applicable to all small and medium-sized manufacturing, service, and trading enterprises, especially those driven by orders, with a variety of small batches or customer-specific requirements. Through this procedure, companies can implement the quality management principle of "customer focus" in specific operational actions, avoiding common issues such as verbal commitments, arbitrary order acceptance, and uncontrolled changes.

1. Purpose

To standardize the process of identifying, reviewing, communicating, and managing changes to customer requirements for products and services, ensuring:

1. Full identification of customer explicit requirements, implicit requirements, and applicable legal and regulatory requirements;
2. Evaluation and confirmation of the company's ability to fulfill commitments (signing contracts, accepting orders) before making commitments to customers;
3. Smooth and accurate communication channels with customers, and timely handling of customer feedback (including complaints);
4. Any changes to product and service requirements are documented and effectively communicated to relevant positions.

2. Scope of Application

This procedure applies to the management of all customer-related activities within the company, including but not limited to:

1. New customer development, inquiries, and quotations;
2. Acceptance and review of sales contracts, purchase orders, and verbal orders (including phone, WeChat, and email orders);
3. Signing of product technical agreements, quality agreements, delivery agreements, and other attachments;
4. Requirement changes during the execution of contracts/orders (quantity, delivery date, technical specifications, packaging, delivery method, etc.);
5. Pre-sales consultation, mid-sales communication, post-sales feedback, and complaint handling.

3. Responsibilities

4. Work Procedures

4.1 Identification and Determination of Customer Requirements

The Sales Department should collect and determine requirements in the following four aspects when engaging with customers:

1. Explicit Requirements: Product functionality, performance, quantity, price, delivery date, packaging, transportation, after-sales service, etc., as specified in contracts, orders, technical agreements, drawings, and specifications;
2. Implicit Requirements: Requirements that, although not explicitly stated by the customer, can be reasonably expected based on the product's intended use, such as safety, reliability, basic performance under normal use conditions, and industry practices;
3. Legal and Regulatory Requirements: National/industry standards, mandatory certification requirements, environmental and safety regulations, etc., applicable to the product;
4. Company Additional Commitments: Requirements proactively committed by the company to enhance customer satisfaction, such as warranty periods, response times, and free training.

The Sales Department should document the identified results in the "Customer Requirement Review Form" or the contract text, ensuring that the requirements are clearly and unambiguously stated.

4.2 Review of Product and Service Requirements

4.2.1 Review Timing

The review should be completed before making a commitment to the customer (signing a contract, accepting an order, or accepting an order change). It is strictly prohibited to accept an order and then conduct a review later.

4.2.2 Review Methods

Based on the order amount, technical complexity, and risk level, a tiered review process is adopted:

4.2.3 Review Content

The review should confirm and answer the following questions:

1. Are the product and service requirements clearly defined and documented (including technical agreements, drawings, etc.)?
2. Have any inconsistencies between the current and previous contract/order requirements been resolved (e.g., if there are discrepancies between verbal and written commitments, the written commitment should prevail and be confirmed with the customer)?
3. Does the company have the capability to meet the requirements, including technical, production, inspection, procurement, delivery, and financial capabilities?
4. Have implicit requirements and legal and regulatory requirements been identified and included in the commitment?
5. Is the delivery date reasonable and does it conflict with the production plan?

The review conclusion can be either "Acceptable" or "Unacceptable." If the review is not passed, the Sales Department should negotiate with the customer to adjust the requirements (price, delivery date, technical specifications, etc.) and re-review. If the requirements cannot be met, the order should be politely declined with a clear explanation of the reasons.

4.2.4 Review Records

The review results should be documented, including:

1. "Customer Requirement Review Form" (including review conclusions and signatures);
2. "Contract Review Record" and meeting attendance for C-level reviews;
3. Correspondence and email screenshots (printed and archived) confirming requirements with the customer.

4.3 Signing and Issuing of Contracts/Orders

1. After the review is passed, the Sales Department signs a formal contract or confirms the order, ensuring that the content of the document aligns with the review conclusions;
2. The Sales Department converts the approved contract/order information into a "Production Task Order" (or internal order), which is reviewed and issued to the Technical Department, Purchasing Department, Production Department, Quality Department, etc.;
3. The "Production Task Order" should include: product name/specification, quantity, delivery date, technical standards, inspection requirements, packaging and transportation requirements, and any special requirements;
4. Each department should organize production preparations according to the "Production Task Order," and any doubts should be reported to the Sales Department for verification within one working day.

4.4 Communication with the Customer

The Sales Department should establish and maintain effective communication channels with customers, covering the following content:

1. Product Information: Product catalog, specifications, performance, price policy, delivery capability, etc., provided by the Sales Department and ensuring the information is true and accurate;
2. Inquiries, Contract, or Order Processing: Including the progress of contract signing, order execution, and delivery arrangements, with customer inquiries responded to within one working day;
3. Customer Feedback and Complaints: Including customer complaints, return and exchange requests, and satisfaction surveys, handled according to the "Nonconforming Product and Corrective Action Procedure" and the "Customer Complaint Handling Work Instruction";
4. Change Information: Any changes to product requirements, delivery dates, prices, etc., should be promptly negotiated with the customer and confirmed in writing.

All important communications should be recorded in the "Customer Communication Record Form" for traceability.

4.5 Changes to Product and Service Requirements

1. When the customer proposes changes (quantity, delivery date, specifications, packaging, etc.), the Sales Department should request the customer to submit the changes in writing (email, fax, letter). If the changes are proposed verbally, the Sales Department should document them and confirm with the customer;
2. Based on the impact of the changes, the Sales Department should re-review the changes with relevant departments according to the tiered review method in 4.2.2, confirming that the company still has the capability to fulfill the contract after the changes;
3. After the changes are confirmed, the Sales Department should fill out the "Requirement Change Confirmation Form" and obtain the customer's signature/stamp (or retain the customer's written confirmation);
4. The Sales Department should promptly communicate the change results to the Technical Department, Purchasing Department, Production Department, Quality Department, and Warehouse, and update the "Production Task Order" and production plans accordingly;
5. If the changes involve price or delivery date adjustments, these should be clearly stated in the change confirmation form;
6. If changes are required due to the company's reasons (e.g., delayed delivery, process adjustments), the Sales Department should communicate and negotiate with the customer in advance and obtain written consent before execution;
7. All relevant documented information (change applications, confirmation forms, correspondence) should be archived by the Sales Department.

4.6 Flowchart (Text Version)

Customer Inquiry/Order
    │
    ▼
Sales Department Receives and Registers (Order Registration Ledger)
    │
    ▼
Identify Requirements (Explicit/Implicit/Regulatory/Commitments)
    │
    ▼
Tiered Review (A/B/C) ──┬── Unacceptable ──→ Negotiate Adjustments with Customer ──→ Re-review
    │                 └── Unable to Meet ──→ Politely Decline and Explain Reasons
    ▼ Acceptable
Sign Contract/Confirm Order
    │
    ▼
Issue "Production Task Order" to Departments
    │
    ▼
Production Execution (Customer Communication and Information Transmission During Execution)
    │
    ▼
Customer Proposes Changes? ── Yes ──→ Written Confirmation ──→ Re-review ──→ Update Task Order and Communicate
    │
    ▼ No
Delivery and After-Sales Service (Satisfaction Surveys, Complaint Handling)
    │
    ▼
Record and Archive (Review Forms, Change Forms, Communication Records ≥ 3 Years)

4.7 Handling of Special Situations

1. Verbal Orders: When customers place orders by phone/verbally, the Sales Department should repeat the order content and confirm it with the customer, then proceed with A-level or B-level review, and subsequently sign a written contract;
2. Online/E-commerce Orders: Orders automatically confirmed by the platform should have automatic review rules set (e.g., standard products, routine quantities automatically pass). Orders exceeding these rules should be manually reviewed;
3. Sample/Prototype Orders: C-level review should be conducted, specifying the sample quantity, delivery date, inspection items, and sample confirmation process;
4. Customer-Provided Drawings/Technical Data: When receiving such data, it should be registered and managed according to the "Control of Customer Property Procedure," and the version validity should be confirmed before use.

5. Related Records

Note: Records should be marked, stored, protected, and disposed of according to the "Record Control Procedure."

6. Related Documents

1. Quality Manual (QM-01)
2. Record Control Procedure (QP-4)
3. Product Realization Planning Procedure (QP-13)
4. Design and Development Control Procedure (QP-15)
5. Purchasing and External Provision Control Procedure (QP-16)
6. Production Process Control Procedure (QP-17)
7. Product Protection Control Procedure (QP-20)
8. Nonconforming Product Control Procedure (QP-22)
9. Customer Satisfaction Monitoring and Measurement Procedure (QP-23)
10. Control of Customer Property Procedure (QP-19)
11. Customer Complaint Handling Work Instruction (WI-41)

Usage Instructions

1. How to Modify According to the Company's Actual Situation

1. Organizational Structure Adaptation: For companies without an independent Technical Department, the technical review responsibilities can be merged into the Production Department or Quality Department. For companies without a Purchasing Department, a designated person can handle the responsibilities. The responsibility allocation table should be adjusted according to the company's actual positions, ensuring that "each review item has a clear responsible person."
2. Product Type Adaptation: Pure trading companies can reduce the review items related to production and inspection capabilities in 4.2.2 and add "supplier supply capability" review. Service companies can replace "product requirements" with "service plan requirements," focusing on the review of personnel, equipment, and venue resource capabilities.
3. Adjustment of Tiered Standards: The amount thresholds for A/B/C levels (e.g., 50,000 RMB, 200,000 RMB) can be set according to the company's scale. Small enterprises can simplify to "routine/non-routine" two levels. Repeat orders can be specified to "exempt from review if the requirements are identical to the original contract, and directly registered."
4. Form Simplification: Small enterprises can merge the "Customer Requirement Review Form" with the contract text, adding a "review section" directly to the contract. The "Customer Communication Record Form" can be replaced with email and WeChat screenshots, but regular archiving is required.

2. Audit Focus Points (Key Points for Certification Audits)

1. Review Timing: Randomly check contracts/orders to confirm that the review date is earlier than the signing/commitment date, avoiding "act first, review later."
2. Capability Confirmation: Whether the review records confirm the company's technical, production, inspection, delivery, and financial capabilities item by item, rather than just signing off without thorough evaluation.
3. Change Closure: Whether changes are re-reviewed, documented in writing, and communicated to production—this is a high-risk area for nonconformities.
4. Record Completeness: Whether the "Customer Requirement Review Form" and "Requirement Change Confirmation Form" are properly saved, and whether verbal orders have confirmation evidence.
5. Implicit and Regulatory Requirements: Randomly check whether applicable standards and mandatory requirements (e.g., 3C, food contact materials) are reflected in the review.

3. Common Errors

1. Reviewing only price and delivery date, neglecting technical specifications and inspection capabilities, leading to orders that cannot be fulfilled;
2. Communicating changes to production verbally without written confirmation, resulting in quality and business disputes when the customer disputes the changes later;
3. One person in the Sales Department signing for multiple departments in the review form, leading to the review being deemed invalid during audits;
4. Not recording or confirming verbal orders, causing disputes over specifications after delivery;
5. Ignoring customer implicit requirements (such as packaging protection, transportation method), leading to customer rejection after delivery.

Review before commitment, document changes, and ensure closed-loop communication.

Knowledge code: 2.3.1

Version: v20260809

Author: Quality Think Tank Quality Think Tank is dedicated to providing systematic professional knowledge, methodologies, and practical tools for quality management practitioners, helping companies continuously improve their quality capabilities.