L-I-L Case Study (Delegate) Context of the Organization (Issues & Requirements) AND Planning for the QMS making excellence a habit (QMSO4 OLENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021, Page 20Case Study (Delegate) Under LLL document control PDIP8 — Issue 1 Context of the Organization (Iysues 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 issuesrequirements can cither be from outside, or from inside the organization. LLL documented information PDIF9 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 onl ‘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 making excellence a habit” ‘QMSOSLOLENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021 Page 21Case Study (Delegate) 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 making excellence a habit” ‘QMSOSLOLENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021 Page 22Case Study (Delegate) Under LLL document control PDIP8 — Issue 1 and Oppor Organization’ risk analysis LLL has considered the identified issuevrequirements, 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 sill 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 1H (High) ~ ligh 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 pla making excellence a habit” ‘QMSOSLOLENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021 Page 23(Case Study (Delegate) Extracts (Samples selected by auditor) PO1OFS issue Issues (External) Expected Result ‘Uncertainty Risk (-ve) (Effect) Opportunities (Competitive) We can continue to | Loss of supply through competitors ee ee 1 Preferred suppliers | run training course at | trying to establish unique supplier M ae apet (venues) stability | our preferred venues | contract — especially xxx Venues access/marketing ofthe venue! (Beonanaic) Preferred suppliers going out of 4 Preferred suppliers | business (spe ourprinters, | yy on tie the seme Preferred suppliers - | remaining in business | who are struggling in this economic existence climate) Statutory, Regulatory, | Not meeting our legal requirements r (Legal) =of particular concer is our waste | Legal compliance venues to meet our EMS ‘nometience 1SO 14001 commitments (Market) Customers remain in| Some customers suffering because 7 | Customers’ businesses | business and continue | of recession, and being liquidated~ | M. ~ viability to utilize our training training budget reduced aw ahilig oenaiaa (Technological) ; New course ed Engage with venues and 12 | Access to internet - | Vor cone wa | Access is often intermittent and " patilyaion during training course delivery during the course variable — venue dependent requirements (QMSO41OLENIN vé,0(AD05) Oct 2021 (©The British Standards Institution 2021, making excellence a habit” Page 24Case Study (Delegate) Banks and Insurers 13 amen) continue to provide | Banks and insurers defaulting ic Financial security | expected service to LLL (Social) Certain employees of LLL have . ae 9 ieieracon eae different social behaviours that a spay tore atthe ee from might be offensive to others — Prog: aca hie = Cigale excessive alcohol consumption es events (Cultura Delivering tutor is aware offand | Do not send tutors who d x2 | Degenerate a | gamnmacrne | DeMagmdaan nde tke | Ce Retde particular country ee cultural norms Language issues. Many courses Customers in new Se Will affect global roll out of 5 intries, arenot |... mne socaks English! Impact | H courses — Research is courses globally - | willing (give LoL | ne re the necessary here on financial reduced customer base | Training a chance ee = costs v benefits (Competitive) Growth as predicted 0 of 5% markets speci L ‘manufactur making excellence a habit” ©The Brtish Standords Institution 2021 Page 25 ‘QMSOALOLENIN v6,0(AD05) Oct 2021Case Study (Delegate) (Gocial) ‘Venues becoming as_| trod lookngiot Many of ourcurent prefered | providing the best facilities ~ ineffective leaming (Competitive) Their market share | Resources, infrastructure to take on Produce a project aq _ | Competitors going out | goes to LLL without | additional business especialy in plan/contingency plan for this 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) a Expected eae Uncertainty MIL, Opportunities (Effect) Tutors are competent | Selection of existing tutors have a Opportunity to multi-skill tutors 2 ina cross-section of | limited portfolio of MSS subject. | | ~impact on deployment and value MSS subject areas areas limiting deployment for clients ‘QMSOALOLENIN v6,0(AD05) Oct 2021 (©The British Standards Institution 2021, making excellence a habit” Page 26Case Study (Delegate) (Culture) within the ‘Unacceptable quality of work in 53._| ‘training department | Workforce is administration - due to staf Under review = staff shortages shortages (Values) Workforce remains f i . Workforce leaving - for better paid Opportunity to benchmark our 59 Workforce retention | with the organization sroyally for their working life ‘work to our competitors competitors wages (Culture) empl = ‘a Internal Allemployees are of policies and objectives, ° Check during internal audits that communications - communicated to especially towards the customer this is the case implementation | ‘We have occasional software Ensure backup systems are robust P (Performance) Ralls serviee, | stitches, inal 0 process orders and how we can limited TT Systems - robust | without interruptions and invoicing etc. interruptions to operations (Performance) | Uninterrupted energy o ; supply ~ 66 aon energy | Environmental/Energy NIA one ‘management system. ‘interruptions concern (ISO 50001) (Knowledge) Expand into new | Tutors are competent | Tutors are still not competent in . 67 | areas of raining - | inthis area and sales | this area, and difficulty in securing Care beirondieepobrsoune) bespoke equipment | win new business competent external resource ae training making excellence a habit” ‘QMISOALOLENIN v6,0(AD05) Oct 2021 ©The Brtish Standords Institution 2021 Page 27Case Study (Delegate) (Values) Lye on ed | High wages are being demanded Investigate whether external Investment in tutors ee cf for this area — will we have to use resources would prefer an Cc) being reviewed now) —new areas of tutor | for tutors to source? (Effect on intemal position with LLL (for competence | mranafacturing quality of delivery, complaints etc.) security ete.) but with less pay? Tinetodertonnew | inewesuncaiea’” | , Tworare aeady seetchodin Con we use extemal resource ime to develop new - 73 | “taining courses =| market leader for our | “livery = new course development to help write course content? slow sector y iB (Performance) | CRM is implemented Due to staffing issues in ” New CRM - according to project, administration, CRM 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 tutor competence | the subject matter is lacking bespoke manufacturing training Tutors should be | Tutors are travelling on Sundays to ee ee 1ome to compensate (between (Values) tziven the same venues, arriving late home on sacar as arcs 80 | Tutors work/life work/life balance as | friday nights, preparing expenses I ae vdavn ec offre balance ‘other members of the | on Saturday etc. Training delivery ys vm late starts, also early finishes ‘organization could be affected on Fridays ‘QMSOAIOLENIN v6,0(AD05) Oct 2021 (©The British Standards Institution 2021, making excellence a habit? Page 28Interested Parties/Stakeholders Case Study (Delegate) Extracts (Sample selected by auditor) PDLOFS = Issue 1 Interested Party Relevant? ‘Requirement (Expected Result) Uncertainty. IPL Executive Board y Good financial performance, legal compliance / avoidance of fines See issues identified above 1P3 Local residents N NIA NA IP Regulators Y Statutory, Regulatory, HR, Contract, OH&S, Environment, and Data protection laws in compliance. entification of appl statutory & regulatory for the products and services provided, understanding of the requirements, application within QMS of the requirements, and ‘update’ maintenance of them. Prompt responses to investigations and enquiries See issues identified above IPT Bank/Finance Y Good financial performance See issues identified above IPs Employees N NIA NA NIA ‘QMSOAIOLENIN v6,0(AD05) Oct 2021 (©The British Standards Institution 2021, making excellence a habit? Page 29Case Study (Delegate) 19 | Local Community Legal compliance, employment N NA rpig | Tsining end users - y See issues identified above Customers mrad Insurers NIA NIA NIA 127 | Contractors/Suppliers Prompt payment N Nothing to do with QMS 128 | Public Relations Maintenance of reputation Y See issues identified above 1P29 Trade Unions Connpliane (eriployment Inv), Y See issues identified above ‘good pay 1P3t General Public NIA NA NA .making excellence a habit” ‘QUsO#LOLENIN v6.0(AD05) Oct 2021 ©The Bris Standards Inston 2021 Page 30Under LLL document control isk and Opportunities Action Plans Case Study (Delegate) PDIP10 — Issue 4 Risk treatment options for addressing risks and opportunities will include: avoiding the risk first, followed by (in order) decision, eliminating the risk source, Extracts (Samples selected by auditor) 52: (Owner: HR Manager) taking risk to pursue an opportunity, retaining risk by informed ind finally changing the likelihood or consequence. Risk | Risk W/M/L. Uncertainty WML | (effect) after (Effect) | risk treatment Selection of existing tutors have a 52 | limited portfolio of MSS subject | L areas - limiting deployment What will be done: (Risk » toptio retaining risk by sio 1. Area affected: ‘Course Planning 2. Process: PDI 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 here? Knowledge of the particular MSS and of the subject discipline itself b. How is this knowledge currently ‘maintained within the organization? ‘Subject matter experts (SMES) keep the other tutors informed of developments and continued professional development (CPD) ©. How is it made available? Education? Training? Experience? ‘New tutors will attend a Requirements course and a Lead Auditor course. ‘New tutors will study the disciple from the appropriate professional institute (distance Jearning, in own time) 5. Competence necessary (Skill) (o achieve quality performance: ‘None necessary, other than the skills needed for a delivering tutor (already satisfied) (QMSO4101ENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021 making excellence a habit: Page 31‘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, (Case Study (Delegate) ‘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 leaning 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) Opportunities Resources, infrastructure to take on | Produce a project plan/contingency plan a4__|_ ditional business — especially in| eee aenrnality, other countries, and in training the detailing actions to ‘manufacturing sector upscale quickly ‘Whatwill be done: (Risk treatment option taken — taking risk to pursue an opportunity) T._Area affected: ‘Would affect the whole organization 2. Process: Alll 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 planicontingency plan ‘a. How would we know ifcompetitor | Action: Sales to investigate and advise went out of business? ‘Timescale: Oct end 20xx ®. How would we know the customers | Action: Sales to investigate and advise affected? ‘Timescale: Oct end 20xx ‘What could we do to capture lost| Action: Operations to investigate and advise business? ‘Timescale: Nov end 20xx .making excellence a habit” (QMSO41OLENIN v6.0(AD0S) Oct 2021 ©The British Standards Institution 2021 Page 32(Case Study (Delegate) ‘What additional resources would we need? ‘Action: Administration to investigate and advise ‘Timescale: Nov end 20x ‘How could these be secured quickly? ‘Action: Operations & Administration to investigate and advise ‘Timescale: Dec end 20xx Who would action this? ‘Action: Operations & Administration to investigate and advi ‘Timescale: Dec end 20xx ‘& What additional support would they need? ‘Action: Operations & Administration to investigate and advise Timescale: Dec end 20xx . Who would inform the new ‘Action: Sales to investigate and advise ‘customers? ‘Timescale: Jan end 20xx'1 7. How would administration cope with | Action: Administration to investigate and advise new demands? ‘Timescale: Feb end 20xx+1 5. Cash flow implications? ‘Action: Finance to investigate and advise ‘Timescale: Mar end 20xx +1 Project plan “Action: Sales Manager to collate findings into a project plan and present to management ‘Timescale: Mar end 20xx' ‘What resources will be required: As per the resources above. Who will be responsible: As detailed above. When will it he completed: Over the next six months (Oct-March 20xx+ 1). How 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. (QMSO4101ENIN v6.0(AD05) Oct 2021 ©The British Standards Institution 2021 .making excellence a habit? Page 33Under LLL document control Objective Action Plans Extracts (Samples selected by auditor) Case Study (Delegate) PDIP11 — Issue 3 LLL ACTIVITIES ~ Processes, Objectives and Measures — Issue 4 (Extract) 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) b) What will be - done/responsible: a) °) 2 Every team meeting will include an agenda item ‘on suggestions to improve the QMS/All team ‘meeting managers All staff will be encouraged to offer suggestions for improvement by the Managing Director’ MD Quality improvement tools ‘Lean Six Sigma’ will be used/ Purchasing, HR and Operations Manager Special internal audits will be instigated, with a specific objective around seeking improvement/ Operations Manager Quality circles will be introduced for areas needing improvement! Tutor Manager Corrective actions that are ineffective will be reported to top management/ Operations Manager ‘Top management and Sales to explore how our services could be enhanced for the customer/ TM & Sales Manager a) 2. What resources will be Internal time only/ Immediate b) Internal time only/ On-going required! 7 completion tine: ©). Training costs “Yellow Belt’ cire £3,000/ When budget is released from finance making excellence a habit” (QMS04 101ENIN v6,0(AD05) Oct 2021 ‘©The British Standards Institution 2021 Page 34Case Study (Delegate) ‘@)_ Internal resource only/ On-going. ) Training costs on approach cire £1,000 (budget approved) and then Internal resource only/ 1) Internal time only/ Immediate 2) Internal time only/ Within 3 months 3. How the results will be evaluated: By ensuring the above are implemented on time Extracts (Samples selected by auditor) LLL ACTIVITIES — Processes, Objectives and Measures — Issue 4 (Extract) PDS — Course delivery Objectives Develop existing tutor skills to align with new concepts of accelerated training practice Measures ‘Number of compliments/complaints Achieve at least an average score of 5 on each course (QMSO4101ENIN v6.0(AD05) Oct 2021 .making excellence a habit? ‘©The British Standards Institution 2021 Page 35Case Study (Delegate) Action Plan: PDS — Course delivery a) Attend the latest leaming 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 ©) Instructional designers to be appraised on new 1. What will be accelerated learning principles Tutor Manager doue/respenetible: ) 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 1) 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 cire £1,500, Workshop enrolment cire £2,500. Tutor Manager time (cire £1,500) Feb 20xx+1 ') Internal time (circ £1,500)/ Mar 20xx+1 2. What resources will ¢) Internal time (cire £1,500) Apr 20xx+1 ata oe d) Internal time (on-going costs)/ Mar 20xx+1 onwards ° )_ Internal time (cire £1,500)/ May 20xx+1 ) Internal time (cire £500)/ Mar 20xx+1 onwards 2) Internal time (on-going costs)/ May 20xx+1 onwards h) Internal time (on-going costs)’ Apr 20xx+1 onwards 3. How the results witt | Number of compliments/complaints v old approach be evaluated: Increase in average course score v old approach Increased in exiting customer retention rates .making excellence a habit? (QMSO4101ENIN v6.0(AD05) Oct 2021 ‘©The British Standards Institution 2021 Page 36