This presentation outlines the unique methodology that is used by the Compliance Council to develop and implement user friendly management systems in our client's organisations. Our management systems can be developed to comply with popular standards such as: - ISO 9001: Quality Management Systems - ISO 14001: Environmental Management Systems - AS/NZS 4801: Occupational Health and Safety Management Systems - OHSAS 18001: Safety Management Systems (commonly recognised as the international safety standard) - ISO 13485: Medical Devices - ISO 22716: Cosmetic Manufacturing This presentation is not designed to be visually appealing as the objective is to convey the methodology in simple terms. The Compliance Council can be contacted via 1800 771 275, enquiries@compliancecouncil.com.au, and www.compliancecouncil.com.au

1. Management System
Methodology

2. Week # Stage Tool Resources
1 Gap-Analysis • Audit Checklist
• Audit Report
• Project Plan
• Project Manager
• Management
System
Consultant
2 Consultation Workshop • Set Agenda • Management
System
Consultant
3 First Draft of Documents • System Framework • Quality reviewer
4 Draft Review Meeting • Set Agenda
• Change Log
• Management
System
Consultant
5 Final Draft of
Documents/
Stage 1 Audit by CAB
• Hard copy folder
• Soft copy via
dropbox
• Management
System
Consultant
6 Implementation Planning • Implementation plan • Implementation
Consultant
7-9 Implementation Activities • Implementation
checklist & agenda
• Implementation
Consultant
10 Pre-Stage 2 Audit Review • Final report & sign-off • Quality Reviewer

3. Week 1 – Gap-Analysis
 Involves assessing your organisation against the criteria of your chosen standard (e.g.
ISO 9001: Quality Management, WHS Legislation)
 Provision of a complete report including the audit criteria, gaps in your organisation,
and recommendations for addressing the identified gaps.
 Preparation of a project plan in consultation with the internal stakeholders and our
dedicated project manager.

4. Week 2 – Consultation Workshop
We will conduct a workshop using a set agenda that covers a variety of topics that need to
be discussed and considered as part of the management system including:
 Special client requirements that need to be met
 Objectives of the organisation and how they can be incorporated into the
management system
 Current organisational structure and the way that operations are currently managed.
 Future extensions of scope of the management system based on the direction of the
organisation (e.g. tendering for government work and requiring certification to
WHSMS & Auditing Guidelines Edition 5)

5. Week 3 – First draft of documents
 We have a management system framework that is adapted to an organisation based on
the results of the gap-analysis and consultation workshop.
 This framework is essentially the “bones” of a management system as this rarely changes
from organisation to organisation.
 When adapting and adding the framework it can be pictured as adding “flesh” to the
original “bones”.
 We have a dedicated quality reviewer who is responsible for reviewing the draft against
the criteria from the standard and signing off the draft prior to release.

6. Week 4 – Draft Review Meeting
 This meeting involves discussing any requested changes from your stakeholders and
adding these to a change log.
 The consultant will then make the changes to the system as long as they don’t affect
compliance with the relevant standards. As changes are made, the consultant will add
comments to the change log.

7. Week 5 – Final Draft of Documents/Stage
1 Audit by CAB
 Once the changes have been made to the management system, the management
system consultant will prepare a hard copy printout which is placed into folder and sent to
your office.
 A soft copy version of the management system will be provided in the same structure as
the folder via dropbox.
 The management system consultant will also provide a soft copy to your chosen
Conformity Assessment Body (CAB) who will conduct the document review audit.

8. Week 6 – Implementation Planning
 A handover will be conducted to the implementation consultant who will work with
internal stakeholders to develop the implementation plan.
 This plan will be executed over a three week period with the intention of preparing the
organisation for the Stage 2 Certification audit.
 At this meeting the implementation consultant will explain what is required to happen in
preparation for the audit and also what time is required from internal stakeholders.

9. Weeks 7-9 – Implementation Activities
As per the implementation plan, the consultant will execute the activities over a three week
period which include:
 Management System awareness training for manager, supervisors, and employees.
Note: Subcontractors may be included in this training.
 Preparation of records and various registers for the documented controls (e.g. non-
conformance reports, training & competency register, job tracking register, and
accredited suppliers register)
 Conduct internal audits and provide a schedule/training to the dedicated internal
resource to continue these after the certification audit.
 Conduct the initial management review meeting with key internal stakeholders.

10. Week 10 – Pre-Stage 2 Audit Review
 Our quality reviewer will conduct a review of the management system implementation
against the criteria of the initial gap-analysis to ensure that the organisation is adequately
prepared for the on-site certification audit.
 The quality reviewer will provide a final report and sign-off to the organisation.

11. Post-process Steps
 The client organisation will participate in a Stage 2 Audit which is conducted by their
chosen CAB.
 The organisation will receive an audit report from the CAB outlining their overall
compliance with the standard and the recommendation to be issued with a certification
certificate.
 Typically, the auditor will include their own recommendations on future improvements that
the organisation should consider although these won’t prevent the organisation from
receiving a certification certificate.

12. Questions
If you have any questions you can contact our team via:
 Office phone – 1800 771 275
 Email – enquiries@compliancecouncil.com.au
 Website – www.compliancecouncil.com.au