An easy and friendly way to create insight on the use of your Quality System or Management Model. - company wide coverage - results in 4 weeks - good start for improvement

1. Compliance check
Quality consultant - Richard den Dulk
Richard den Dulk
November 2014
Version 1.0
© CGI Group Inc. 2014

2. Compliance check .. Why??
• You use a Management Model (or Quality System) to structure your
organization and activities.
• The use of this model is checked in a regular external audit.
• You have internal audit mechanisms in place to regularly investigate
processes.
• Internal audits lead to findings in a ‘management review’.
• The ´management review´ leads to improvements which prevent
surprises form external audits.
So why check the compliancy?
1) Determine short comings in a broad perspective in 4 weeks
2) Confront higher management with their responsibilities
3) Get a friendly retrospective on your organization
2

3. Check and report
4
HowTo …
Appoint process
owners
Improve
Determine goal and
scope

4. Goal and scope
(interview higher management)
5
1. Validate the current status and determine
the necessary steps to fully comply to your
Management Model (MM).
2. Assess current compliance towards
ISO9001, so process owners can take
necessary actions before the actual
external audit will take place.
Deliverable:
• Status of current compliancy
Scoping:
• We need to be brief and act fast
• Accept an abstract overview
• Deny the luxury of documented proof
Results
• MM findings
• ISO9001 findings
• Ready for audit
Conduct
interviews
Combine
results
Report
ISO9001
Findings

5. Business Unit
HR
Market 1 Market 2 Market 3
Service Lines
Finance
Marketing
Legal
Operations
Communications
Appoint process owners
When Process Owners are not yet appointed, Policies and
Processes of your Management Model should be projected
on your Organization model.
The accountable manager is able to:
• Explain the policy or process
• Comment on the results of the policy or process
• Influence the performance of the policy or process
Appointing Process Owners is precondition to solving
findings after the compliancy check.
6
Process Owner (department) Accountable
Human resources HR department HR Director
… … …

6. Check and report
The duration of all activities are related to the total amount of processes and policies that are checked.
Preparation of the interviews consist of:
• Reading the company´s Management Model
• Create presentations per Process or Policy
• Interpret the standard questions
• Create an overall sheet with questions and answers
Interviews with Process Owners are planned considering the next ingredients:
• Each interview will start with an introduction
• The Policy or Process will be explained
• The 6-8 questions will be discussed
Each interview will lead to documented conclusions
• Evaluate minutes
• Combine conclusions
• Combine results to one overall sheet
An end report (presentation) will be created
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7. Use standard questions
With the ISO9001 standards as baseline we have composed brief and simple questions
and answers which can determine the maturity of the Process or Policy.
Process How is improvement achieved and can
you present an example.
1. Improvement is not implemented. The process itself could be running great, but there
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haven't been improvements yet.
2. You have documented results of the process, so improvements could be based on
these results.
3. There are action plans available that should improve the results you have documented.
4. Improvements are made and measured and you have documented proof that it has.
This process is fully implemented.

8. Compliance
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• Fast insight of the maturity.
• Easy to determine priorities.
Process / policy Process owner Q&A1
(1-4)
Q&A2
(1-4)
Q&A 3
(1-4)
Q&A 4
(1-4)
Q&A5
(1-4)
Process / Policy Compliance Action
Process 22%
Policy 37%
Process 48%
Policy 49%
Process 53%
Policy 58%
Process 62%
Policy 63%
Process 71%
Policy 88%
Process 94% Audit
Policy 99%
Q&A 6
(1-4)
Q&A 7
(1-4)
Q&A8
(1-4)
Q&A9
(1-4)
Q&A 10
(1-4)
Q&A 11
(1-4)
Q&A12
(1-4)
Improve now!
Improve
Q&A
Average MM
Process Owner 4 4 4 3 4 4 3,83 96%
Policy Owner 4 3 4 2 2 4 3 3,14 79%
Process Owner 4 2 3 2 1 2 2 2,29 57%
Policy Owner 4 4 3 4 4 3,80 95%
Process Owner 4 3 3 3 2 3 3 3,00 75%
Policy Owner 4 2 2 3 3 2 2 2,57 64%
Process Owner 4 4 3 2 2 3 3 3,00 75%
Process Owner 4 2 3 2 2 1 3 2,43 61%

9. Timing
Activity / Week 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Introduction x
Preparation x
Interviews x x
Report x
Short term actions x x
Improvements x x x x x x x x x x x
End report x x
Sign off x
• The Compliance check can be ready in 4 weeks.
• The execution of improvements are expected to take 10 weeks.
• A Compliance check including improvements will take 20 weeks.
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10. Improvement slides

11. Improvement approach
• Process owner appoints coordinator
• Coordinator and Quality consultant plan activities
• Appointed coordinator executes implementation
• Coordinator reports to process owner
• After reporting the process is ready to be audited
Define Measure Analyse Improve Control Report Audit
Define
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Measure
Control
Improve Analyse

12. Define, Analyze, Improve
What needs to be improved?
1. Execution of a certain step
2. Visibility
3. Compliance to rules
What´s the cause
1. No insight
2. No exposure
3. Not executed
What actions are taken?
1. Improve visibility in committees
2. Increase the use of reports and dashboard
3. Anchor in the new organization
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13. Measure
Action 23 24 26 28 30 32 34
Improvement 1 1 1 1 1 1 1
Improvement 2 22 22 23 24 25 26
Improvement 3 6 6 6 7 7 7
Improvement 4 3 3 3 3 3 3
Improvement 5 0 0 0 0 8 8
14
35
30
25
20
15
10
5
0
1 2 3 4 5 6 7 8 9 10 11 12

14. Control
By continuing to monitor key parameters the process will remain in control.
Other procedures may as well be implemented.
Control
Improvement Measurement Embedded in process
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15. Report
Findings
• What surprising facts were discovered during the Compliance check
Improvements
• Raised awareness
• Embedded solutions
• Communications
Measured results
• Every action and goal should have been measured
Remaining action
• Are there any remaining actions to be handed over?
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17. Our commitment to you
We approach every engagement with one
objective in mind: to help clients succeed