LLL Case Study PDF

LifeLong Learning Ltd Case Study
This section contains the Case Study information for a fictitious organization called “LifeLong
Learning Ltd (LLL).”
Please note that the documents included in this Case Study contain errors for training
purposes only. These documents should not be used as guides for developing management
system documentation.
***ASSUM E THE CUR R ENT M ON TH I S NOVEM BER FOR THE PUR POSE OF YOUR
AUDI TS AND DOCUM ENTED I NFOR M ATI ON I NSPECTI ON***
Contents
Managing Director’s introduction to LLL ...................................................................... 2
Quality Management System Overview – QM001 ......................................................... 3
Master Document Control Form – MDC01 – Issue 1 ..................................................... 4
Master Document Change Request Form – MDC02 – Issue 1........................................ 7
Scope of the Quality Management System .................................................................. 8
Exclusions ................................................................................................................. 8
Quality Policy ............................................................................................................ 8
Organization Chart..................................................................................................... 9
Responsibilities and Authorities .................................................................................. 9
LifeLong Learning Process interrelationships................................................................ 10
Management Review ................................................................................................. 11
Planning for the QMS ................................................................................................. 20
Context of the Organization (Issues and Requirements) ............................................... 21
Risks and Opportunities ............................................................................................. 23
Risk and Opportunities Action Plans ........................................................................... 31
Objective Action Plans ............................................................................................... 34
Processes: PD1-3 (and relevant parts of PD7-9) .......................................................... 37
Processes: QPR1 – PD5 (and relevant parts of PD7-9) ................................................. 72
Processes: PD6 & Customer feedback (and relevant parts of PD8-9) ............................. 115
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Managing Director’s introduction to LLL
LifeLong Learning Limited (LLL) is a training organization based in London that currently
delivers mainly business management system courses throughout the UK. The intention for next
year will be to roll out a course delivery service globally.
The organization provides a wide variety of courses both “open”: which are available to all
organizations, or “in house”: which are delivered to a specific organization. The in house courses
can be tailored to suit a particular organization’s needs.
Venues are selected based on their abilities to provide a good standard of service and provide an
atmosphere conducive to effective learning.
This year has seen very good growth in both areas and there are expectations by management that
this growth will be further increased next year by 15%. The overall aim is to be seen as the market
leader in the training sector they are involved in.
In order to achieve this, LLL has conducted a review of its offerings and sees a clear need to
develop and expand into other areas of training, specifically: bespoke training solutions in
manufacturing equipment. This will require a considerable investment in resource, which has been
agreed and secured.
More and more clients are looking for tailored manufacturing training solutions which can be
delivered quickly and where they need them. To this end it has been recognised by LLL that
design and development of new offerings is becoming increasingly important; as is the time taken
to develop them.
A number of the business courses are also accredited by external bodies, and it is important that
the courses are carefully designed to meet the course syllabuses, and they are consistently
delivered by suitably trained and competent trainers. The courses, including: course materials,
venues used, and the trainers themselves, are subject to regular assessment by the external bodies
so as to provide assurance of their on-going suitability.
To help deliver this first class training it has been recognised that the staff employed by LLL are
crucial to its on-going success, and achievement of the business objectives. Therefore, selection
and recruitment is seen as key; as is on-going training provided to help staff in these new areas of
focus.
The business has been hugely successful in the last three years, and has grown its turnover from
10M to 15M. The company is also now facing increased competition, and there is a need to get
new courses to market more quickly. The organisation is planning to implement a new customer
relationship management system (CRM) to assist with driving sales and growth.
There have recently been new members of staff appointed in both administration and the tutor
group: administration is due to people leaving; tutors due to continued growth.
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LifeLong Learning (LLL) Limited
Quality Management System Overview – QM001

This document is our high level summary of our Quality Management System. All documented
information is contained electronically on the Organization’s Intranet.
Issue: 2
Date of Issue: October 20xx

Controlled/Uncontrolled copy
Contents:
• Master Document Control Form
• Master Document Change Request Form
• Scope of the QMS
• Exclusions
• Quality Policy
• Organization Chart
• Responsibilities and Authorities
• LifeLong Process Interrelationships
• Management Review
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Master Document Control Form – MDC01 – Issue 1
This intranet page (recently extracted below) applies to all documented information, produced by LifeLong Learning, that needs to be controlled
within the Quality Management System (QMS). This is to ensure a consistent approach: in that only the most up to date version of any document is
available, online at any point in time, and to ensure that documents are relevant, concise and current.
Document Number Issue Owner/Document Title Retention time

status (years)
QM001 1 Managing Director/ Quality Management System Overview Until revised
MDC01 1 Operations Manager/ This document Until revised
MDC02 1 Operations Manager/ Master Document Change Request Form Until revised
Processes
LLL Activities 4 Managing Director/ Processes, Objectives and Measures (included within it): Until revised
QP2 2 Operations Manager/ Internal audit process Until revised

QP3 1 Operations Manager/ Control of nonconformity and Corrective action process Until revised
PD1P7 1 Managing Director/Context of the Organization (Issues and Requirements) Until revised
PD1P8 1 Operations Manager/Risk and Opportunities Until revised
PD1P10 4 Operations Manager/Risk and Opportunities Action Plans Until revised
PD1P11 3 Operations Manager/Objective Action Plans
PD5P2 1 Operations Manager/ Public course unexpected events and emergency events Until revised
PD7P1 1 Administration Manager/ Purchasing process Until revised
PD9P1 1 Operations Manager/ Complaints and compliments process Until revised
QPR1 1 Operations Manager/ Client property process Until revised
PD1 - Course Planning Forms

PD1F1 2 Administration manager/ Supplier selection criteria Until revised
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PD1F2 2 Department managers/ Selection of LLL Training documented information Until revised
PD1F3 1 Tutor Manager/ External Resource Hire form 3
PDF9F2 1 Department Managers/ Improvement action request 1
PD1F5 2 Marketing Manager/ Selection from this year’s course schedule 1
PD1F6 1 Operations Manager/ LLL Annual Course Planning – Quality Plan 201X 1
PD1F9 2 Operations Manager/Issues, Requirements, Risks and Opportunities 1
PD2 - Course development Forms

PD2F1 1 Operations Manager/ Material Revision Details Indefinite
PD2F2 2 Operations Manager/ Course build list Life of the current
course revision
PD2F3 1 Operations Manager/ Course Template Life of the current
course revision
PD2F4 2 Operations Manager/ Course sales briefs Until revised
PD3 - Winning Sales Forms

PD3F1 1 Sales Department/ Booking confirmations 1
PD3F3 1 Sales Department/ Course invoices 1
PD3F4 1 Sales Department/ In-Company Training Requirements Form 1
PD3F5 1 Sales Department/ In-Company Training Acceptance Form 1
PD4 - Pre course Administration Forms

PD4F2 1 Administration Department/ Selection of courses delivered 1
PD4F3 2 Administration Department/ Venue check 1
PD5 - Course Delivery Forms

PD5F1 2 Tutor Manager/ Generic tutor guidance Until revised
PD5F3 1 Tutor Manager/ Tutor Change Request Notice 1
PD5F4 2 Administration Manager/ Course Evaluation 1
PD5F5 2 Tutor Manager/ Training company - Course Summary Sheet 1
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PD5F6 1 Tutor Manager/ Tutor training records Employment end

PD5F7 2 Tutor Manager/ Delegate lists 1
PD6 - Post Course Administration Forms

PD6F1 2 Administration Department/ Course certificates 1
PD7 – Purchasing Forms

PD7F1 2 Administration Department/ LLL Requisition and Purchase order 5
PD7F3 3 Administration Department/ New Supplier Approval form 5
PD8 - Monitoring and measuring Forms

PD8F1 3 Tutor Manager/ Tutor observation feedback 1
PD8F2 1 Department Managers/ Monitoring and Measurement 1
PD8F3 2 Operations Managers/ Audit Programme 1
PD8F4 1 Operations Managers/ Audit Checklist 1
PD8F5 1 Operations Managers/ Audit Report 1
PD8F6 1 Operations Managers/ Audit Nonconformity Matrix 1
PD8F7 1 Operations Managers/ Complaints Log Form 1
PD9 - Improvement Forms

PD9F1 1 Department Managers/ Corrective action requests 1
PD9F2 1 Department Managers/ Corrective Action Schedule 1
PD10 – Management review Forms

PD10F2 1 Operations manager and Managing Director/ Management review agenda 1
PD10F3 1 Operations manager and Managing Director/ Management review minutes 1
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Master Document Change Request Form – MDC02 – Issue 1
SECTION A – PROPOSER
Requested by: Date:
Department: Ext:
Change
Current reference of Issue Date Change
document(s) to be status Required
changed/withdrawn
Proposal to issue new document(s)
Proposal to change document(s)
Proposal to withdraw
(document(s)
Details of proposal/change (attach relevant document(s))
SECTION B : Documented Information OWNER

Request accepted / not accepted (delete as appropriate)
Signed: Date:
SECTION C : Documented Information AUTHORISER

Request approved / not approved (delete as appropriate)
Signed: Date:
SECTION D : DOCUMENT CONTROLLER

New document reference: Issue : Date:
New master document received:
Document distributed to users by document controller
MDC01 updated
Signed: ________________________________ Date:____________________
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Scope of the Quality Management System

The provision of a range of training courses focused on business management systems and
most recently: manufacturing equipment. Courses are prepared as bespoke courses or chosen
from a range of open, standard offerings.
Exclusions
There are 5 areas of ISO 9001 where exclusions are made. These relate to:
7.1.3 Infrastructure and 7.1.4 Environment; as training is not carried out in our premises.
8.3 Design and development; as the courses we offer are based on established principles and
are sold on that basis.
8.5.1 f) Validation of processes; as all of our services and processes are monitored at
appropriate stages throughout sales, delivery and post-delivery activities.
7.1.5 Calibration; as we use no monitoring equipment in the provision of our training
solutions.
Quality Policy
LifeLong Learning (LLL) are committed to providing training for public and in house
courses, to customers’ requirements, in accordance with the regulations of the country it is
operating in.
LLL will strive to increase its profits each year by organic growth, and customer satisfaction,
specifically through the use of distance learning and e-learning approaches.
Continual improvement, and a commitment to satisfy all requirements, is a permanent
objective of the organization. This policy shall be communicated to all employees with the
opportunity for them to seek clarification where required. The policy shall also be
communicated to all interested parties.
LLL are committed to ensuring all tutors are of the very best caliber and have the ability to
train in multiple disciplines, thereby creating value for their clients and maximizing profits for
the organization. LLL’s goal is to provide the necessary resources, this includes all LLL staff
for which they will encourage their views. LLL will treat employees and contractors with
respect, and will aim to offer development opportunities to all of them.
LLL are committed to meeting all requirements from their customers: including those of
training course accreditation bodies.
Each process will have objectives set (as applicable) to support the delivery of this quality
policy, especially those relating to the: design & development of new training courses and
growth targets.
This policy will be implemented through a formal quality management system. The system
will be regularly audited and reviewed to ensure its ongoing suitability, adequacy and
effectiveness. These actions will be used to identify further improvement opportunities.
Managing Director
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Organization Chart
MD
Marketing Administration Operations

Sales Manager
Manager Manager Manager
6 Sales 3 Instructional
8 Administrators Tutor Manager
Executives Designers
27 Tutors
Responsibilities and Authorities

The quality management system is fully integrated into this management structure; as each
person is responsible for quality at their appropriate level of authority.
Managing Director (Chris Way)

It is the responsibility of the Managing Director to ensure that the company achieves its policy
and objectives for quality.
Operations Manager (Christine Spencer)

It is the Operations Manager’s responsibility to ensure that the organization provides learning
solutions that meets customer’s needs. This will help to achieve the objectives of the
organization and provide a service to a level which all staff can be proud of. The Operations
Manager has the following additional responsibilities:
a) Preparation and maintenance of the organization’s intranet quality page (detailing all
the documented information required of the QMS (MDC01).
b) Ensuring a quality system is established, implemented and maintained.
c) Reporting to top management on the quality system and the need for improvement.
d) Maintaining awareness of customer focus/needs throughout the organization.
The Operations manager has other responsibilities for providing audit, monitoring, analytical
services and useful information to all the operating departments: so that they consistently
meet their objectives and strive for further improvements.
Tutor Manager (Kevin Holmes)

It is the responsibility of the Tutor Manager to ensure that the provided learning solutions
(either as open courses or as in house courses) are delivered to the highest possible standards.
Marketing Manager (Jane Wilkinson)

It is the Marketing Manager’s responsibility to ensure that the market place is made aware of
the excellence of LLL: to generate new customers and business, and to service existing clients
to consistently improve standards.
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Sales Manager (Robin Hood)

It is the Sales Manager’s responsibility to ensure that the customers are provided with the
right information and solutions, and to ensure that the organization achieves it sales goals.
Administration Manager (George Price)

The administration manager is responsible for ensuring that venues used, for the open courses,
are selected based on their ability to provide an excellent service: both in the conferencing
facilities for the delegates and an overall excellent environment for effective learning. The
manager is also responsible for ensuring the smooth and effective running of the office to
provide a reliable and effective administration service (materials, certificates, invoicing, etc.)
both to the customer and the tutors.
LifeLong Learning Process interrelationships
Customer Determine
Determine Risks & opportunities (PD1P8)
Focus (T.M.) Context (PD1P7)
QMS Policy (QMS001) & Management

Objectives review (PD10)
Course Planning
(PD1) Analysis &
Evaluation
Resource Monitoring and
Identification Measurement (PD8)
Winning Sales
(PD3) & Marketing
Customer Pre-course Course Post-course Customer

Booking admin (PD4) delivery feedback
enquiry admin
(QPR1) (PD5, (PD5F4,
(PD6)
PD5P2) PD9P1, QP3)
Tailoring of courses
System support activities

Internal audits (QP2), control of nonconformity/corrective action (QP3),
purchasing ((PD7/P1), training (PD1F2, PD5F6), Improvement (PD9/P1), Course Development (PD2)
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LLL ACTIVITIES – Processes, Objectives and Measures – Issue 4 (Extract)

Management Review
PROCESS INPUTS ACTIVITIES OUTPUTS OBJECTIVES/MEASURES
Objective
• To evaluate and ensure
the on-going suitability,
adequacy and
effectiveness of the QMS
• Management review • Conduct regular reviews • Minutes of meetings
PD10 - Management
agenda (PD10F2) • Review and develop the (PD10F3)
review Measures
• Data analysis processes of the QMS • Details of any decisions
Managing Director • Need for improvements • Review data provided and actions needed and • Number of management
• Minutes of previous • Identify if any action needed allocation of reviews conducted
meetings • Top management review responsibilities • Full attendance of all top
management
• Number of reported
improvement
opportunities
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LLL ACTIVITIES – Processes, Objectives and Measures – Issue 4

PD10 MANAGEMENT REVIEW PROCESS CONT/
Meeting attendees, where possible:
• Operations Manager (Quality Manager)
• Tutor Manager
• Administration Manager
• Marketing Manager
• Sales Manager
• (Other personnel as required)
At prescribed
intervals
Operations Manager
Management Review
meeting is arranged
Collate all relevant input

Department Representatives from departments/ sections
and ensure input into
meeting (PD10F2)
Hold meeting
Meeting Attendees covering agenda
items as necessary
Prepare summary output

Operations Manager report for other members of
the organization and the MD
Other members of the
Departmental organization review report

Managers
and comment. Pass to MD
Managing Complete and
for final comment.
Director maintain minutes as a
record
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Under LLL document control
MANAGEMENT REVIEW AGENDA – PD10F2 – Issue 1
DATE:
ATTENDEES AND APOLOGIES:
INPUT:
• Follow-up actions from previous management reviews

• Quality objectives
• Results of audits
• Customer feedback
• Performance of suppliers
• Process performance and product conformity
• Nonconformity and corrective actions
• Opportunities for continual improvement
• Changes in issues that could affect the QMS and strategic direction
• Adequacy of resources
OUTPUT
Can include some or all of the following

• Improvement of the effectiveness of the quality management system and it’s
processes
• Improvement of product or service related to customer requirements
• Resource needs
ANY OTHER BUSINESS
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Under LLL document control PD10F3 – Issue 1
MANAGEMENT REVIEW DATE – January 20xx

ATTENDEES AND APOLOGIES
Admin Manager, Tutor Manager, Marketing Manager
Apologies from Sales Manager, Operations Manager
Follow-up actions from previous management reviews

All outstanding actions from the last management review have been implemented and
verified.
Quality objectives
Progress is slowly being made on each process objectives (defined in LLL ACTIVITIES).
For the last 6 months of the year achievement will be monitored via the monthly management
meetings to ensure achievement.
Results of audits
Internal audits are now gathering speed in line with the audit programme, this has been due to
the excellent external auditor course we sent them on.
Customer feedback
Analysis of customer feedback has been slow due to some staff in administration leaving and
new recruits being sought. This should start to improve in the coming weeks.
Performance of suppliers
Suppliers are being reviewed and the major concern has been with one of our printing
suppliers. We are taking steps to review this contract with a view to selecting a new supplier
in the coming months.
Process performance and product conformity

Process and courses are being monitored. However due to admin staff leaving recently the
last set of data on tutor performance, and delegate satisfaction levels, has not been evaluated.
Performance in other areas has been monitored by all managers and apart from the
purchasing problem identified above all targets have been met.
Nonconformity and corrective actions

Corrective actions are up to date, only one remains outstanding. This relates to the up-skilling
of tutors to enable them to deliver manufacturing equipment courses and the increasing
number of the courses from our portfolio.
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Opportunities for continual improvement
We have had a significant initial enquiry from an organization called Plastico who are
seeking to outsource their manufacturing training. It is unlikely that they will be looking to
place any contract with us until the latter part of this year as they have existing contracts to
fulfil until then. They are going to send some employees onto our open courses to see how we
deliver our training. However, their main area of interest is in more technical training
regarding their plastic injection moulding processes, which we have little existing
competence, and want to be assured that we would be able to deliver this for them. Later in
the year they want to carry out an audit on our quality management system, and suitability to
deliver their specific training needs. The date of this audit will be confirmed later in the year.
We would suggest that new tutors should perhaps cover this competence area urgently.
Changes in issues that could affect the QMS and strategic direction
None.
Adequacy of resources
Additional administrators need to be recruited due to staff leaving and new management
system tutors are required to be able to deliver the increased courses anticipated to be run this
year. Alternatively we should look at taking on external resource to deliver these courses.
ANY OTHER BUSINESS

None.
Proposed actions
• Monitor process objectives at our monthly management meetings to ensure they are
achieved
• New recruits in admin to be sought
• New printing supplier to be located
• Obtain the last set of data on tutor performance, and delegate satisfaction levels, and
ensure evaluated
• Look at taking on external resources to meet increasing volumes
All the above have been circulated with the intention of being implemented prior to the next
management review.
Final comment from MD:
Outputs look acceptable, please implement, advise on costs beforehand.
MD Signed …… Chris Way……..
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Under LLL document control PD10F3 – Issue 1
MANAGEMENT REVIEW DATE – July 20xx

ATTENDEES AND APOLOGIES
Sales Manager, Tutor Manager, Admin Manager
Apologies from Marketing Manager
Follow-up actions from previous management reviews

• Monitor process objectives at our monthly management meetings to ensure they are
achieved – Yes this was undertaken, but we are still failing to meet certain objectives
• New recruits in admin to be sought – leaving as fast as we recruit them! Need to look
at wage levels; as they are going to our competitors
• New printing supplier to be located – Secured now.
• Obtain the last set of data on tutor performance, and delegate satisfaction levels, and
ensure evaluated. Operations Manager has not had time to action this.
• Look at taking on external resources to meet increasing volumes. Two new full time
tutors have been taken on and we have identified another 2 external resource tutors
who seem to fit the bill. These will be offered contracts in due course.
Quality objectives
Quality objectives have now been set for the finance accounts department. All objectives are
monitored as part of the monthly management meetings now, and reported there.
Results of audits
Internal audit programme has largely been implemented to schedule. Some audits have not
been carried out when they should have been. Results show that in the main the
systems are working; however there are a few nonconformities raised regarding supplier
selection and course returns. The second problem can delay the issuing of the
certificates. Two areas where corrective actions had been identified have been audited and
actions have been taken and closed out.
Customer feedback
We are now getting reduced levels of customer satisfaction. One issue being
highlighted is with our venue in Glasgow which is scoring low on delegates’ feedback
sheets. The problems reported are to do with the quality of the food and slow service in
the restaurant and the classrooms being too cold and cramped and the poor attitude of
some staff. A decision was made to use this venue, but it appears that it did not meet
our exact requirements and we cannot determine who did the evaluation.
Performance of suppliers
We have secured a suitable print supplier for our course materials. The Admin
Manager went to visit them and was impressed with the quality of the work they do and
the capacity of printing machines. This should mean that they will be able to cope well
with our needs: especially print on demand, which is what we are moving towards to
reduce the amount of course material stock we hold.
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Process performance and product conformity

Disappointingly, due to continued shortages on administration staff, we are still not
getting a full and complete set of performance data from administration to enable us
the carry out a full and proper analysis to aid our decision making.
Nonconformity and corrective actions

Three of the new tutors have been through our training process. The fourth one:
Norman Black, is progressing well and we are hopeful he will be fully signed off soon.
There have been 2 corrective actions taken in the areas of sales and course delivery.
Both have been successfully implemented and verified through our internal audits.
There is still an action that needs to be closed out, and that relates to improving times
for course returns.
Opportunities for continual improvement

Plastico, who are a very large plastic injection moulding organization with multiple sites
around Europe, are still interested in using us as their preferred training supplier. Before
they do though, they want to carry out an audit of us in November. We need to make sure
everything is in order before the visit. The main concern is still that our tutors are
management system specialists and not manufacturing equipment trained. This was also
raised at the last review.
The supplier evaluation process relating to selection of venues needs to be tightened
up. The administration manager will look into this and report back at the next
management review. We will investigate what we can do to reduce the time it takes to
get materials sent back after courses, and to issue the certificates to our delegates. The
Administration Manager, together with the Tutor Manager, to investigate possible solutions,
and to identify the best possible option. This will be reported back on the next management
review at the latest, preferably sooner at the monthly management meetings.
Changes in issues that could affect the QMS and strategic direction
None.
Adequacy of resources
Admin staff has still a shortfall impacting on customer satisfaction and staff morale/sickness.
ANY OTHER BUSINESS

None
Proposed actions
• Follow up on the few nonconformities raised regarding supplier selection and course
returns
• Investigate how Glasgow venue was selected and who did the evaluation
• Obtain a full and complete set of performance data from administration
• Actions that needs to be closed out, that relates to improving times for course returns,
needs completing
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• Investigate what we can do to reduce the time it takes to get materials sent back after
courses, and to issue the certificates to our delegates. The Administration manager,
together with the Tutor Manager, to investigate possible solutions
All the above have been circulated with the intention of being implemented prior to the next
management review.
Final comment from MD:
MD Signed ………(MD in Philippines, so Operations Manager has signed off)……………

P.P Christine Spencer – WE NEED TO ACTION TUTOR COMPETENCE PRIOR TO
PLASTICO AUDIT. I’LL TRY AND ARRANGE A COMPETENT EXTERNAL SUPPLIER
TO ACT ON OUR BEHALF FOR THE AUDIT.
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Monitoring and Measurement – PD8F2 – Issue 1

Process Objectives Measures Frequency of Data Data Data Data 3
data collection this last 2 mths mths
mth mth ago ago
Management To evaluate and (last page of the
Review – PD10 ensure the on-going case study refers to
suitability, adequacy the numbers below)
and effectiveness of
the QMS 23) Number of Six monthly 0 0 0 0
management
reviews conducted
(Not all
24) Full attendance present
of all management Six monthly in July
or at the
last
25) Number of review)
successfully
actioned
improvement Quarterly 0 0 0 0
opportunities
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Context of the
Organization
(Issues & Requirements)
AND
Planning for the QMS
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Under LLL document control PD1P8 – Issue 1
Context of the Organization (Issues and Requirements)
All organizations have issues and specific interested party requirements from time to time.
LLL considers that issues/requirements are those events that can impact on the planning of
the QMS; in particular become a threat, or an opportunity. These issues/requirements can
either be from outside, or from inside the organization. LLL documented information PD1F9
contains the determination of issues & requirements.
The issues/requirements relate specifically to the ability of the organization to demonstrate its
ability to consistently provide products and services to meet customer and applicable
statutory and regulatory requirements and aims to enhance customer satisfaction.
Issues/requirements will be monitored/reviewed as part of the management review process.
External issues have been considered relating to:

Legal
Technological
Competitive
Market
Cultural
Social
Economic
Internal issues have been considered relating to:

Values
Culture
Knowledge
Performance of organization
Certain interested parties have been determined by LLL as not being relevant to its QMS:
Interested party Not relevant
Local residents No impact on QMS
Bank/Finance Financial considerations only
Pressure Groups We don’t have any
Insurers Financial considerations only
Trade Unions No employee is represented
General Public No impact on QMS
Certain interested parties have been determined by LLL as being relevant to its QMS, but
particular requirements as not relevant. These are identified in the tables below.
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History
LLL has received complaints from our accredited course provider (for Lead Auditor courses)
that numbers attending have exceeded permissible limits. Despite informing Sales on
repeated occasions these still occur; we believe due to sales targets pressure (Issue: Legal
Compliance, Reputation Management.)
Customer complaints arise mainly from poor venues – food, lighting, dull demeanor, small
rooms, and lack of tutor competence in certain specialist areas (Issue: Reputation
Management, loss of business).
Printers have been troublesome in the past, either printing the wrong courses, or delivery
printed materials to the wrong venue (Issue: Reputation Management, loss of business).
Due to on-going problems with securing adequate resources in the administration area, LLL
had received numerous complaints regarding registration for courses, course certificates and
invoicing (Issue: Reputation Management, loss of business, invoicing sales loss).
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Risks and Opportunities
Organization’s risk analysis

LLL has considered the identified issues/requirements, and determined the corresponding
risks and opportunities relating to them (LLL documented information PD1F9).
Particular consideration is made to:

1. Giving assurance that the QMS can achieve its intended result(s)/outcome(s)
2. Prevent, or reduce, undesired effects
3. Achieving financial growth targets
These risks are reviewed at every management review to establish if they are still risks, or
opportunities, and if so what the adequacy of controls are.
Risk H/M/L (Effect)

This is determined as follows:
L (Low) = Low impact on the considerations above
M (Medium) = Medium impact on the considerations above
H (High) = High impact on the considerations above
Actions to address these risks and opportunities

LLL has considered the identified risks and opportunities in view to planning actions. In
particular how to:
• Integrate and implement the actions into its QMS, and
• Evaluate the effectiveness of these actions
LLL documented information PD1P10 contains the Action plans.
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Extracts (Samples selected by auditor)
PD10F3 Risk (-ve)

Expected
– Issue Issues (External) Uncertainty H/M/L Opportunities
1 Result
(Effect)
(Competitive) Let’s see if we can establish a

We can continue to Loss of supply through competitors
unique supplier contract
1 Preferred suppliers run training course at trying to establish unique supplier M
limiting competitor
(venues) - stability our preferred venues contract – especially xxx Venues
access/marketing of the venue!
(Economic) Preferred suppliers going out of

Opportunity to ensure we have
Preferred suppliers business (specifically our printers,
4 Preferred suppliers - H multiple suppliers for the same
remaining in business who are struggling in this economic
existence requirement
climate)
Statutory, Regulatory,
Not meeting our legal requirements
(Legal) HR, Contract, OH&S,
– of particular concern is our waste
5 Environment, and L
Legal compliance disposal at venues to meet our EMS
Data protection laws
ISO 14001 commitments
in compliance
(Market) Increase customer base, sales

Customers remain in Some customers suffering because
to taget new clients as well as
7 Customers’ businesses business and continue of recession, and being liquidated – M
existing clients. Tempt with
- viability to utilize our training training budget reduced
new training offerings
(Technological)
New courses will need Engage with venues and
Access to internet - Access is often intermittent and
12 access to multi-media L express our future
during training course variable – venue dependent
during the course requirements
delivery
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Case Study (Tutor)
Banks and Insurers

(Economic) continue to provide
13 Banks and insurers defaulting L
Financial security expected service to
LLL
(Social) Employees of LLL
Certain employees of LLL have
Interaction with socially interact with Engage in cultural awareness
different social behaviours that
19 customers from customers, during H programmes for high risk staff
might be offensive to others –
different countries - events, appropriately (Sales Manager)
excessive alcohol consumption
events (in different countries)
(Cultural) Delivering tutor is

aware of/and
Delivering training in Do not send tutors who don’t like
22 demonstrates the L
other countries - other countries/cultures
particular country
custom cultural norms
Language issues. Many courses
(Market) will have to be in their local
Customers in new Will affect global roll out of
language. We cannot assume
Attempt to cut back countries, are not courses – Research is
28 everyone speaks English! – Impact H
courses globally – willing to give LLL necessary here on financial
on quality of running the
reduced customer base Training a chance viability - costs v benefits
course/financial viability - if
employ local tutors
(Competitive) Growth is dependant on expansion
Falling behind Growth as predicted into other countries and new
30 L
competitors – not the of 5% markets – specifically bespoke
market leader manufacturing equipment
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Case Study (Tutor)
(Social)
Venues becoming Preferred venues will Many of our current preferred
33 tired looking/not grow and invest in venues are struggling financially – L
providing the best new facilities facilities starting to look tired
facilities – ineffective
learning
(Competitive) Their market share Resources, infrastructure to take on Produce a project
Competitors going out goes to LLL without additional business – especially in plan/contingency plan for this
34 -
of business – appreciable delay, other countries, and in training the eventuality, detailing actions to
economic climate new customers happy manufacturing sector upscale quickly
… … … … … …
Extracts (Sample selected by auditor)

Risk (-ve)
PD10F3 – Expected
Issues (Internal) Uncertainty H/M/L Opportunities
Issue 1 Result
(Effect)
(Knowledge)
Availability of Tutors are competent Selection of existing tutors have a Opportunity to multi-skill tutors
52 reliable, qualified in a cross-section of limited portfolio of MSS subject H – impact on deployment and value
and competent tutors MSS subject areas areas - limiting deployment for clients
- covering multiple
MSS disciples
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(Culture) within the Unacceptable quality of work in

Workforce is
53 training department administration - due to staff L Under review
motivated
– staff shortages shortages
(Values) Workforce remains
Workforce leaving - for better paid Opportunity to benchmark our
59 Workforce retention with the organization M
work to our competitors competitors wages
- loyalty for their working life
(Culture)
Not sure if all employees are aware
Internal All employees are Check during internal audits that
61 of policies and objectives, L
communications - communicated to this is the case
especially towards the customer
implementation
(Performance) We have occasional software Ensure backup systems are robust

Reliable service,
65 glitches, inability to process orders M and how we can limited
IT Systems - robust without interruptions interruptions to operations
and invoicing etc.
(Performance) Uninterrupted energy

supply –
66 Security of energy Environmental/Energy N/A
supply - management system
interruptions concern (ISO 50001)
(Knowledge)
Expand into new Tutors are competent Tutors are still not competent in
Train existing tutors in bespoke
67 areas of training - in this area and sales this area, and difficulty in securing H
manufacturing equipment
bespoke equipment win new business competent external resource
training
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(Values) Resources are secured

High wages are being demanded Investigate whether external
(budget currently
Investment in tutors for this area – will we have to use resources would prefer an
69 being reviewed now) H
– new areas of tutor existing resource? (Effect on internal position with LLL (for
for tutors to deliver
competence quality of delivery, complaints etc.) security etc.) but with less pay?
manafacturing training
(Performance) Time taken to develop
Tutors are already stretched in
Time to develop new new courses is a Can we use external resource
73 delivery – new course development M
training courses - market leader for our to help write course content?
currently takes second stage
slow sector
(Performance) CRM is implemented Due to staffing issues in
74 New CRM - according to project administration, CRM L
effectiveness plan implementaton has been delayed
No tutor should be Due to customer needs and growth
(Culture) allocated to training demands, tutors are being allocated
77 Allocation of tutors - where competence in occasionally to training where M
tutor competence the subject matter is competence is lacking – especially
lacking bespoke manufacturing training
Ensure tutors have days at
Tutors should be Tutors are travelling on Sundays to
home to compensate (between
(Values) given the same venues, arriving late home on
courses). Try not to run courses
80 Tutors work/life work/life balance as friday nights, preparing expenses M
always on Mondays, or offer
balance other members of the on Saturday etc. Training delivery
late starts, also early finishes
organization could be affected
on Fridays
… … … … … …
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Case Study (Tutor)
Interested Parties/Stakeholders
Extracts (Sample selected by auditor)
PD10F3 –
Issue 1
Interested Party Relevant? Requirement (Expected Result) Relevant? Uncertainty
Good financial performance, legal

IP1 Executive Board Y Y See issues identified above
compliance / avoidance of fines
IP3 Local residents N N/A N/A N/A
Statutory, Regulatory, HR,
Contract, OH&S, Environment, and
Data protection laws in compliance.
Identification of applicable
statutory & regulatory requirements
IP4 Regulators Y for the products and services Y See issues identified above
provided, understanding of the
requirements, application within
QMS of the requirements, and
update/ maintenance of them.
Prompt responses to investigations
and enquiries
IP7 Bank/Finance Y Good financial performance Y See issues identified above
IP8 Employees N N/A N/A N/A
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IP9 Local Community Y Legal compliance, employment N N/A
Training end users - Knowledge & skill, good venue,

IP10 Y Y See issues identified above
Customers enjoyed it
IP24 Insurers N N/A N/A N/A
IP27 Contractors/Suppliers Y Prompt payment N Nothing to do with QMS
IP28 Public Relations Y Maintenance of reputation Y See issues identified above
Compliance (employment law),

IP29 Trade Unions Y Y See issues identified above
good pay
IP31 General Public N N/A N/A N/A
… … … … … …
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Case Study (Tutor)
Risk and Opportunities Action Plans

Risk treatment options for addressing risks and opportunities will include: avoiding the risk
first, followed by (in order) – taking risk to pursue an opportunity, retaining risk by informed
decision, eliminating the risk source, and finally changing the likelihood or consequence.
Plan 52: (Owner: HR Manager)
Risk Risk H/M/L

Uncertainty H/M/L (Effect) after
(Effect) risk treatment
Selection of existing tutors have a

52 limited portfolio of MSS subject H L
areas - limiting deployment
What will be done: (Risk treatment option taken – retaining risk by informed decision)
1. Area affected: Course Planning

2. Process: PD1
3. Required quality performance: Increase single/dual subject MSS tutors to
three/four MSS (Management System
Standards)
4. Competence necessary (Knowledge) to achieve quality performance:
a. What knowledge is necessary Knowledge of the particular MSS and of the
here? subject discipline itself
b. How is this knowledge currently Subject matter experts (SMEs) keep the other
maintained within the tutors informed of developments and
organization? continued professional development (CPD)
c. How is it made available? New tutors will attend a Requirements course
Education? and a Lead Auditor course.
Training? New tutors will study the disciple from the
Experience? appropriate professional institute (distance
learning, in own time)
5. Competence necessary (Skill) to None necessary, other than the skills needed
achieve quality performance: for a delivering tutor (already satisfied)
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Case Study (Tutor)
What resources will be required:

Time for tutors to attend the requisite courses (Requirements & Lead Auditor). Subject matter experts
to perform the training and CPD. Financial resource for the distance learning professional institute -
distance learning courses (Approximately £2,500) for each tutor, and costs for any external resources
acting as SME’s.
Who will be responsible: Operations Manager
When will it be completed: Over the next three months (Oct-Dec 20xx) to complete the internal
courses, and book the distance learning courses. But tutors should be able to start delivering in the
New Year.
How will the effectiveness of these action be evaluated: Training Course returns, providing feedback
from delegates, on how the delegates enjoyed the course will be used. Clearly if the delegates enjoyed
the course then the tutor is competent in the new MSS. Administration manager will provide feedback
on the results at the next management review.
Another extract (Samples selected by auditor)
Plan 34: (Owner: Sales Manager)
Uncertainty Opportunities
Produce a project
Resources, infrastructure to take on
plan/contingency plan
additional business – especially in
34 for this eventuality,
other countries, and in training the
detailing actions to
manufacturing sector
upscale quickly
What will be done: (Risk treatment option taken – taking risk to pursue an opportunity)
1. Area affected: Would affect the whole organization

2. Process: All processes
3. Required quality performance: Their market share goes to LLL without
appreciable delay, new customers are happy.
(This plan does not include the uncertainty of
training in the manufacturing sector)
4. Project plan/contingency plan
a. How would we know if competitor Action: Sales to investigate and advise
went out of business? Timescale: Oct end 20xx
b. How would we know the customers Action: Sales to investigate and advise
affected? Timescale: Oct end 20xx
c. What could we do to capture lost Action: Operations to investigate and advise
business? Timescale: Nov end 20xx
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Case Study (Tutor)
d. What additional resources would we Action: Administration to investigate and advise

need? Timescale: Nov end 20xx
e. How could these be secured quickly? Action: Operations & Administration to
investigate and advise
Timescale: Dec end 20xx
f. Who would action this? Action: Operations & Administration to
investigate and advise
g. What additional support would they Action: Operations & Administration to
need? investigate and advise
h. Who would inform the new Action: Sales to investigate and advise
customers? Timescale: Jan end 20xx+1
i. How would administration cope with Action: Administration to investigate and advise
new demands? Timescale: Feb end 20xx+1
j. Cash flow implications? Action: Finance to investigate and advise
Timescale: Mar end 20xx+1
k. Project plan Action: Sales Manager to collate findings into a
project plan and present to management
Timescale: Mar end 20xx+1
What resources will be required: As per the resources above.
Who will be responsible: As detailed above.
When will it be completed: Over the next six months (Oct-March 20xx+1).
How will the effectiveness of these action be evaluated: By having a project plan that is able to capture
the market share of our competitors (if competitor goes out of business) without appreciable delay,
new customers are happy, and growth/profit increases accordingly.
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Case Study (Tutor)

Objective Action Plans
PD9 - Objectives
Improvement • To identify opportunities to improve the effectiveness of the QMS
process
Managing Measures
Director • Number of identified improvement actions
• Number of audits performed
Action Plan: PD9 - Improvement process
a) Every team meeting will include an agenda item

on suggestions to improve the QMS/All team
meeting managers
b) All staff will be encouraged to offer suggestions
for improvement by the Managing Director/ MD
c) Quality improvement tools ‘Lean Six Sigma’ will
1. What will be be used/ Purchasing, HR and Operations Manager
done/responsible:
d) Special internal audits will be instigated, with a
specific objective around seeking improvement/
Operations Manager
e) Quality circles will be introduced for areas
needing improvement/ Tutor Manager
f) Corrective actions that are ineffective will be
reported to top management/ Operations Manager
g) Top management and Sales to explore how our
services could be enhanced for the customer/ TM
& Sales Manager
a) Internal time only/ Immediate
2. What resources will be
b) Internal time only/ On-going
required/
completion time: c) Training costs ‘Yellow Belt’ circ £3,000/ When
budget is released from finance
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d) Internal resource only/ On-going

e) Training costs on approach circ £1,000 (budget
approved) and then Internal resource only/
f) Internal time only/ Immediate
g) Internal time only/ Within 3 months
3. How the results will be
evaluated: By ensuring the above are implemented on time
Objectives
Develop existing tutor skills to align with new concepts of accelerated
PD5 – Course training practice
delivery
Measures
Number of compliments/complaints
Achieve at least an average score of 5 on each course
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Case Study (Tutor)
Action Plan: PD5 – Course delivery
a) Attend the latest learning theory workshop in Dubai,

hosted by Dave xxxx. Collate best practice and
consult interested parties/ Tutor Manager, other
tutors & interested parties
b) Based on these conclusions, develop plans for
implementation into course materials/ Tutor Manager
c) Instructional designers to be appraised on new
1. What will be accelerated learning principles/ Tutor Manager
done/responsible: d) Implement into new/amended training course
materials/ Instructional designers
e) Create a Train-the Trainer (TtT) course covering new
course material approach, and most importantly the
correct approach to its delivery /Tutor Manager
f) Inspect new course materials before release to
customers /Tutor Manager
g) Observe deployment of new course materials and
delivery approach/ Tutor Manager
h) Take corrective action if materials/approach are not
in accordance with new learning approach
a) Travel/hotel expenses circ £1,500, Workshop
enrolment circ £2,500. Tutor Manager time (circ
£1,500)/ Feb 20xx+1
b) Internal time (circ £1,500)/ Mar 20xx+1
2. What resources will c) Internal time (circ £1,500)/ Apr 20xx+1
be required/ d) Internal time (on-going costs)/ Mar 20xx+1 onwards
completion time:
e) Internal time (circ £1,500)/ May 20xx+1
f) Internal time (circ £500)/ Mar 20xx+1 onwards
g) Internal time (on-going costs)/ May 20xx+1 onwards
h) Internal time (on-going costs)/ Apr 20xx+1 onwards
Number of compliments/complaints v old approach
3. How the results will
be evaluated: Increase in average course score v old approach
Increased in exiting customer retention rates
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Processes: PD1-3 (and

relevant parts of PD7-9)
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LLL ACTIVITIES – Processes, Objectives and Measures – Issue 4 (Extracts)

Objectives
• Customer needs • Increase market share
• Develop schedule • Annual course schedule
• Output from management • Identify any new or modified • Develop new or modify
reviews • Budgets existing courses to provide
courses to be run • Resource needs
• Business objectives more courses in more
• Determine resource needs and • Selection criteria for
• Existing Course occupancy locations to satisfy customer
PD1 – Course planning define selection criteria for venues, printers, tutors
rates demand
purchasing • Competency requirements
Senior management and • Competitor analysis • Increase revenue
• Allocate competent tutor(s) for staff and provision of
management Team • Resource needs • Create diary dates competent staff
• Knowledge necessary Measures
• Identify any processes that need • Identification of potential • Number of courses
to be outsourced and define problems and preventive run/cancelled per month
controls actions • Number of additional
• Identification of risk factors
courses identified and
launched successfully
PD2 – Course development

• Feedback on existing courses • Developing course material • Revised amended courses Objectives
Instructional designer and
• Results of market/competitor including activities • Sales briefs • Ensure courses are
development tutors
analysis • Organizing tutor training • Session plans maintained and kept up to
• Annual course schedule • Piloting the course • Tutor guides date
• Development time for tutors • Produce/modify tutor guidance
• Creating sales guidance material Measures
(sales briefs) • Number of course reviewed
and updated each quarter
• Correctly completed
development documentation
(number of reported of
problems)
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Case Study (Tutor)

PD3 – Sales and marketing
• Annual course schedule • Booking forms Objectives
(winning sales) • Advertising and direct mail
• Sales briefs • Delegate lists • Increase course attendance
• Web site design for all open courses by 20%
Sales and Marketing Manager • Sales targets • Invoice notification
• Course pricing • Increase the amount of
• Joining instructions
• Following up leads tailored in house training by
• Achievement of sales
• Generating proposals targets 30%
• Conducting contract review
• Closing the sale Measures
• Booking onto courses • Course occupancy rates
• Invoice notification generate • Sales revenue
• Managing any amendments to • Delegate satisfaction rating
bookings • Conversion rates
• Generating delegate lists • Number of complaints
• Requisitions received and • Completed purchase orders Objectives

• Requisitions
reviewed • Receipt of correct goods • To source from capable
• Specifications
• Suitable supplier selected from and services suppliers and contractors in
• Approved suppliers records approved list order that our courses are
• Purchase orders raised and delivered on time, in suitable
PD7 – Purchasing approved venues by capable tutors
• Orders placed on suppliers
Purchasing Manager • Materials and/or organizations
and external providers are Measures
verified for correctness, • Number of reported venue
competency problems
• Percentage on time delivery
from printers
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Case Study (Tutor)
• Process measures • Gathering of data on process • Evidence of conformity of

PD8 - Monitoring and Objectives
• Identified course problems measures process and product
measurement • To gather objective evidence
• Verification activities • Recording of information on • Records of nonconformities
to determine the degree of
Operations Manager • Tutor observations verification activities performed detected and resolution of
process capability and
• Course accreditation body • Identification and resolution of problems
product conformance
assessments detected problems • Reports from external
bodies
Measures
• Number of reported
problems
• Number of occurrences
where actions not taken
within the allocated
timescales
PD9 - Improvement process

• Internal audits and results • Conducting internal audits • Monthly data analysis
Managing Director Objectives
• Records of process • Analyzing data from audits, • Improvement objectives
• To identify opportunities to
performance process performance and • Records of corrective action
improve the effectiveness of
• Verification results verification activities, supplier • Summarized data for the QMS
• Supplier evaluations performance and customer management review
• Customer satisfaction feedback • Results of corrective actions
information • implement corrective actions (CAR) Measures
and record results • Number of identified
improvement actions
• Number of audits performed
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Case Study (Tutor)

data collection this mth last 2 mths mths
mth ago ago
Course planning – Increase market share 1) Number of courses
PD1 Develop new or modify run Monthly 10 12 15 18
existing courses to
provide more courses in 2) Number of new
more locations to courses successfully quarterly none 1
satisfy customer launched
demand
Increase revenue
Course development
– PD2 Ensure courses are 3) Number of course Quarterly 2
maintained and kept up reviewed and updated
to date each quarter
4) Correctly
completed
development
documentation
(number of reported Quarterly 1 1
problems)
Winning sales –
PD3 Increase course 5) Course occupancy Monthly 70% 70% 65% 60%
attendance for all open rates
courses by 20%
Increase the amount of 6) Order conversion Monthly 25% 30% 25% 25%
tailored in house rates
training by 30%
7) Sales revenue £ Monthly 300,000 325,000 350,000 300,000
8) Percentage in-
company courses Monthly 10% 30% 25% 10%
sold
Purchasing – PD7
To source from capable 17) Number of Monthly 0 0 0 0
suppliers and reported venue
contractors in order that problems
our courses are
delivered on time, in 18) Percentage on
suitable venues by time delivery from Monthly 100 100 100 100
capable tutors printers
Monitoring and To gather objective 19) Number of

measuring – PD8 evidence to determine reported problems Monthly 0 0 1 0
the degree of process
capability and product 20) Number of
conformance occurrences where
actions not taken Monthly 0 1 0 1
within the allocated
timescales
Improvement – PD9 To identify 21) Number of Monthly 0 1 1 3
opportunities to identified
improve the improvement actions
effectiveness of the
QMS 22) Number of audits Monthly 2 1 1 2
performed
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Case Study (Tutor)
LLL COURSE PLANNING PROCESS - QUALITY PLAN

FOR: 201X+1 (PD1F6 – Issue 1)
Inputs considered:
• Customer needs (Obtained from our MD & Sales and Marketing Team):
o Competitive pricing and frequently run
o Meet the delegates needs for learning
o Courses delivered around the country at main cities
o Good venues with excellent facilities for the delegates e.g.
 Natural lighting in the class room
 Not cramped
 Seats comfortable and adjustable
 Good refreshments & lunch
 Good night facilities & accommodation
 Competitive charges for overnight accommodation
 Secure car parking
 Easy access from the motorways
 Helpful staff
o Engaging, learn by doing (not just listening/discussing), very knowledgeable
and approachable tutor for the subject taught. With real life experience –
‘lived the subject’. Accelerated learning principles used (Activity based
learning).
• Output from management reviews:

o Resource issues, selection of venues, tutor competence in general.
• Business objectives
o New areas of training – bespoke manufacturing equipment training, courses
to market quicker, new CRM implementation, 15% increase in growth.
• Existing Course occupancy rates

o Average 6 delegates per course
• Competitor analysis
o Competitors are getting courses quicker to market and emerging into new
areas of training, such as bespoke ‘in-house’ offerings. They are using many
more outsourced tutors to cover all these areas.
• Resource needs
o For the 15% increase in growth and new training areas
o Estimated to be an uplift of four tutors with three of them requiring specific
competence. Also an uplift in Admin staff of seven personnel (as have lost
too many this year due to insufficient pay and high pressure levels)
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Case Study (Tutor)
Activities (after consideration of the above) that need to be addressed in the quality plan for
this year:
• Develop course schedule for our ‘open’ courses. Done, see Record PD1F5
• Identify any new or modified courses to be run. Done, bespoke manufacturing
equipment courses awaiting new tutors to write/deliver them. Planning will commence
once competent resource has been secured (using PD2). Existing course, in the main, do
not need modifying. Course development will therefore focus (in the main) on the new
technical manufacturing courses.
• Determine selection criteria for venues and external resources. Done, see PD1F1,
PD7F3, and PD1F3
• Allocate competent tutor(s). (Still awaiting the selection and recruitment of competent
tutors for the technical courses – await budget) – ON HOLD.
• Identify any processes that need to be outsourced and define controls. Done, the use of
competent external tutors and selection criteria, see PD1F3.
• Identification and control of risk factors. (Done, created PD3F4 to ensure bespoke ‘in
house’ courses meet customer requirements, and PD3F1 as a booking confirmation)
• Identification of potential problems and preventive actions. Done, created PD4F3 as a
venue check, PD5F3 to capture potential problems and improvements by the tutors after
the course.
Overall Quality Objectives needed (Owned by the MD):

• Increase market share (Business strategic objective – not included in the quality system)
• Resource new or modify existing courses to provide more courses in more locations to
satisfy customer demand.
• Resource/budget new tutor(s) and competency for more bespoke manufacturing
equipment courses.
• Increase revenue (Business strategic objective – not included in the quality system).
Monitoring/Measuring required:
• Number of courses run/cancelled per month. See PD8F2.
• Number of additional courses identified and launched successfully. See PD8F2, but for
an up to date list please see the Sales Manager.
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Case Study (Tutor)
IMPROVEMENT ACTION REQUEST – PDF9F2 – Issue 1

REQUEST NO.: 1 DATE LOGGED:
January this year
SECTION ONE – ACTION REQUEST
NAME: Robin Hood (SALES ADVISOR) DATE RAISED: January this year
AREA: Sales
DETAILS): Delegates could experience:
• Feel they are being “sold too”
• Harassed (called repeatedly or by different people)
• Inconvenienced, time of call, course dates, course locations, residential options?
• Feel no personal connection to sales person, poor telephone manner
• Speaking to the wrong person, or unable to contact correct person
• Bad hold music, being put on hold?
• False promises not informed of timescales, what happens next, explain the rest of the
Assigned Process/Project Owner Originator
journey
ACTION DUE TARGET DATE: February this year
ASSIGNED PROCESS/PROJECT OWNER: SALES MANAGER
SECTION TWO – SUMMARY OF ACTION TAKEN
• Phone call in a professional manner. Email, with signature and branded.
• Ensure a high target for sales with competition between teams
• Follow up on agreed timescales with the client to sell more business
• Booking Form to be sent immediately within the hour unless specified differently, phone
client for more business - if they are easy to get on with
• Acknowledgment of receipt of booking form immediately, then phone client for more
business.
PROPOSED IMPLEMENTATION DATE:
February this year
COMPLETED BY: MARKETING DATE COMPLETED: May this year
MANAGER
SECTION THREE - ORIGINATOR ACCEPTANCE AND CLOSURE (Add comments):
Not accepted…
Regulatory Affairs Acceptance
Originator
NAME: Robin Hood DATE: May this year
SECTION FOUR – CONFIRMATION OF EFFECTIVENESS EVALUATION:

ADDRESSED IN INTERNAL AUDIT Date.: CONFIRMED EFFECTIVE (Enter Yes or No):
February and April this year Yes
INCORPORATED IN NEXT MANAGEMENT REVIEW - DATE OF MEETING: June this
Quality &
Year
ACTIONED BY (Name): SALES DATE CLOSED: May this year
MANAGER
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Case Study (Tutor)
IMPROVEMENT ACTION REQUEST – PDF9F2 – Issue 1

REQUEST NO.: 2 DATE LOGGED:
February this year
SECTION ONE – ACTION REQUEST
NAME: OPERATIONS MANAGER DATE RAISED: February this year
AREA: Course Content/Delivery
DETAILS: Attendees, certificates and invoicing could be mixed up for each delegate for each
course,
Delegates could get

• Invoiced for the wrong courses
• Get certificates for courses they didn’t attend
• Not get a certificate and get invoiced
• Not get a certificate and not invoiced
Originator
• Unhappy!
ACTION DUE TARGET DATE: March this year
ASSIGNED PROCESS/PROJECT OWNER: ADMIN MANAGER
SECTION TWO – SUMMARY OF ACTION TAKEN : Tutors to ensure that
• Attendees, certificates and invoicing should be matched up for a final check (against each
Process/Project
delegate for each course) – ON HOLD, SHORT STAFFED AT PRESENT.

PROPOSED IMPLEMENTATION DATE:
December this year
Assigned
COMPLETED BY: ADMIN MANAGER DATE COMPLETED: OPEN

Owner
SECTION THREE - ORIGINATOR ACCEPTANCE AND CLOSURE (Add comments):

All tutors sent an email advising them of administrators managers recommendations – this was
experienced by me on one of our courses when I attended as a delegate and experienced the
‘DETAILS’ above. Hence I think we need to change our approach.
NAME: OPERATIONS MANAGER DATE: February this year – but action
Acceptance
Originator
timescales is not acceptable to me.
SECTION FOUR – CONFIRMATION OF EFFECTIVENESS EVALUATION:

CONFIRMED EFFECTIVE (Enter Yes or No):
Quality & Regulatory
INCORPORATED IN NEXT MANAGEMENT REVIEW - DATE OF MEETING: June this

year
ACTIONED BY (Name): DATE CLOSED:

Affairs
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Case Study (Tutor)
Supplier Selection Criteria – PD1F1 – Issue 2

Venue Selection Criteria
• Classrooms that can accommodate up to 20 delegates and 2 tutors
• Classrooms to be nicely decorated
• Residential rooms with TV and shared toilet facilities
• Can provide audio visual equipment that actually works
• Leisure facilities for tutor (spa bath, massage etc.)
• Restaurant with a good selection of fast foods
• A car park would be nice with access for disabled people if essential
• Good access to railway stations
Printing Organizations
• Can print on multi-sided paper
• Delivery of course materials direct to venue
• Capacity to meet our print needs
• Quality management systems such as ISO 9001 with excellent document control
management
• A high level of print quality – like a newspaper
• Flexible and willing to react to demanding work-loads with a benefits/perk package
to our staff – free birthday/wedding cards etc.
• Good packaging processes to ensure materials are correctly identified and protected
during transit to venue
Tutors (general)
• Good interpersonal skills – easy to get on with
• High level of knowledge at teaching in secondary schooling
• At least 10 years work experience
• Understand LLL's approach to training, adult learning principles and accelerated
learning techniques + how to plan for and deliver training + ability to manage
participants and the learning environment
• All tutors to be observed at least once a quarter in order to identify personal
development opportunities
Tutors (Specifically)
For EMS Lead courses
• To tutor on an IRCA approved course, a tutor is required to have certain skills and
competencies; please refer to IRCA Guidelines. It is expected that any tutor on an
IRCA approved course will normally be at least be an Associate Member or a
registered Environmental or EMS Auditor.
For Quality Internal Auditor courses
• Basic knowledge of ISO 9001 systems + auditing knowledge
For Information Security courses
• Basic knowledge of ISMS systems (BS 7799 or ISO 27001)+ ISMS principles and
controls + and auditing knowledge
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New Supplier Approval Form – PD7F3 – Issue 3
SUPPLIER DETAILS
Name: Hayley Conference Centre
Address: Green Meadows, Milton Keynes MK15 6EE
Does the supplier have 9001 registration? Yes/No?

Does the supplier have a formal business management system Yes/No? –
If the supplier does not have the relevant Management System Certification registration, are you
satisfied that the supplier is capable of delivering the goods or performing the service?
Yes / No?
Assessment details
• Class rooms that can accommodate up to 20 delegates and 2 tutors - yes

• Classrooms to have access to natural daylight – most have, need to stipulate this when
booking course rooms
• Residential rooms with TV and en-suite facilities - yes
• Can provide audio visual equipment – yes have own equipment
• Leisure facilities – swimming pool and fitness room
• Fast food outlets nearby – excellent range of offerings for fast food
• Car park and Access for disabled people – large spacious car park
• Good access to roads and/or railway stations/airports – no nearby airport but good road
links
Evaluation results
Although not quite meeting all the criteria it is considered that this venue will provide a suitable and relaxing
environment for our delegates. This supplier is approved.
………Administration Manager…… ……George Price………. Date: …April 2 years ago

(PRINT NAME) (SIGNATURE)
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SUPPLIER DETAILS
Name: Holiday Inn
Address: London, HR12 034
Does the supplier have 9001 registration? Yes/No? -

Yes/No/N/A?
Assessment details
• Class rooms that can accommodate up to 20 delegates and 2 tutors- limited rooms that
can take 20 delegates. However all rooms are well presented
• Venue to have access to Theatres and night clubs - yes
• Can provide audio visual equipment – yes, have a contract with local AV firm
• Leisure facilities – exercise room
• Restaurant with a good selection of hot and cold foods - yes
• Car park and Access for disabled people – yes, although can be crowded on occasions
due to airport parking
• Good access to roads and/or railway stations/airports - excellent
Evaluation results
An excellent location with very good transport links. Need to specify clearly the size of room needed though to
make sure the classroom is of adequate size for the number of delegates attending the course. This supplier is
approved.
………Administration Manager…………………… ……George Price…………..Date: …February 3 years ago

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SUPPLIER DETAILS
Name: Glasgow – Midshires Hotel
Address: Highfield Road, Glasgow GL12 XXX
Does the supplier have 9001 registration? Yes/No? -

Yes / No?
Assessment details
• Access to shopping – yes, very good here as the venue in right in the middle of Glasgow
• Classrooms to have access to natural daylight - no
• Can provide audio visual equipment - yes
• Leisure facilities – no, but there is a nearby leisure centre with access for course delegates
for a small fee
• Restaurant with a good selection of hot and cold foods – limited selection from the menu
seen
• Car park and Access for disabled people - yes
• Good access to roads and/or railway stations/airports – motorway runs by within 10 miles of
the venue. Glasgow airport nearby
Evaluation results
Not quite up to the standard of our other venues, but Sales insists we need to run courses in this area. The Hotel’s
management are keen to provide us with a facility that will meet our customer needs though. I would recommend
that we only use this facility subject to close monitoring; as it’s a very old facility with small conference rooms and
coloured grey with no natural daylight and poor lighting levels. I felt rather depressed after the visit.
Another point of concern is that there is limited WiFi access for which the hotel charges for.
…………………………… ………………………………….. Date: …

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SUPPLIER DETAILS
Name: Print Magic Ltd
Address: Printside Works, Deepdale, Wiltshire, DD3 XXX
Does the supplier have 9001 registration? Yes/No?

Does the supplier have a formal business management system Yes/No?
If the supplier does not have the relevant Management System Certification registration, are
you satisfied that the supplier is capable of delivering the goods or performing the service?
Yes / No/ N/A?
Assessment details
• Can print on demand - Yes
• Delivery of course materials direct to venue - Yes
• Capacity to meet our print needs - Yes
• Quality management systems such as ISO 9001 with excellent
document control management - Yes
• A high level of print quality - Yes
• Flexible and willing to react to demanding workloads - Yes
• Good packaging processes to ensure materials are correctly identified
and protected during transit to venue - Yes
Evaluation results
Overall this is a very professional organization. The management were very keen to understand our
requirements. I have no hesitation in recommending we start using this print organization; as they are
directly related to the managing director. It will enable us to reduce or eliminate any printing in our own
organization and reduce or eliminate the need to hold excess stock. Also, the managing director is keen to
give them a hand in getting their business up and running.
The organization is thus approved to provide printing services to us.
………Administration Manager………PP Managing Director…….. Date: ……March last year…

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LLL EXTERNAL RESOURCE HIRE FORM – PD1F3 – Issue 1

To be completed by new External Resource:
Name: Norman Black Date of Birth:23/1/55
Contract Start Date: July Contract Expiration Date: Ongoing
Address: willow cottage, Andover, Hampshire
City/State/Post code/Country: AN1 9PJ
Business Phone #:TBA Cellular Phone #:None FAX #:None
E-Mail Address:n.black@bband.com Home Phone #:0395 556188
Emergency Contact Address: as above

Emergency Contact Name: as above
Emergency Contact Phone #:as above
Relationship: wife
To be completed by LLL:
Date Sent to HR: June this year
Position #:tutor
Evaluation of competency, knowledge and work experience to determine suitability as an

external resource tutor:
Tutors should possess work experience in the subject matter to be taught. Additional training
will be provided where necessary. Knowledge of the relevant standards is essential
Norman has extensive quality, health and safety experience having held managerial posts in
previous organizations. He has an engaging personality and is able to relate well to other
people. Although he has worked with environmental management systems he does not yet
have the full breadth of knowledge to deliver our top end course “Advanced EMS Auditor”
course and will need additional training in advanced auditing skills before being able to run
this course on his own.
Decision to use Yes:
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LLL EXTERNAL RESOURCE HIRE FORM – PD1F3 – Issue 1

To be completed by new External Resource:
Name: Paul Denning Date of Birth:14/5/78
Contract Start Date: June this year Contract Expiration Date: Ongoing
Address: Pear tree cottage, Alton Towers, Staffordshire
City/State/Post Code/County:AT3 8YY
Business Phone #:N/A Cellular Phone #:N/A FAX #:None
E-Mail Address:paul_denning@BB.com Home Phone #:0326 887766
Emergency Contact Name: Emma Emergency Contact Address: as above

Wiltshire
Emergency Contact Phone #:as above
Relationship: partner
To be completed by LLL:
Date Sent to HR: May this year
Position # :tutor
Evaluation of competency, knowledge and work experience to determine suitability as an

external resource tutor:
Tutors should possess work experience in the subject matter to be taught. Additional training
will be provided where necessary. Knowledge of the relevant standards is essential.
Paul has an excellent background in manufacturing administration software (finance etc.), and
good project management software skills like MS Project. Paul should therefore provide us
with the expertise to deliver more bespoke manufacturing equipment courses rather than
purely management system training.
Decision to use Yes:
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Selection of LLL training records – PD1F2 – Issue 2
Name Position Work Business Health

Information
background Auditing continuity quality environment and
security
safety
Chris Managing |
education
Way Director
Christine Operations Service
| |
Spenser Manager industries
Robin Office | | |
Sales advisor | |
Hood administration
Tony Motor, | |
Sales executive
Aims chemicals, retail
Sue University | |
Sales executive
Bracket graduate
Jane Marketing
Service industry | |
Wilkinson manager
George Administration
advertising
Price manager
Don Office |
administrator
Johnson supervision
Jane |
administrator Retail
Fryer
Kevin
Tutor manager leisure | | | |
Holmes
Hospitality,
Leon
Tutor banking | | | |
King
Paul
Denning Bespoke
External
joined Manufacturing | | |
Resource Tutor
may this Equipment
year
Tom
Tutor Service, | | | |
Short
Norman |
Black External Manufacturing,
| |
joined Jan resource tutor engineering
last year
Jim Black Tutor banking | | | |
July Sales executive Work placement
Bodget (trainee) (experience)
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Determination of knowledge & competence (Sample) – PD1F2 – Issue 2
1. Organization: LifeLong Learning Ltd

2. Process location: Administration
3. Process: ‘Customer payments’
4. Required quality performance: • Average data entry time of 5 minutes including
payment processing
• Assistance needed less than twice/day
• Mistakes (to supervisor after payment
processing) no more than 1/week
• Payments processed matches quoted prices
5. Who works under your control that could All customer payment staff, including temporary workers
affect the required quality performance: and agency staff when required
6. Competence necessary (Knowledge) to achieve quality performance:
a. What knowledge is necessary here? Security protocols for handling/retaining customer
money, suspect theft & money laundering protocols,
getting help, keying in discounts and course codes,
abuse/violence protocols, credit/debit card payments
b. How is this knowledge maintained All protocols and activities above are maintained in
within the organization? documented information by the Quality Manager with
Human Resource (HR) assistance
c. How is it made available? Through the organization’s intranet portal, and available
Education? to all persons (to the extent necessary) working for it.
Training? Also contained in hard copy format at each payment
Experience? processing desk (version & distribution controlled).
Education – requires a mathematics school certificate.
Training/mentoring – two observations on the job, with
two hours one to one with supervisor. Experience – three
months operation of payment processing and meeting
quality performance above. See HR documented
information for each customer payment staff.
d. Are there any changing consumer Yes, promotion codes/discount codes that add points to a
needs/trends? customer’s loyalty card (incentives schemes)
e. Is any additional knowledge required Yes, how to scan these codes in to add points to their
for (d.)? How is this to be loyalty cards, and give a rewards discount on purchases
acquired/accessed? made. IT Systems staff are to train and write instructions
to be included in the documented information above. See
‘Objective 156’.
7. Competence necessary (Skill) to achieve Ability to use bar code reader effectively, keying in
quality performance: discounted/unrecognizable bar code numbers manually
and accurately, dealing with the public through effective
communications and dispute resolution.
8. Competence effectiveness evaluation: Through the quality performance indicators above.
a. How is the ‘ability to apply knowledge
and skills’ to be assessed?
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Training Record – Norman Black – PD5F6 – Issue 1
Course Competence Level Training Needs

(Scale 1 - 5)
ISO 9001 Internal Auditor 5 – Fully competent
ISO 9001 Lead Auditor 5 – Fully competent
Process Auditor 4 – Need final sign-off More process audit experience
ISO 14001 Internal Auditor 5 – Fully competent
ISO 14001 Lead Auditor 5 – Fully competent
ISO 14001 Advanced Auditor 3 – Needs additional Training on advanced techniques

guidance before signed off
Dated: 18/January/201X-1
Signed: HR Director
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Training Record – Paul Denning – PD5F6 – Issue 1
Course Competence Level Training Needs

(Scale 1 - 5)
ISO 9001 Implementing course 2 – Just competent under

supervision
ISO 18001 Introduction course 2 – Just competent under

supervision
Process Auditor 4 – Need final sign-off More process audit experience

needed
Manufacturing administration software 5+ None, can train others

(To be written)
ISO 14001 Implementing course 3 – Competent under

supervision (50%)
Bespoke manufacturing equipment To be determined when

courses we do some
ISO 22301 Introduction course 1 – No Idea
Project management software skills: MS 5+ None, can train others

Project (To be written)
ISO 14001 Requirements course 0 – Do not use please
ISO 27001 - Introduction 5 None
Dated: 28/July/201X
Signed: HR Manager
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This Coming Year - Planned Course Schedule (Extract) – PD1F5 -

Issue 2
Month Courses planned Tutor Areas Run Delivered/cancelled
Jan - Dec As per last Year As per last As per last
Year Year
Additional ‘Global’ courses planned for this coming year:
January Advanced EMS L.King UK
Auditor ‘Open’
Lead auditor P.Denning UAE

9001 ‘In-house’ J.Smith India
Internal auditor T.Short China

9001 ‘Open’ J.Homes South Africa
A.Harry USA
S.Shaw Canada
Introduction to J.Black Philippines

27001 ‘In-house’ P.Panchek Singapore
Bespoke ? To be
Manufacturing determined on
(reserved) booking
Other ‘In-house’ To be To be
Courses determined determined on
on booking booking
February Internal Auditor U.Ugo Mexico
ISO 9001 ‘Open’ F.Becks Germany
I.Tower France
P.Havago Portugal
Lead Auditor B.Pompus UK

18001 ‘Open’ W.Alicant Spain
Implementing F.Fyord Denmark

18001 ‘In-house’
Introduction to E.Wanyo Sweden

14001 ‘Open’ Q.Weston Pakistan
Internal auditor
18001 ‘Open’ R.Cold North Pole
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Bespoke ? To be
(reserved) booking
on booking booking
March Advanced EMS L.King London
Auditor ‘In-
house’
Introduction to P.Denning Russia

14001 ‘Open’ J.Smith Australia
T.Short New Zealand
Internal auditor J.Homes Romania

14001 ‘Open’ A.Harry Norway
S.Shaw Finland
Lead auditor J.Black Switzerland

18001 ‘Open’ P.Panchek Alaska
Bespoke ? To be
(reserved) booking
on booking booking
April Understanding F.Becks Iceland
BS 25999 ‘Open’ I.Tower Holland
P.Havago Ukraine
Implementing B.Pompus Italy

ISO 9001 ‘In-
house’
Bespoke ? To be
(reserved) booking
on booking booking
Etc………
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Document Title: Issue no: 1

Control of nonconformity and Corrective action
process Document No: QP3
Purpose
To ensure an effective system for identifying, controlling and correcting nonconformities
identified in the QMS
Scope
This process covers both internal and external (customer complaints) nonconformities and
include:
course materials
venues
tutors
QMS processes and related documentation
Nonconformities identified as part of the internal audits are dealt with in accordance to
process QP2
References
None
Responsibilities
Each departmental head is responsible for identifying if and when nonconformities occur
within their departments
The operations manager is responsible for monitoring the types and extent of nonconformities
detected
Process details
1. Types of nonconformity
Return of unused course material from the field to LLL.

At the close of any course there may be leftover course manuals or materials. At the discretion
of the Instructor these materials may be either discarded or returned to the LLL office.
Guidelines: more than 5 manuals, these shall be returned using the prepaid courier labels.
The Administrator receives returned course material. Returned material is viewed as

nonconforming and is segregated by placing it in the quarantine area of the Training
Department.
The Administrator regularly empties the contents of the quarantine area and corrects returned
nonconforming product if necessary.
Course material is subjected to re-inspection to ensure that all product is in optimal condition.
Should condition remain unsatisfactory, then the material should be disposed of by suitable
means, taking account of confidentiality or other needs.
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process
Document No: QP3
Hotels
• LLL is appraised of hotel problems during the course, or other event, directly from
tutors or organizers on site, or via course evaluation feedback.
• Immediate actions include resolution with hotel contact. Should problems persist, the
Meeting Planner is advised.
• Post course evaluation analysis takes place from the Meeting Planner and at
Management Reviews and Supplier Evaluations completed accordingly to
communicate any issues with that property. Decisions are made as to whether certain
properties are not to be used again due to poor performance.
Courses/Events
• Any course or event that rates below an average score of 4 is automatically placed in
the NC product/service log.
• Management Review analyzes the frequency and nature of underperforming course,
event or material and actions taken to increase the score that meets the quality
objective.
Wrong Course material shipped

• Tutor contacts Administration with a complaint regarding incorrect shipment
• Administration ships new correct product immediately at LLL’s expense and requests
the printers to return the miss-shipment also at our expense.
Noncompliance with accreditation requirements for Training courses

• We need to ensure that accredited courses have the correct tutor/delegate ratios which
must not exceed 1 tutor to 10 delegates or 2 tutors for 20 delegates. The minimum
number of delegates is 4 and the maximum is 20. Should the number not meet
accreditation requirements, the Operations manager places a call to the accreditation
body.
• Some courses are allowed a waiver and documentation, of such a request is kept by
the Operations Manager.
• Courses that do not meet accreditation requirements are not issued accreditation
course certificates.
• Tutors are responsible to make students aware, prior to the course starting, that the
course MAY not be accredited for whatever the reason. Any such communication is
documented by the Instructor on the course roster that is returned to the office.
2. In dealing with any of the above types of nonconformity: details will be recorded on a
Corrective Action Request Form (CAR) and a unique reference number allocated.

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process Document No: QP3
3. The nonconformity will be investigated for its seriousness and cause and this will be
recorded on the CAR.
4. Any actions required to be taken immediately will be recorded and implemented by a

designated person. This may involve requiring a change to documentation and this should be
done in accordance with the document control process to ensure that the changes are reviewed
and approved before implementation.
5. The relevant Department Manager and the Operations Manager will review identified
issues including nonconformities, CAR, to determine if formal corrective action is required.
6. If formal corrective action is required then this will be recorded on the CAR and
responsibilities for dealing with it will be assigned.
7. A root cause investigation will be carried out and the details recorded on the CAR.
8. Actions needed to prevent the recurrence of the nonconformity will be identified and
recorded on the CAR together with timescales for the implementation.
9. The departmental manager of the process affected and the operations manager will monitor
the implementation of the actions taken.
10. The implementation of the corrective action will be verified.
11. The operations manager will provide information on the status of corrective actions to the
management review.
Records
CAR
Internal Audit nonconformities
CAR log
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Internal Audit Process
Document No:QP2
Purpose
To ensure that the QMS is regularly audited to demonstrate it is effectively implemented and
to identify possible improvements.
Scope
This process covers all the activities within the quality management system.
Responsibilities
The Operations manager has overall responsibility for the implementation of this process and
for providing a pool of competent auditors to fulfill the audit programme.
The department managers and all staff are responsible for ensuring that the audits are
conducted in a constructive manner and for cooperating with the auditors
References
ISO 19011:2018
Process
1. The Operations manager will plan and organize a programme of internal quality audits. The
programme will be on a rolling basis covering the following 12 months
which will record the following information:
• the department/area/process to be audited.

• The month for which the audit is planned.
2. The frequency of audits is based on the importance of the activities to the business and to
achieving customer satisfaction as well as previous audit results, and any changes in:
management, organization, methods or technologies which could affect the quality
management system.
3. The scope, objectives and criteria for the audit as well as the audit dates will be mutually
agreed between the Operations manager and the manager of the department/process to be
audited.
4. The Operations manager will nominate competent auditor(s) to perform each audit and
provide them with the necessary information to plan and conduct the audit.
5. Once nominated the auditor(s) will plan the audit, reviewing relevant documentation,
results of previous audits etc. This will be used to produce relevant working documents such
as an audit plan and checklists. The aim of the checklist is to act as a reminder of what issues
are to be covered but should not limit the audit in the light of evidence gleaned during the
audit.
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Internal Audit Process
Document No:QP2
6. The manager for the area concerned should communicate that the audit is to be performed
and for ensuring staff cooperate with the auditor and provide access to all personnel, facilities
and documents as requested.
7. Each audit will commence with a short opening meeting where the purpose of the audit will
be reaffirmed and to set the scene for how the audit will be conducted and reported.
8. The auditor is responsible for assessing the information gathered, collating and presenting
the data in a form that can be easily understood and from which conclusions can be drawn.
9. The auditor is responsible for reviewing the conclusions with the manager of the area, and
all personnel directly concerned if possible.
10. The auditor is responsible for documenting the audit findings, including any
discrepancies, conclusions and recommendations in the quality non-compliance form and any
corrective action required. Any nonconformities will be recorded on the audit report.
11. The auditor will present and review the findings at a closing meeting and if necessary
obtain a commitment to corrective action from the department manager.
12 The cause of the nonconformity will be investigated and depending on the nature of the
nonconformity and the outcome of the investigation the necessary corrections and corrective
action will be determined and plans including timescales developed to implement them. These
will be implemented using the corrective action procedure QP3.
13. Implementation and effectiveness of corrective action will be monitored by the

department manager and Operations manager utilizing the corrective action schedule.
14. Appropriate follow up action will be determined by the operations manager and this could
include scheduling a follow up audit, reviewing amended documentation or rolling it over to
the next scheduled audit (minor nonconformities only).
Documentation/records
Audit programme
Audit checklist
Audit report
Corrective action schedule.
Non conformity matrix
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Purchasing process
Document No:PD7P1
Purpose
To ensure that only capable suppliers are selected and used to provide products and services
that are delivered correct to specifications and on time
Scope
This process covers course materials, office equipment and out sourced services e.g. printing
and external resource tutors
Responsibilities
Administration Manager
Administrators
Process Responsibility
1. Raise Requisition Originator
2. Review and Approval of Requisition Departmental Manager
3. Submit to the Administration Manager
4. Review Information and clarify any discrepancies Administration

if necessary Manager
5. Select an approved supplier or arrange for the

evaluation of a new supplier
(ref supplier approval form)
6. Carry out supplier evaluation and determine and

record suitability as a supplier on the approval form
7. Review and Approve requisition Purchasing Manager
8. Place Purchase Order on selected supplier
9. Distribute copies to:

• originator
• accounts
10. Check, Inspect or otherwise verify goods/services Receiver of the good

are correct or services
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Purchasing process
Document No:PD7P1
11. Identify and segregate any nonconforming product

for decision on disposition action. Inform the
Administration Department
12. Pass details onto accounts Administration

Department
Documentation
Purchase requisition/purchase orders
Records of approved suppliers
Supplier evaluation forms
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Client Property process
Document No:QPR1
PURPOSE
This process describes how client owned property will be monitored whilst in the control of
LLL and at LLL locations to protect the interest of the client and LLL
SCOPE
This process covers all client-owned property however it may be received within LLL and
mainly includes intellectual property but may on occasions include materials and equipment
Storage and handling will be in such a way as to protect the condition and integrity of the
client’s property
RESPONSIBILITIES
Sales staff
Administration staff
Tutors
PROCESS
Receipt
Upon receipt of client personal information it will be recorded on the appropriate forms and
information entered onto the computer system. Any information so gained will be subject to
data protection laws and must not be divulged to unauthorized persons.
Personal information about clients bookings will be held under the relevant project files.
Tutors whether employed or external resource must treat this information in a confidential
manner and must not disclose client information to external parties without permission.
Where courses are run as in-company courses, client property such as Audio Visual
equipment and classrooms must be used in the correct manner and any damaged or defective
items will be recorded and referred to the client.
When client owned property is passed to a sub-contractor this process will apply to the sub-
contactor and form part of the agreement for the provision of services by the sub-contractor to
LLL and records will be maintained by LLL as to the location of the client property.
Ownership
Ownership of the property will remain with the client until they issue instructions for return or
disposal.
Return
The client’s property will be returned in a manner that avoids deterioration or damage.

Client Property process
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Document No:QPR1
Disposal
Relevant client owned property, such as personal information, will be disposed of in line with
the client instruction and data protection laws.
RECORDS
Records relating to condition and date(s) of receipt, location, storage and disposal of client
owned property shall be recorded on the computer system or tutor summary sheets and
retained for a specified period.
DOCUMENT CONTROL
This document is owned by: The Tutor Manager
This document is approved for issue by: The Operations Manager
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PUBLIC COURSE UNEXPECTED

EVENTS AND EMERGENCY EVENTS
Document No:PD5P2
Purpose
This work instruction outlines the actions expected of the tutor when handling unplanned or
unexpected events before, during, and after public training courses.
Scope
This instruction covers all LLL public courses.
Related Documents
none
Responsibilities
Tutor Manager
All tutors
Event Guidance to actions:
Before departing home for the course:
Sickness Notify the tutor manager and or administration as

soon as possible. Outside working hours [8:30-
5:30] notify the Tutor manager (TM).
Delays/weather During normal working hours [8:30-5:30] notify

the TM. Outside working hours notify
administration.
Upon arriving at the hotel:
Check evacuation plans at site

Determine first aid provider on site (if available)
No meeting room or sleeping room. Notify the Meeting Manager.
No material at the hotel. First check with the Banquet Manager at the site.
During normal working hours [8:30-5:30 ] notify
the TM, or leave a message with the TM.
Projector/computer does not work During normal working hours [8:30-5:30] notify
the Administration, or leave a message with the
TM.
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PUBLIC COURSE UNEXPECTED
EVENTS AND EMERGENCY EVENTS
Document No:PD5P2
During course instruction:

Problems with hotel If minor, try to get them resolved (i.e. temperature, noise
from another room, room size, meals) If not, contact the
Meeting Manager a.s.a.p.
Document all problems on the Tutor Feedback form.
Special needs Ascertain any special needs of students: dietary, non-

English speakers. If dietary special need, ensure that the
banqueting staff at the hotel have been informed and
contact the Meeting Manager.
Sick student In an emergency, Dial 999

Do NOT under any circumstances give a student any
kind of medication
Inform the hotel contact. Do not allow other students to
drive the invalid to hospital
In the event of there being 2 tutors, one should
accompany the student.
Inform the administration or Tutor manager a.s.a.p.
Provide administration with the student’s name, a
contact name and number, and the telephone number of
the hospital
Power outage/heating problems If the course cannot be continued contact the Meeting
Manager or Administration. Detail exact times and/or
duration of problems.
Evacuation/terrorism Keep the students together.

Take a roll call when it is safe to do so.
Inform Administration or Tutor manager a.s.a.p.
Theft Inform hotel contact. Insist upon compiling a Police

Report. Inform Administration or Tutor manager
a.s.a.p.
Any other incident not covered, inform Administration
or Tutor Manager a.s.a.p.
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Complaints and compliments process
Document No:PD9P1
Purpose
To operate a confidential, customer-focused, open, effective and efficient complaints /
compliments handling process.
Scope
This process covers
Complaints – An expression of dissatisfaction made against LLL relating to a course that we
have run and where a response or resolution is explicitly or implicitly expected.
Compliments – A specific formal acknowledgement of outstanding or delighted performance
by LLL or one of its employees.
Responsibilities
Process
Compliments
• The compliment is received and passed to the relevant department manager
• The manager logs the compliment and raises an acknowledgement letter which is sent
to the person sending in the compliment.
• A copy is sent to the Administration manager for including in the monthly statistics
• The relevant Departmental Manager provides positive feedback to the individual(s)
concerned
Complaints
• Complaint received and logged
• The type of complaint is identified and a relevant person nominated to deal with it
• The person will determine if there is enough information to conduct an investigation
• If not the complainer will be contacted for more information
• A determination will be made as to whether the complaint is justified
• If not the complainer will be contacted to discuss the decision
• If justified an investigation is carried out within an agreed timescale
• The reason for the complaint will be identified and recorded
• The root cause of the complaint will be investigated and appropriate corrections and
corrective actions taken
• If the actions satisfy the complainer the complaint and the actions taken will be logged
and a closure letter sent to the complainer
• If the complainer is not satisfied then the complaint will be escalated to the operations
manager and if necessary the Managing Director for final resolution
L-l-L
Case Study (Tutor)

Complaints and compliments process
Document No:PD9P1
• Information on compliments and complaints will be included as part of the

management review
Documentation
Complaints form
Corrective Action Request Forms
L-l-L
Case Study (Tutor)
Processes: QPR1 – PD5

(and relevant parts of
PD7-9)
L-l-L
Case Study (Tutor)

Objectives
• Ensure correct
information and materials
are provided to the venues
and tutors
• Evaluating and monitoring
new and existing venues Measures
PD4 – Pre-course • Client invoiced
• Venue details • Invoice Client • Venue performance rating
administration • Correct course materials
• Course identification • Ordering materials from • Number of reported
delivered to venues
Administration Manager • Delegate lists printers problems with venues
• Provision of information
• Invoice notification • Liaising with venues and • Correct quantities and
to tutors
conducting pre-course types of course materials
checks delivered to venues
• Instances of incorrect or
incomplete materials
delivered to venues
L-l-L
Case Study (Tutor)
Objectives
• Increase level of customer
satisfaction feedback
• Develop existing tutor
skills to align with new
• Liaising with venue staff to concepts of accelerated
ensure that room layout as training practice
requested and materials are • Increased course delivery
available and increase tutor
• Correct delivery of
• Prepare room for delegate utilization rate to 90%
courses
arrival • Completion and
PD5 – Course delivery • Welcome delegates Measures
collection of course
• Course materials • Notify administration of any • Number of
paperwork – evaluation
• Tutor guides changes to the expected compliments/complaints
forms, attendance
• Delegate lists delegates e.g. no shows or records • Achieve at least an
different additional attendees average score of 5 on
• Completed exams where
to those on the delegate list each course
relevant
• Deliver course • Number of course
• Manage feedback delivery days per month
• Mark exam papers (where • Course returns to office
relevant) in accordance with within 3 days of course
marking guidelines finish
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Case Study (Tutor)
Suppliers/Input PD5 – Detailed Activities Customers/Output
Instructor Prepare for Course Delivery

• Review course material/Tutor Guide (TG)
Confirmation • Confirm travel plans through Travel Discounters prior to departure
Form • Review instructor Confirmation Form A818
A818
Arrive at Course Site
• Set up and test projector and laptop
• Ensure layout of tables are cabaret style: for activity-based learning
• Determine logistics and meals for locations
• Ensure integrity of course materials and set out for students
(contact Training Coordinator (TC) if any non-conforming product)
• Ensure exam security if applicable (e.g. exams in sealed envelope and secure location)
Begin Course Delivery

• Take attendance
• Identify special needs (e.g. language, dietary, etc.) Course Delivery Complete
• Cover emergency actions for venue
• Cover format of course – accelerated learning (activity-based learning) • When required – send
• Cover course agenda graded exams, exam
• Begin facilitation of course and activities, as directed in the TG Session Plan summaries and marking
• During 1st break, contact TC with an attendance record or any roster discrepancies matrix to TC within 1
week
• When required – administer exam in accordance with TG
• Submit expenses
• Return extra materials
Conclude Course Delivery and projector
• Return roster to TC before conclusion of the course (if required)
• When required – collect exams
• When required – grade exams in accordance with exam solutions in TG
L-l-L
Case Study (Tutor)

Process Objectives Measures Frequency of data Data this Data last Data Data 3
collection mth mth 2 mths ago mths ago
Pre course admin – PD4

Ensure correct information 9) Venue (Overall) Monthly 9 9 9 9
and materials are provided to performance rating (1-10)
the venues and tutors
10) Instances of incorrect
or incomplete materials
delivered to venues Monthly 0 0 1
Course delivery – PD5 Increase level of customer 11) Number of complaints Monthly 1 0 2
satisfaction feedback
Develop existing tutor skills 12) Achieve at least an
to align with new concepts in average score of 5 for Monthly 5.5 5.9 5.9 5.8
training practice and to tutor knowledge and
enable more courses to be delivery on each course
delivered and increase tutor
utilization rate to 90%
13) Number of course
delivery days per month
14) Course returns to Monthly 60 60 65 60

office within 3 days of
course finish - number of
late returns
Monthly 8 5 3 3
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Case Study (Tutor)
LLL IN-COMPANY TRAINING REQUIREMENTS FORM –

PD3F4 – Issue 1
Requirements and Participant Information
Please fill in this form to enable us to provide you with a training course that can best meet
your requirements.
Company: AN OTHER LTD Date: 25th November 201X
Contact Name: Tim Jones
Telephone: +44 (0) 1677……….. Contact email: An other.ltd@abhow.com
Course (If known): Bespoke Mechanical Operators
1. Please answer the following questions:
Awareness of correct operating procedure when
What is the core purpose of the
a Core Purpose using high pressure hydraulic actuator assemblies in
training course?
manufacture
What specifically would you like Hydraulics, pneumatics overviews & safety
b Learning participants to learn from being on awareness and correct operational controls of
the course? manufacturing apparatus
Do any of the participants have any

c Previous Knowledge previous knowledge of the subject New Starters to our manufacturing business
to be covered?
From what areas of the business are

d Business Area Administration (after redundancy)
the participants coming?
Do you have any further They are not motivated: as this is forced upon them
e Further Information information that would be useful for (find them another job in the company after
the tutor? redundancy in their departments)
2. Please also answer the following questions if you have requested a bespoke course:
a Bespoke Learning Points What specific learning points you
would like covered on the course? Actuator assembly motor operational controls
b Bespoke Specific Focus Are there any specific areas you

would like the course to focus upon? Hydraulic & pneumatic safety please
c Bespoke Live Examples Are you considering using your own

live examples on the course, i.e. live Please come to site and provide on-the-job training
audit exercise, your own (from an expert in mechanical/hydraulic/pneumatic
documented management system? and manufacturing please)
d Bespoke Duration Do you have a specific identified

duration for the course, i.e. 2 days, 3 2 days
days?
e Bespoke Estimated No. of How many participants are you 25 & TRAINING TO COMMENCE ASAP
delegates expecting to attend? PLEASE.
L-l-L
Case Study (Tutor)
LIFELONG LEARNING LIMITED
London. LDN XXX

Phone: 0845 012 xxxx
Web address: course.admin@L-l-L.COM
‘Get it right, do it quick and get the sale’
FAX
To: Tim Jones -AN OTHER LTD From: July Bodget
Fax: 05566xxxx ONE
Phone: 05567xxxx Date: 25th November 201X

Re: Bespoke Mechanical
cc: Sales Manager LLL
Operators Course
Comments:
Thank you Tim for completing our In-house Training requirements form for the above bespoke course.
I can confirm that everything is in order and we have pleasure in quoting for the service below:
£4250.00 + our tutor (Paul Denning) travel & accommodation costs. To be advised after the event.
Proposed training start date: 27th January 201X+1.
If this is acceptable to you: would you mind please completing the attached ‘In-company training
acceptance form’ (PD3F5).
Many thanks for your interest in our services.
PP July Bodget
Sales Manager
L-l-L
Case Study (Tutor)
LLL IN-COMPANY TRAINING ACCEPTANCE FORM – PD3F5 Issue 1

Please check and complete form and return via email or fax
Course Summary
Company Name: AN OTHER LTD No. of Delegates: 12
Course Title: BESPOKE MANUFACTURING OPERATIONAL PRACTICES
Course Start Date: 27th Nov 201X Duration: 3 DAYS
Course Fee: £4250.00 Expenses: Travel and Accommodation
Contact Details
Contact Name: Tim Jones Job Title: Manufacturing Manager
23 Hydro Walk Telephone: +44 (0) 1677………..
Contact Address: Pneumatics Place
Email: An other.ltd@abhow.com
Paris
Course Venue Details (If different to Contact Details)
Contact Name: AS ABOVE Telephone
Course Venue
Email:
Address:
U-Shape room layout with top table, LCD Projector, Flip chart and pens & Whiteboard,
Room Requirements: Syndicate Rooms (1-5 delegates – 1 room, 6-10 delegates – 2 rooms, 11-15 delegates – 3
rooms, 16-20 delegates – 4 rooms).
Material Delivery Details (If different to Course Venue Details)

Contact Name: AS ABOVE Telephone:
Material Delivery
Email:
Address:
Invoice Details (If different to Contact Details)

Contact Name: AS ABOVE Telephone:
Email:
Invoice Address:
VAT No:
PO Number: Company Reg:
Customer Declaration
By signing and submitting this acceptance form we agree to the LLL terms and conditions of business.
Please use the following link to view LLL terms and conditions http://www.LLL/Legal/Terms-and-Conditions-for-Training-Courses
We understand we are responsible for providing the room requirements detailed in this form.
Signature: Tim Jones Date:26/11/201x

Internal Use Only
LLL Reference LLL 0834 Course Tag:BB900
Sales Person: July Bodget EM DR NR
L-l-L
Case Study (Tutor)
PD3F1 – Issue 1
From: July Bodget
Sent: 26/11/201X 12:04

To: Tim Jones
Subject: BESPOKE MANUFACTURING OPERATIONAL PRACTICES
Booking Confirmation
Booking Reference: LLL 0834
Dear Mr Jones,
Thank you for booking with Lifelong Learning. We can confirm places for 12 delegates on our
BESPOKE MANUFACTURING OPERATIONAL PRACTICES course
Course Start Date: 28/11/201X.
Schedule
Day 1: 8.45am - 5.30pm
Day 2: 8.30am - 5.30pm
Day 3: 8.30am - 5.00pm (exam)
Please note these times are to be used as a guide and may be subject to change.
Location
This course will be held at
23 Hydro Walk
Pneumatics Place
Paris
Lifelong Learning offers a residential option with this course which includes 7 nights’
accommodation and evening meals starting from 28/11/201X.
You have chosen the following option: Residential
L-l-L
Case Study (Tutor)
Prerequisites
Please ensure you bring photographic identification to the course. Acceptable forms of
identification are photographic driving license or passport. Delegates should have experience of all
manufacturing processes and have practical experience in hydraulics and pneumatics.
General Information
Lunch and refreshments are provided on this course.
Delegates should be aware that there is a requirement to undertake some evening preparation work
onsite, but this is not expected to be for more than 2 hours.
A copy of ‘pneumatics man’ will be provided on the course for each delegate.
The dress code for the course should be smart (i.e. suit)
For delegates with specific needs, dietary or other, please let us know after the course.
Contact Us
course.admin@L-l-L.com
0845 012 ….
Tutor Contact is Peter Deming (0395 556188)
Course Details
L-l-L
Aims
This comprehensive three-day course provides hands-on training to ensure that you can audit your
manufacturing processes, especially the hydraulic & pneumatic actuator assemblies. The tutor will
familiarize themselves – on the day- with your procedures, so he can advise you on how to audit
them. The tutor is a highly experienced management system auditor and has visited manufacturing
sites in the past.
Outcomes
The knowledge that your management systems are being effectively audited
The ability to do second party audits of your supply chain
We hope you enjoy and benefit from the course you have selected. We look forward to seeing you
there!
For further information about future training please visit http://www.LLL...../ or call us on (+44)
(0)845 012 …..
L-l-L
Case Study (Tutor)
________________________________________________________________________
Visit the Lifelong Learning website at www.L-l-L.com
This email may contain confidential information and/or copyright material. This email is intended
for the use of the addressee only. Any unauthorised use may be unlawful. If you receive this email
by mistake, please advise the sender immediately by using the reply facility in your email software.
This email has been scanned for all known viruses.
L-l-L
Case Study (Tutor)
PD3F1 – Issue 1
From: Jane Smythe
Sent: 15 April 20xx 09:04
To: Jack Peterson
Subject: Quality Management Systems Auditor/Lead Auditor Training Course (ISO 9001)
Booking Confirmation
Booking Reference: L-l-L-0017358
Dear Mr Peters,
Thank you for booking with Lifelong Learning. We can confirm your place on the
QUALITY MANAGEMENT SYSTEMS AUDITOR/LEAD

AUDITOR Training Course (ISO 9001)
Course Start Date: 06/08/2013
Schedule
Day 1: 8.45am - 5.30pm
Day 2: 8.30am - 5.30pm
Day 3: 8.30am - 5.00pm
Day 4: 8.30am - 5.30pm
Day 5: 8.30am - 12.00pm (Exam)
Please note these times are to be used as a guide and may be subject to change.
Location
This course will be held at
Holiday Inn – Heathrow – UK
29 Eny Street
Elzewhere
G1 3SF
United Kingdom
http://www.centralhotels.com/browse-our-hotels/central-hotel/map--directions.aspx
0141 240 XXXX
L-l-L
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Lifelong Learning offers a residential option with this course which includes 3 nights’
accommodation and evening meals starting from 08/06/2013.
You have chosen the following option: Non-Residential
Prerequisites
Please ensure you bring photographic identification to the course. Acceptable forms of
identification are photographic driving license or passport. Delegates should have experience of
ISO 9001 and auditing.
General Information
Lunch and refreshments are provided on this course.
Delegates should be aware that there is a requirement to undertake some evening preparation work
onsite, but this is not expected to be for more than 2 hours.
A copy of the ISO 9001 Standard will be provided on the course for each delegate.
The dress code for the course should be smart casual.
For delegates with specific needs, dietary or other, please let us know in advance via the contact
details below.
Contact Us
course.admin@L-l-L.com
0845 012 XXXX
Course Details
L-l-L
The calibre of your lead auditor is crucial to the performance of your audit team, and ultimately to
the success of your management system.
Aims
This comprehensive five-day course provides hands-on training to ensure that your lead auditor
thoroughly understands the role and acquires the expertise needed to perform it effectively.
L-l-L
Case Study (Tutor)
Outcomes
The knowledge that your management systems are being effectively audited
The ability to do second party audits of your supply chain
We hope you enjoy and benefit from the course you have selected. We look forward to seeing you
there!
For further information about future training please visit http://www.LLL.com/en-GB/ training-
courses/ or call us on (+44) (0)845 012 3456.
________________________________________________________________________
Visit the Lifelong Learning website at www.L-l-L.com
This email may contain confidential information and/or copyright material. This email is intended
for the use of the addressee only. Any unauthorised use may be unlawful. If you receive this email
by mistake, please advise the sender immediately by using the reply facility in your email software.
This email has been scanned for all known viruses.
L-l-L
Case Study (Tutor)
IRCA Lead EMS Auditor Sales Brief – PD2F4 – Issue 1

Become a leading environmental auditor with our IRCA ISO 14001 Lead Auditor Training
Course.
Guide your organisation to environmental management excellence and industry recognition

through international accreditation. As lead auditor you will remain at the forefront of EMS
strategy and will drive efficiency in line with ISO 14001 and you can play a pivotal role in
ensuring your organisation is committed to environmental best practice.
Work with EMS training professionals during this five-day course to understand how to
keep pace with developments in environmental management systems. Consolidate your
auditing skills through interactive sessions, role play and workshops where real life case
studies make learning relevant.
Who should attend?

• Those who want to lead compliance in line with ISO 14001/EMAS standards
• Existing auditors of quality systems and safety management systems
• Organisations seeking UKAS certification against ISO 14001
What will I learn?

• Consolidate your ISO 14001 environmental management knowledge
• Gain the ability to conduct effective audits in line with ISO 14001 and EMAS
• Keep up-to-date with best practice and environmental legislation
• Be confident leading and managing audit teams and processes
• Improve analytical and reporting skills
• Prove your EMS competency through ISO qualification and professional
recognition
How will I benefit?

• Develop leaders within your business with thorough understanding of ISO 14001
• Improve efficiency and cut costs through an ISO accredited EMS
• Keep pace with the latest developments in environmental management systems
• Build stakeholder confidence in your commitment to auditing and maintaining your
EMS
• Motivate employees through increased environmental knowledge
L-l-L
Case Study (Tutor)
Selection from this year’s Course Schedule – PD1F5 – Issue 2

Month Courses Areas Delivered/cancelled
planned
August Advanced EMS Manchester Delivered
Auditor
Lead auditor York Delivered

9001 Nottingham Delivered
Internal auditor Dubai (in-house) Delivered

9001 Cardiff Delivered
London Delivered
Milton Keynes Delivered
Introduction to London Delivered

27001 Manchester Cancelled – small number of delegates
September Internal Auditor Cardiff Delivered
ISO 9001 York Delivered
Glasgow Delivered – but serious complaints from
delegates about the venue
India (in-house) Delivered
Lead Auditor Stratford on Avon Delivered

18001 Cardiff Delivered
Implementing Nottingham Delivered

18001
Introduction to London Delivered

14001 China (in-house) Delivered
Internal auditor Nottingham Delivered

18001
October Advanced EMS London Delivered
Auditor
Introduction to Cardiff Delivered

14001 Swindon Delivered
Northampton Delivered
Internal auditor Cardiff Delivered

14001 London Delivered
Lead auditor Canada (in-house) Delivered

18001 London Delivered
Glasgow Delivered – but serious complaints from
delegates about the venue
November Understanding London Delivered
BS 25999 Spain (in-house) Delivered
Nottingham Delivered (To date)
Implementing York COMMENCING NEXT WEEK

ISO 9001 Glasgow
L-l-L
Case Study (Tutor)
Selection of courses delivered – PD4F2 – Issue 1
Venue / Hotel records

Project Dates of
Venue No Tutor Course Title Course Contact Comments on accommodation
Hayley Conference Centre - TE1010 Leon Internal Auditor
Horwood House King 9001 02 & 03 August Sam Little tutor local no accommodation required
TE1020 Paul tutor accommodation night before and all
Marriott Hotel – York Denning Lead Auditor 9001 06 - 10 August Joan Little course
TE1025 Paul Introduction to ISO
Holiday Inn J4 Heathrow Denning 27001 17-Aug Peter Morris tutor accommodation night before
TE1063 Tom Implementing BS 11 & 12 tutor accommodation night before and night
Hayley – Nottingham Short 18001 September Dan Smith of course
TE1065 Tom Internal Auditor BS 13 & 14 tutor accommodation night before and night
Hayley – Nottingham Short 18001 September Dan Smith of course
TE1073 Tom Lead Auditor BS 17 - 21 tutor accommodation night before and night
Hayley - Stratford upon Avon Short 18001 September Samantha of course
TE1098 Norman Introduction to ISO Agatha tutor accommodation night before and night
Novotel – Cardiff Black 14001 15-Oct Green of course
TE1102 Norman Internal Auditor 16 & 17 Agatha tutor accommodation night before and night
Novotel – Cardiff Black ISO 14001 October Green of course
TE1111 Norman Advanced Auditor tutor accommodation night before and night
Holiday Inn, J4 M4 Heathrow Black ISO 14001 22 - 26 October Peter Morris of course
TE1115 Leon Understanding BS 01 - 02 tutor accommodation night before and night
Holiday Inn, J4 M4 Heathrow King 25999 November Peter Morris of course
L-l-L
Case Study (Tutor)
PD5F5 – Issue 2
Delegates for the Advanced Auditing Course – 22 to 26 October

201X
Course Number: Z100345 Location: Holiday Inn, J4 Heathrow
Course Price: £980 + VAT Tutor: Norman Black
Maximum number: 10 delegates Accommodation: Night before and during
course
No Name Organisation Address 1 Address 2
1 Gerard Livingston T R Powell 3 Airport Plaza Manchester
Holloways
2 Barry May Ltd 1209 Green Street Cheltenham
3 Timothy Merton Mustoe Ltd 85 Sheffield Road Worksop

51 Silbury
4 Scott Wilkinson Bowen Ltd Boulevard Milton Keynes
Sound
Solutions
5 Alex Herrington Ltd 53 Braintree Avenue Ramsgate
73A Carluke
6 Fran Eddery Parkwall Ltd Avenue Hazelbank
7 Peter Connick M R A Ltd 3 Whitehaven Road Distington

596 Workington
8 Nigel Wright Aqua Road Frizington
9 Cliff Harrington Chappel Ltd 2 Caddington Street Brize Norton

Beard Jones 1 Middle Barton
10 Becky Lui Ltd Road Oxford
11 Michelle Richardson F S G Ltd 3 Stone Street Aylesbury
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12395
DATE/ TAX point: 1 October
Lifelong Learning Limited Account No: 8730609
PO: 400056952
London
Payment due: 30 days from date of invoice
T R Powell
3 Airport Plaza
Manchester
Invoice may be paid by BACS/ electronic transfer

HSBC 4-8 Victoria St, London, SW1H 0NE
Account: 458882
Sort Code: 40-50-61
Swift Code: MIDL5688
To pay by credit card please call +44 (0) 845 669 222
Item Description Quantity Unit VAT VAT Total

code price £ % value £
£
451289 Gerard Livingston 1 980 17.5 171.5 1151.5

Advanced Auditor ISO 14001
22 - 26 October
Holiday Inn, J4 M4 Heathrow
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12396
PO: 400056953
London
Holloways Ltd
1209 Green Street
Cheltenham

Account: 458882
Sort Code: 40-50-61

£
451289 Barry May 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12397
PO: 400056954
London
Mustoe Ltd
85 Sheffield Road
Worksop

Account: 458882
Sort Code: 40-50-61

£
451289 Timothy Merton 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12398
PO: 400056955
London Payment due: 30 days from date of invoice
Bowen Ltd
51 Silbury Boulevard
Milton Keynes

Account: 458882
Sort Code: 40-50-61

£
451289 Scott Wilkinson 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12399
PO: 400056956
London
Sound Solutions Ltd

53 Braintree Avenue
Ramsgate

Account: 458882
Sort Code: 40-50-61

£
451289 Alex Herrington 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
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PD3F3 – Issue 1
Invoice: 12400
PO: 400056957
London
Parkwall Ltd
73A Carluke Avenue
Hazelbank

Account: 458882
Sort Code: 40-50-61

£
451289 Fran Eddery 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12401
PO: 400056958
London
M R A Ltd
3 Whitehaven Road
Distington

Account: 458882
Sort Code: 40-50-61

£
451289 Peter Connick 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12402
PO: 400056959
London
Aqua
596 Workington Road
Frizington

Account: 458882
Sort Code: 40-50-61

£
451289 Nigel Wright 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12403
PO: 400056960
London
Chappel Ltd
2 Caddington Street
Brize Norton

Account: 458882
Sort Code: 40-50-61

£
451289 Cliff Harrington 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
PD3F3 – Issue 1
Invoice: 12405
PO: 400056962
London
F S G Ltd
3 Stone Street
Aylesbury

Account: 458882
Sort Code: 40-50-61

£
451289 Michelle Richardson 1 980 17.5 171.5 1151.5

22 - 26 October
Totals: 980 17.5 171.5 1151.5
L-l-L
Case Study (Tutor)
Build List - IEMA Approved Advanced EMS Auditor Course

Company Code EN07 – PD2F2 – Issue 2
Delegate Manual (LLL Training Binder with numbered tab dividers)
Quantity File Name Position Printing Instructions Dept Ε
Black & white - single sided printed on
01 Page Title In front of
datasheet paper
Tab 1
02 Welcome & contents Black & white - single sided
03 Delegate course
Tab 1 Black & white - double sided
programme
04 Delegate Slides with Black and white - Notes Pages - double
Tab 2
notes sided
Printing
05 Greenwood
1 per Tab 3 Black & white - double sided
Publications Ltd
delegate
06 Audit, Black & white - double sided
Tab 4
07 Photos Colour – double sided
08 Course Notes Tab 5 Black & white - double sided
09 Specimen Exam Tab 6 Black & white - double sided
10 Note Pages Tab 7 Black & white - double sided
11 GP022-2 Course
Black & white - double sided
Evaluation Form
Tab 8
12 Standards Order
Form
Delegate Manual Case Study (spiral bound with pre-printed front and back cover)
– inserted loose into Delegate Manual LLL Training Binder
Order as per Black & white - single sided printed on
01 Title Case Study
file name datasheet paper.
02 Contents number. Black & white – single sided
03 Impacts Black & white – double sided
Printing
04 Records (Pages are Black & white – double sided
1 per
05 Annual Waste sequentially Black & white – double sided
delegate
06 Celtic Water numbered Black & white – double sided
07 Authorisation from start to Black & white – double sided
finish for
08 Ciba Clayton entire Black & white – double sided
document)
Delegate Manual Regulatory Summary (Issue 8 January 2007)

(spiral bound) – inserted loose into Delegate Manual LLL Training Binder
01 Front and Back Printed on Card - Colour – single
Printing
Covers Order as per sided

1 per
02 Table of Contents file name Black & white – double sided
delegate
03 Regulatory Summary number
Black & white – double sided
Text
Additional Delegate Materials (inserted loose into the box with Delegates Manuals)
Printing
1 per LLL Pad

delegate LLL Pen
L-l-L
Case Study (Tutor)
Marketing material (course directory and schedule)

Tent Card
Packing Docs (inserted loose into a brown envelope)

Quantity File Name Printing Instructions Dept Ε
Black & white – single
01 TRFM003 - Closing Meeting Exercise Form
sided
02 Trfm002a - EMS L_A Cont ass
sided
1 x tutor Black & white - double
03 TRFM005c EMS L_A Course Sum
Printing
sided
04 GP017-2 Detailed Examination Report Form
sided
Black & white – double
50000385
sided - stapled
Refer to Examination Paper No ……(for No refer to Black & white – single
Print Order Print Order) sided
Refer to Stock Item – Available from
Standards ISO14001:2004 (keep copy)
Print Order LLL
Packing Docs (LLL checklist)

Quantity File Name Printing Instructions Dept Ε
Examination Paper No – (Paper Number to be
confirmed to Intype Libra via Print Order)
Standards ISO14001:2004 (keep copy)
If ER Tutor – check if standards/current
Training
1
version of course (distribution spreadsheet)
needs to be sent; PC009A to be emailed.
Pre-paid courier labels
Tutor Guide (ring binder with pre-printed front and back cover)
Quantity File Name Position Printing Instructions Dept
01 Title page
datasheet paper.
In front
02 Contents Black & white - double sided
of Tab 1
03 Issue 9 changes (from issue
Black & white - single sided
8)
04 Session Plan Tab 1 Black & white - single sided
Training
Black and white - Notes Pages - double

05 Tutor slides with notes Tab 2
1 copy sided
only 06 Greenwood Publications
Ltd
07 Tutor Guide Audit Black & white - double sided
08 Tutor Guidance Notes Tab 4 Colour – double sided
09 Tutor Guide Photos Black & white - double sided
10 Example – Aspects register Black & white - single sided
11 Example – Greenwood Tab 5
Legislation
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12 Trfm002a - EMS L_A Cont

ass
13 TRFM005c Course
Summary Sheet Tab 6
14 NC file Black & white - double sided
15 PAss questionnaire Black & white - double sided
16 Matrix Tab 7 Black & white - single sided
17 TrainingGuidelines-April-
2004
Tutor Guide Exams – place in plastic wallets and insert into back of Tutor Guide LLL Training
Binder
01 Exam 1 Answers Black & white – double sided
02 Exam 2 Answers Order as Black & white – double sided
03 Exam 3 Answers per file Black & white – double sided
04 Exam changes summary name Black & white – double sided
number
05 Specimen Exam Black & white – double sided
Tutor Guide Case Study (spiral bound with pre-printed front and back cover)
– inserted loose into Tutor Guide LLL Training Binder
01 Title Case Study
datasheet paper.
02 Contents Black & white – single sided
Training
03 Impacts Order as per Black & white – double sided
1 copy
04 Records file name Black & white – double sided
only
05 Annual Waste number Black & white – double sided
06 Celtic Water Black & white – double sided
07 Authorisation Black & white – double sided
08 Ciba Clayton Black & white – double sided
Tutor Guide Manual Regulatory Summary

(spiral bound - inserted loose into Tutor Guide LLL Training Binder)
01 Front and Back
Printed on Card – colour – single sided
Covers Order as per
Training
1 copy
02Table of Contents file name Black & white – double sided
only
03 Regulatory Summary number
Black & white – double sided
NOTE: Tick and highlight each item per course as packed.
Packed by: Date:
Report any discrepancies to Course Administration
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LLL Requisition and Purchase Order – PD7F1 – Issue 2

Originator’s name: Don Johnson Extn: 234
Department: Administration
Location: Head Office Delivery required by: 20th October
this year
Project: TE 1111 To be returned via Stores? Yes/No
LLL Company Code EN07
Items subject to Lifting/Pressure Regulations? Yes/No Hazardous Substances? Yes/No
Chargeable job No(s): As above Capital Sanction No(s): If applicable
Please note that forms will be returned unless tracking number, cost centre and expenditure
code are completed.
NB. If goods/services have already been invoiced, please denote the invoice number under the ‘Description’ heading
below.
Item Qty Description Price (excluding VAT)

No.
1 10 Course materials for Advanced EMS Auditor course.
Deliver direct to venue
Name and address of recommended suppliers: Delivery address and special instructions:
Print Magic, Deepdale Works, Wiltshire Holiday Inn
London
Vendor Code:
Authorised by: George Price Title: Administration Date: 13th Oct this year
Manager
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Venue Check – PD4F3 – Issue 2
Holiday Inn, J4 M4 Heathrow 22 - 26 October
Did we order enough material 11 required - 12 ordered
Has the material arrived at the venue (from Arrived 10/10, signed for by Peter
office) Morris
Who is the tutor & do they need accommodation Norman Black

Booked night before and
throughout the course
Syndicate rooms required 2 required and booked
Call venue and confirm details 15/10.
Call tutor and confirm details Message left with tutor
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Case Study (Tutor)
PD5F8 - Issue 1
Information to Tutors
Venue Holiday Inn London
Tutor Norman Black
Taxonomy code Advanced Auditing Course
Start Date 22/10/201X
Course Number Z100345
Further Info None
PLEASE ENSURE NAMES ARE WRITTEN AS THEY SHOULD APPEAR ON CERTIFICATES Exam Results
Delegate First Name Delegate Last Name Delegate Status Attended Cont. Exam Exam Pass/
Assess Result Mark % Fail
Pass/
Fail
GERARD LIVINGSTON Booked
BARRY MAY Booked
TOM MACEY Booked
SCOTT WILKINSON Booked
ALEX HERRINTON Booked
FRAN EDDERY Booked
PETER CONNICK Booked
NIGEL WRIGHT Booked
CLIFF HARRINGTON Booked
BECKY LUI Booked
MICHELLE RICHARDSON Booked
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Generic Tutor Guidance/ Planning – PD5F1 – Issue 2
Main Room cabaret style tables and top table for tutor. Syndicates close to main room &
Boardroom. 1 LCD Projector, all rooms - Flipchart and marker pens. Rooms must have
natural light and A/C.
Syndicate rooms are based on 6 – 10 delegates = 1 syndicate room, 11 – 15 delegates = 2

syndicates and 16 and above = 3 syndicate rooms.
Course Timetable
Day 1 Day 2 Day 3 Day 4 Day 5

Arrival Coffee 08.45 08.45 08.45 08.45 08.45
Lunch 12.30 12.30 12.30 12.30
Finish 17.00 17.30 18.30 17.30 12.00
Dinner 7.30 8.15 6.00 8.15
Please confirm the above timings with the Tutor.
Room Layout
• Cabaret style tables with top table
• 1 syndicate room required for under 10 delegates
2 syndicate rooms required for over 10 delegates
Equipment – Main Meeting Room
Item Day 1 Day 2 Day 3 Day 4 Day 5

LCD Projector & √ √ √ √ N/A
screen
Syndicates required √ √ √ √ N/A
Flipcharts √ √ √ √ N/A
Power Sources √ √ √ √ N/A
Internet Access
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Training Room Setup

Before beginning the course, the lead tutor must set up a laptop and LCD projector. Contact a
Training Coordinator to ensure the proper audio-visual equipment will be available for the
course. If cabaret style layout is not possible then a suggested classroom layout is shown
below (not ideal for accelerated learning).
Screen
Flipchart
AV
6’ Table
6’ Tables
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PD5F5 – Issue 3
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LLL CORRECTIVE ACTION REQUEST (CAR) – PD9F1 – Issue 1
DATE: August this year DATE LOGGED: August this year

2. DEPARTMENT/ LOCATION: Course delivery
3. NONCONFORMITY OR ACTION REQUEST:

Actual/Potential Problem identified (completed by originator)
Upon arrival at the venue one of my tutors checked the course material which should have been for
an introduction to ISO 27001 course. Unfortunately the material was for a different course - an
introduction to integrated management systems
Possible solution (completed by originator)

The office was contacted immediately and arranged for the printers to send the correct material by
courier so that it arrived at 10pm on the first day. The delegates did not pick up on the fact the
wrong material had been delivered so there was no problem there. More distinct course
identification needs to be developed.
4. LINE MANAGER/PROCESS OWNER DATE DUE: end of August this year

ASSIGNED: Administration manager
5. DETAILS OF CORRECTIVE/PREVENTIVE ACTION (completed by assignee):
Upon investigation it seems the printer produced what had been ordered. However the root cause
of the problem lies with the course tags. For the information security courses it is ISM and for
the Integrated management courses it is IMS. It appears the person who produced to requisition
put the wrong tag.
This has been taken up with the course development manager and he is going to look at all
course tags to see if there are others where confusion could exist and he will arrange for course
tags to be amended as appropriate
SIGNED: Administration manager DATED: August this year
6. ORIGINATOR ACCEPTANCE YES

SIGNED: Norman Black DATED: August this year
Operations Manager
Review of action taken (one month from receipt
of response) Acceptable/Not Acceptable
New course tags issued
(If unacceptable re-raise CAR/PAR)
Date: September this year
7. INCLUSION IN AUDIT PROGRAMME YES/NO
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LLL CORRECTIVE/PREVENTIVE ACTION REQUEST (CAR/PAR) – PD9F1 – Issue 1
CAR NO: 2
1. ORIGINATOR: Tom Short DATE LOGGED: Sept this year
DATE: Sept this year


There was an instance where Sales had overbooked one of our accredited courses so that there were more
delegates on the course than allowed for. This was run in September this year. There was only one tutor
allocated: so there should have been no more than 10 delegates on the course. In fact 13 were booked on the
course and attended!

I informed the operations manager who contacted the accreditation body. They were not happy but said they
would accept it on this one occasion and they gave a concession for this course.
I think we need to make sure sales staff are aware of the rules and give them a refresher on what the limits are
for these types of courses.
4. LINE MANAGER/PROCESS OWNER DATE DUE: with immediate effect

ASSIGNED:
Sales manager

I arranged for several sessions with my staff and we covered the accredited course criteria: including delegate
tutor ratios.
(I have instructed the staff) In the case of course numbers likely to exceed the permitted amount to close off
the course to any new enquiries and see if an additional tutor would be available. If this is the case then go
ahead and take further bookings for the course.
SIGNED: sales manager DATED: next week
6. ORIGINATOR ACCEPTANCE YES/NO
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SIGNED: Tutor Manager DATED: This week
Operations manager
Review of action taken (one month from receipt of
response) Acceptable/Not Acceptable
Action completed and effective
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LLL – Tutor Observation Feedback – PD8F1 – Issue 3

Tutor Name: Paul Denning
Date: 12-13th July 201X 1st Tutor:
Observer: Kevin Holmes 2nd Tutor:
Venue: Hayley Conference Centre, Milton Keynes L/A Obs:
Course: 2 Day QMS Internal Auditor Routine Obs:
TE No: 7007 Other Obs:
Course Start Yes No Comments

Tutor arrived in adequate time to set up?
Course signage checked and correct?
Arrangements confirmed with venue rep?
Meeting point for delegates established? delegates directed by conference centre
straight to training room
Housekeeping arrangements confirmed?
Materials located and arranged neatly?
Room set up correctly for course?
Required equipment checked and working?
Check adequacy/layout of syndicate rooms?
Introductory music? Paul's speakers had broken
Course Delivery Yes No Comments

Effective introduction and explanation? Clearly explained the course aims and
good use of the flash cards to introduce
the principles of auditing module.
Delegates explained why they selected
their cards in relation to their audits
(perception) and Paul built on their
responses to illustrate auditing
principles.
Question? What if everybody wanted to
pick the same card?
Only suggestion is perhaps to do
random introductions rather than going
round the group in turn.
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Delegate objectives established/recorded? Quite a range of knowledge and

experience in the group and returned to
them at the end of the course
Explanation of key ideas and concepts? nice relaxed manner which delivers the
information and encourages delegate
feedback and participation
Pace and variation? Good mixture of questioning and
listening to the delegates
Engaging delegates/review understanding? On day 1 the delegates were rather
quiet in the morning but Paul was
determined in his efforts to engage with
them
Appropriate experience and examples? With a lot of experience in various
organization’s Paul is able to engage
with the delegates and provide very
relevant examples
Clarification of points/answering questions? Always prepared to listen, respond and
clarify points raised by delegates
Appropriate time management? although on day 1 fell behind by about
30 minutes in the morning. Overall
though the course and its objectives
were delivered on time and in full
Explanation and defence of LLL at all
times?
Session and workshop management Yes No Comments

Clear instructions and objectives?
Involvement and guidance to all groups? Ensured that he kept an eye on both
groups and how they were progressing
but also mindful not to inhibit them
from developing their own ideas
Feedback management Yes No Comments

Able to provide appropriate feedback?
Appropriate reinforcing praise?
Challenging delegates for understanding?
Sensitive to learning needs?
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Exam Yes No Comments

Managed the exam correctly? this was not applicable as there is no
exam for this course
Marked papers correctly and timely? n/a
Sound decision made on outcome of exam? n/a
Feedback completed as necessary? n/a
Tutor Competencies Yes No Comments

Purpose & benefits of learning objectives?
Tutor skill set including subject knowledge?
Knowledge of learning styles &
implication?
Effective use of resources and training aids?
Challenge students to ensure learning?
Tutor qualification Yes No Comments

Meets the requirements for the grade of
Lead Tutor for the relevant course?
Concluding Overall Paul demonstrated a good knowledge of the subject and was able to
comments: deliver the course in a competent and professional manner. The only area where
he needs to feel comfortable with is the case study role play. This was
recognised by Paul in the delivery of this course and needed my intervention to
prevent a disaster.
Development None specifically.

Suggestions:
Necessary actions: Target Comments:

Date:
NONE
NB – Any feedback requiring improvement action is for the purpose of personal development to ensure
the continued delivery of high value courses to our customers, all feedback is constructive and should
therefore be regarded as such.
Observer: Nigel Brewser
Date: 13th July 201X
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Processes: PD6 &

Customer feedback
(and relevant parts of
PD8-9)
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QUALITY PROCESS 1 – Processes, Objectives and Measures – Issue 4

• Paperwork/information • Receive completed course • Issue of course

Objectives
from the course tutors paperwork/information from certificates
• Ensure issue of
• Delegate details tutor • Monthly analysis of key
certificates in a timely
• Course attendance list • Issue certificates performance indicators
manner
• Delegate feedback • Analyze feedback from
• Provide timely and
• Tutor feedback delegates and tutors
accurate data to
• Provide reports to management
PD6 – Post course management meetings
administration
Administration Manager Measures
• Certificates issued within
2 weeks of course
completion
• Data analysis provided to
management in time for
monthly management
meetings
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data collection this mth last 2 mths mths
mth ago ago
Post course admin –
PD6 Ensure issue of 15) Certificates Monthly 6 5 5 3
certificates in a timely issued within 2
manner weeks of course
Provide efficient and completion - Number
accurate data to of courses with
management overdue certificates
16) Data analysis Still Raw Raw data Analysis

provided to awaiting data gained provided
management in time data gained but no late
for monthly Monthly analysis but no analysis
management from analysis carried
meetings - Instances admin carried out
of late or missing out
data
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Course Evaluation– PD5F4 – Issue 2
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Course Evaluation
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for full details of all our training solutions
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Complaint Log Form – PD8F7 – Issue 1

Complaint # A1 Date Logged: September
Contact Name, tele # & email
Company Name & LLL Reference # Minter Ltd James Bund
address
Originator: Robin Hood Date Raised September
Head of Dept:
Robin Hood Department: Sales
(relevant process)
Nature of Complaint
This organization had sent 3 delegates to this Internal Auditor ISO9001 course in Glasgow. They complained about the quality
of the food and the poor variety. Also experienced problems with no hot water in their rooms and the fact there was no WiFi
available.
Extremely dissatisfied with the dull demeanor of the facility and with no natural lighting, and said they would not recommend
this venue to anyone else they come across. It spoilt their course for them.
Area/Process: Administration
Reviewed by Dept Head: YES

Visited the venue and spoke to the Hotel manager. It appeared that the boilers had
broken down during the course. The chef was new to the organization and had
Results of Review :
experienced several staff walk out of the kitchen which meant he had limited
resources.
 NOT NEEDED
Raise Corrective Action?
(please make sure decision is support by an explanation and recorded in
“Results of Review” above)
Informed hotel of the problems and they have agreed to address them. For next
If NO – Action Taken: course running here (next month) tutor to keep a close eye on the hotel
performance and delegate evaluations need to be sent in quickly for review.
CLOSURE
REVIEW & DISPOSITION
No Corrective Action (CAR) Raised Corrective Action Required (CAR Raised)
 Decision reviewed & validated  CAR#:
√ Closure Letter to Complainant Date Raised:
Date Sent: November this year Raised by:
Sender: Robin Hood
Comments:
Unfortunately it has been too late to rectify these delegate’s experiences and so we have offered them places at the next
month’s course.
We need to monitor this venue closely as there is another of these courses running in October and November. If the
problem persists we should cancel courses at this venue providing we can source an acceptable alternative in the area. It
will be interesting to see what the delegates say next time (from this company) – a good test for us.
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Complaint Log Form – PD8F7 – Issue 1

Complaint # A2 Date Logged: October this year
Company Name & LLL Simple Simon Pie Contact Name, tele # & email
Simon Pie
Reference # Company address
Originator: Tutor manager Date Raised October this year
Head of Dept:
Delivery Department: Course Delivery
(relevant process)
Nature of Complaint
Customer had sent 2 of its employees to this course (18001 Lead Auditor) run at our Glasgow venue. Extremely dissatisfied with
cramped conference facility, for 5 days, and no natural lighting, combined with grey paint and low levels of lighting. The
customer said that his staff had to be prescribed anti-depressants after the course.
Area/Process: Administration
Reviewed by Dept Head: NO, as Admin Manager off sick with stress. Tutor Manager has reviewed.
The course tutor agreed with the delegates views. The issues were pointed out to the hotel
Results of Review :
manager but he seemed disinterested as he was leaving at the end of the week.
 NO
Raise Corrective Action?
(please make sure decision is support by an explanation and recorded in “Results of
Review” above)
There is no point as we must stop using this venue from immediate effect. We need to
contact other suitable venues to see if they can accommodate the courses we are scheduled
If NO – Action Taken:
to run. This could have a significant impact on our finances and reputation. Admin manager
to action when back to work.
CLOSURE
REVIEW & DISPOSITION
No Corrective Action (CAR) Raised Corrective Action Required (CAR Raised)

 Decision reviewed & validated  CAR#:
√ Date Raised:
Date Sent: Raised by:
Sender:
Comments:
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Tutor Change Request Notice - PD5F3 – Issue 1
Course Title Internal Auditer ISO 9001

Course Tag Z100346
Delivery Date 02/03 August 201X
List of Changes
1. Slide 34 is wrong – refers to the old ISO19011 – delegates picked this up – not happy!
2. Not enough ‘active learning’ in the course – too many slides with bullet points on them –
delegates were falling asleep in the afternoon! Also, course is too simplistic – no real detail.
3. Timings in session plan are out - Day two role play – insufficient time.
Please change urgently!
4. Usual last minute photocopying at the venue due to materials being printed wrong – Built list is
too complicated – even for me!
Tutor's Name LEON KING
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Material Revision Details – PD2F2 – Issue 2
Course Tag ISO 9001 Internal Auditor

Course Title ISO 9001:2008 Internal Auditor
Current Issue 2
New Issue 3 To appear in Delegate Workbooks from w/c
TBA
Document Changes
Delegate Included mobile phones to be on silent during the course
Introduction
Main body Corrected typo on slide 45, increased time for Day 2 role play, better
instructions provided for delegates on activity 7.
Course notes Update contents page indexing – was incorrect. Added a handout on our Lead
Auditor course contents.
Build list Reflection of the above changes.
Course Tag QMS03001ENUK

Course Title ISO 9001:2008 Internal Auditor
Current Issue 1
New Issue 2 To appear in Delegate Workbooks from w/c
03/09/2012
Document Changes
All Rebranded materials
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02 & 03 August course indicates two delegates scoring below 4: Phil Walker – ‘Course was not
detailed enough on auditing’, and Donna Davies who scored the pre-course communications/joining
instructions as a 3.

Course needs to be more detailed – see my own request notice sent in (PD5F3).
Need more staff in Admin.

Course will be revised in the next month to accommodate changes needed.

We are aware of the shortages in Admin staff: on-going problem that everyone is aware of –
need to pay more for them to stay!

SIGNED: Leon King DATED: August this year
Operations Manager
New course issued, admin shortages is on-going
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PD9F2 Issue 1

17 August indicates one delegate scored below 4: Janet White who scored the pre-course
communications/joining instructions as a 1!

Need more staff in Admin. Paul Denning

We are aware of the shortages in Admin staff: on-going problem that everyone is aware of –
need to pay more for them to stay!

SIGNED: DATED: August this year
Operations Manager
Admin shortages is an on-going problem.
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LLL CORRECTIVE ACTION SCHEDULE AS AT NOV THIS YEAR

Sheet: 1 of 2
Issue Brief description Action by Completed Follow-up Comments & sign off
whom? by when? by when?
Audit RH1 Produce a Administration Nov this year November Results indicate that this
surveillance Manager and this year venue is still
programme with Tutor Manager underperforming, leading
increased level of to delegate dissatisfaction
monitoring and cancelled courses.
Sales to be notified and an
alternative venue to be
sourced as soon as
possible and all scheduled
courses at this venue to be
transferred – if possible
Audit Responsibilities Administration Oct this year October this Further selection of
RH2 for signing off Manager year evaluation forms
evaluation forms examined and all had
to be clarified and been properly approved
agreed
Audit Reduce course Tutor Manager Nov this year Nov this year Average time to send in
JW1 return times to returns now reduced to 5
office to that days. Further actions to be
specified (3 days agreed.
from end of
course)
Complaint Delegates Admin September Next course Checked with Hotel –
A1 complained about manager this year now in they have been informed
the Glasgow October of the issues we have
venue
Complaint Delegates Admin On-going November Awaiting Admin
A2 complained about manager Manager’s comments
Glasgow venue
again
Internal Incorrect material Administration September September Course tags reviewed and
CAR 1 delivered to venue manager this year amended to avoid future
confusion
Internal Overbooking of Sales Manager August September Refresher training
CAR 2 accredited provided to sales staff. All
Advanced Auditor now understand what is
course required.
Internal Delegates scoring Admin September November Open still
CAR 3 below 4 Manager
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PD6F1 – Issue 2
Lifelong Learning Limited
This Certificate is issued to
Gerard
Livingston
who Attended and Passed the
Lead Auditor ISO 14001
course
on 22-26 October
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PD6F1 – Issue 2
Barry May
course
on 22-26 October
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PD6F1 – Issue 2
Timothy Merton
course
on 22-26 October
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PD6F1 – Issue 2
Scott Wilkinson
course
on 22-26 October
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PD6F1 – Issue 2
Alex Herrington
course
on 22-26 October
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PD6F1 – Issue 2
Fran Eddery
course
on 22-26 October
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PD6F1 – Issue 2
Peter Connick
course
on 22-26 October
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PD6F1 – Issue 2
Nigel Wright
course
on 22-26 October
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PD6F1 – Issue 2
Cliff Harrington
course
on 22-26 October
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PD6F1 – Issue 2
Becky Lui
course
on 22-26 October
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PD6F1 – Issue 2
Michelle
Richardson
course
on 22-26 October
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LLL Internal Audit Programme (201x) – PD8F3 – Issue 2

Mar April May June July Aug Sept Oct Nov Dec Jan Feb
Management review X X
Sales and Marketing X X X

Document Control and
X X
record management
Course planning including
X
customer focus
Training and competence X / X X X
Booking and invoicing X
Administration pre course
Administration post course X X
Resource allocation X
Purchasing X X X
Course delivery inc tutor
X X / X /
management
QMS Management including
X
audits
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Life Long learning – Audit Report– PD8F5 Issue 1
Audit date(s) 10th September this year
Location(s) Head Office and
Report ref. AR5
Audit scope The delivery of open training courses
Audit team Jane Wilkinson
Participants Kevin Holmes, Leon King
Audit The audit commenced with an interview with Kevin Holmes the tutor
summary and manager.
coverage The objectives for this year had been set and communicate to his staff. All
objectives are progressing well and are on course to be achieved.
Two new external resource tutors had been taken on. Contracts had been
offered and accepted. It was noted that Paul Denning had been selected
particularly because, amongst other competency areas, he has extensive
knowledge of the Plastics Injection Moulding industry. Although he stated
to me that he only had knowledge of the administration software in a
manufacturing environment. I told him to keep that to himself until after
his probation period. Life Long Learning are hopeful of signing a lucrative
contract with Plastico and injection moulding business and Paul’s
experience will be an essential help to get and deliver this contract.
Records of training and competencies of training staff including Kevin’s,
were readily available.
Delegate feedback on tutor performance indicates a high level of
satisfaction and is in line with the objective of achieving an average score
of 5 out or 6 on each course.
Tutor manuals and session plans were readily available and up to date.
Course returns were received back into the office on average 7 to 10 days
after the completion of the course and this is not in line with the target of 3
days.
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Audit findings
Ref. Nonconformity Requirements
JW1 Course returns overdue for return to the office by up to 7 ISO 9001 7.5.1e
days from the target date of 3 days
Ref. Observations
The department has to go through an expansion in the number of tutors due to the
stretching sales targets for this year. Although coping OK at the moment it could be
envisaged that at some point courses could be cancelled if not enough trained and
competent tutors were available.
Please investigate Paul Denning for ‘Deception’ – i.e. lying during his recruitment.
Ref. Positive findings
Very positive and motivated staff who clearly love their jobs and are willing to go
the extra mile to achieve customer and job satisfaction.
Ref. Agreed actions
JW1 Investigate ways to reduce time to return course paperwork to the office. Consider
revisiting the use of prepaid envelopes or setting up electronic systems.
The information detailed within this report relates to the audit which was undertaken
objectively in accordance with company procedures. The findings within this report and the
activities discussed during the audit remain confidential to the company. The audit was based
on sampling therefore there may be areas of nonconformity not identified within this report.
L-l-L
Case Study (Tutor)
PD9F2 Issue 1
PD8F6 – Issue 1
LLL Internal Audit Nonconformities Matrix
This Year to November
Elements of ISO 9001:2008
Area of QMS 4 5.5 6 7.2 7.3 7.4 7.5 8 Total
audited 
MD -
Sales 2 2
Marketing 1 1
Administration 8 8
Tutor Mgnt -
Course delivery 2 2
Purchasing 1 7 8
QMS 4 4
documentation
Monitoring and 2 2
measuring
Continual -
improvement
Course -
development
Total 4 1 9 2 - 7 2 2 27
L-l-L
Case Study (Tutor)
Analysis of Data and Continual Improvement Opportunities (Nov 201X)

Carried out by the: Tutor Manager (Chair), an Administrator, a tutor, one Sales Executive.
Purpose: To assess areas targeted for continual improvement (recommendation from MD as
he thinks we are not improving and our customers are not getting the service we promise)
(Questions identified from the team’s analysis are detailed below)
In reviewing PD8F2 - 8.2.3 Monitoring and measurement of processes.
PD1 1) Declining? 2) None – No technical tutors recruited yet
PD2 3) Planning process indicated that existing course would need little update. 4) This
relates to the tutor feedback reported in August (PD5F3) covered on last audit.
PD3 5) & 6) Flat lined 7) Declining 8) Reducing
PD4 9) All ‘9’s’ – what about the Glasgow venue – reported as a problem to delegates?
10) Where does this number come from? (Assuming 10 is the best) What about the tutor
comments in feedback (PD5F3) – Materials always being printed wrong!
PD5 11) Follow this up in next audit. 12) Why the sudden decline this month? 13) Flat
lined? 14) Increasing!
PD6 15) Over dues not getting better? 16) This is our main problem!
PD7 17) All ‘0’s’ – what about the Glasgow venue – reported as a problem to delegates?
18) Looks good!
PD8 19 & 20) Data missing? No-one knows what this means! (i.e. what problems, what
actions?)
PD9 21) Looks reasonable – what areas are these from? 22) Check numbers against our audit
programme (PD8F3) – they don’t tie up?
PD10 23) Ok, as last review was in July 24) Data confirming noncompliance – actions?
25) All zero – but is this only from the management reviews – if so, will need to see July’s
data.
The questions (highlighted) above are to be answered by this year end.
Actioned to: Operations Manager & the Administration Manager
Continual improvement opportunities:

Quality Policy – A bit bland and means nothing to staff
Quality Objectives – Await responses from the above
Audit Results – Minor issues only recorded
Analysis of Data - Await responses from the above
CAPA – All being dealt with and minor issues only
Management Review – That’s up to the MD to decide
Staff Suggestion Box - To get Admin staff retention right (minimum pay is too low!), and the
need for securing tutor technical competence for the new areas of course delivery appeared
quite frequently in the box. We thought this was all common sense anyway.

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LifeLong Learning Ltd Case Study

Managing Director’s introduction to LLL

LifeLong Learning (LLL) Limited

Quality Management System Overview – QM001

Date of Issue: October 20xx

Master Document Control Form – MDC01 – Issue 1

Document Number Issue Owner/Document Title Retention time

QP2 2 Operations Manager/ Internal audit process Until revised

PD1 - Course Planning Forms

PD2 - Course development Forms

PD3 - Winning Sales Forms

PD4 - Pre course Administration Forms

PD5 - Course Delivery Forms

PD5F6 1 Tutor Manager/ Tutor training records Employment end

PD6 - Post Course Administration Forms

PD7 – Purchasing Forms

PD8 - Monitoring and measuring Forms

PD9 - Improvement Forms

PD10 – Management review Forms

Master Document Change Request Form – MDC02 – Issue 1

SECTION B : Documented Information OWNER

SECTION C : Documented Information AUTHORISER

SECTION D : DOCUMENT CONTROLLER

Scope of the Quality Management System

Marketing Administration Operations

Responsibilities and Authorities

Managing Director (Chris Way)

Operations Manager (Christine Spencer)

Tutor Manager (Kevin Holmes)

Marketing Manager (Jane Wilkinson)

Sales Manager (Robin Hood)

Administration Manager (George Price)

LifeLong Learning Process interrelationships

QMS Policy (QMS001) & Management

Customer Pre-course Course Post-course Customer

System support activities

LLL ACTIVITIES – Processes, Objectives and Measures – Issue 4 (Extract)

PROCESS INPUTS ACTIVITIES OUTPUTS OBJECTIVES/MEASURES

LLL ACTIVITIES – Processes, Objectives and Measures – Issue 4

Collate all relevant input

Prepare summary output

Other members of the

Departmental organization review report

Under LLL document control

MANAGEMENT REVIEW AGENDA – PD10F2 – Issue 1

ATTENDEES AND APOLOGIES:

• Follow-up actions from previous management reviews

Can include some or all of the following

ANY OTHER BUSINESS

Under LLL document control PD10F3 – Issue 1

MANAGEMENT REVIEW DATE – January 20xx

Apologies from Sales Manager, Operations Manager

Follow-up actions from previous management reviews

Process performance and product conformity

Nonconformity and corrective actions

Opportunities for continual improvement

ANY OTHER BUSINESS

Final comment from MD:

Outputs look acceptable, please implement, advise on costs beforehand.

MD Signed …… Chris Way……..

Under LLL document control PD10F3 – Issue 1

MANAGEMENT REVIEW DATE – July 20xx

Follow-up actions from previous management reviews