© CGI Group Inc. 2014

Compliance checkQuality consultant - Richard den Dulk

Richard den Dulk

November 2014

Version 1.0

Compliance check .. Why??

• You use a Management Model (or Quality System) to structure your

organization and activities.

• The use of this model is checked in a regular external audit.

• You have internal audit mechanisms in place to regularly investigate

processes.

• Internal audits lead to findings in a ‘management review’.

• The ´management review´ leads to improvements which prevent

surprises form external audits.

So why check the compliancy?

1) Determine short comings in a broad perspective in 4 weeks

2) Confront higher management with their responsibilities

3) Get a friendly retrospective on your organization

2

Check and report

4

HowTo …

Appoint process

owners

Improve

Determine goal and

scope

Goal and scope(interview higher management)

5

1. Validate the current status and determine the necessary steps to fully comply to your Management Model (MM).

2. Assess current compliance towards ISO9001, so process owners can take necessary actions before the actual external audit will take place.

Deliverable:

• Status of current compliancy

Scoping:

• We need to be brief and act fast

• Accept an abstract overview

• Deny the luxury of documented proof

Results

• MM findings

• ISO9001 findings

• Ready for audit

Conduct

interviews

Combine

results

Report

ISO9001

Findings

Business Unit

Market 1 Market 2 Market 3

Service Lines

Finance

Marketing

HR

Legal

Operations

Communications

Appoint process owners

6

When Process Owners are not yet appointed, Policies and

Processes of your Management Model should be projected

on your Organization model.

The accountable manager is able to:

• Explain the policy or process

• Comment on the results of the policy or process

• Influence the performance of the policy or process

Appointing Process Owners is precondition to solving

findings after the compliancy check.

Process Owner (department) Accountable

Human resources HR department HR Director

… … …

Check and report

The duration of all activities are related to the total amount of processes and policies that are checked.

Preparation of the interviews consist of:

• Reading the company´s Management Model

• Create presentations per Process or Policy

• Interpret the standard questions

• Create an overall sheet with questions and answers

Interviews with Process Owners are planned considering the next ingredients:

• Each interview will start with an introduction

• The Policy or Process will be explained

• The 6-8 questions will be discussed

Each interview will lead to documented conclusions

• Evaluate minutes

• Combine conclusions

• Combine results to one overall sheet

An end report (presentation) will be created

7

Use standard questions

8

With the ISO9001 standards as baseline we have composed brief and simple questions

and answers which can determine the maturity of the Process or Policy.

1. Improvement is not implemented. The process itself could be running great, but there

haven't been improvements yet.

2. You have documented results of the process, so improvements could be based on

these results.

3. There are action plans available that should improve the results you have documented.

4. Improvements are made and measured and you have documented proof that it has.

This process is fully implemented.

Process How is improvement achieved and can

you present an example.

Compliance

9

• Fast insight of the maturity.

• Easy to determine priorities.

Process / policy Process owner Q&A1

(1-4)

Q&A2

(1-4)

Q&A 3

(1-4)

Q&A 4

(1-4)

Q&A5

(1-4)

Q&A 6

(1-4)

Q&A 7

(1-4)

Q&A8

(1-4)

Q&A9

(1-4)

Q&A 10

(1-4)

Q&A 11

(1-4)

Q&A12

(1-4)

Q&A

Average MM

Process Owner 4 4 4 3 4 4 3,83 96%

Policy Owner 4 3 4 2 2 4 3 3,14 79%

Process Owner 4 2 3 2 1 2 2 2,29 57%

Policy Owner 4 4 3 4 4 3,80 95%

Process Owner 4 3 3 3 2 3 3 3,00 75%

Policy Owner 4 2 2 3 3 2 2 2,57 64%

Process Owner 4 4 3 2 2 3 3 3,00 75%

Process Owner 4 2 3 2 2 1 3 2,43 61%

Process / Policy Compliance ActionProcess 22%

Improve now!Policy 37%

Process 48%

Improve

Policy 49%

Process 53%

Policy 58%

Process 62%

Policy 63%

Process 71%

Policy 88%

AuditProcess 94%

Policy 99%

Timing

10

Activity / Week 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Introduction x

Preparation x

Interviews x x

Report x

Short term actions x x

Improvements x x x x x x x x x x x

End report x x

Sign off x

• The Compliance check can be ready in 4 weeks.

• The execution of improvements are expected to take 10 weeks.

• A Compliance check including improvements will take 20 weeks.

Improvement slides

Improvement approach

• Process owner appoints coordinator

• Coordinator and Quality consultant plan activities

• Appointed coordinator executes implementation

• Coordinator reports to process owner

• After reporting the process is ready to be audited

12

Define

Measure

AnalyseImprove

Control

Define Measure Analyse Improve Control Report Audit

Define, Analyze, Improve

What needs to be improved?

1. Execution of a certain step

2. Visibility

3. Compliance to rules

What´s the cause

1. No insight

2. No exposure

3. Not executed

What actions are taken?

1. Improve visibility in committees

2. Increase the use of reports and dashboard

3. Anchor in the new organization

13

Measure

14

0

5

10

15

20

25

30

35

1 2 3 4 5 6 7 8 9 10 11 12

Action 23 24 26 28 30 32 34

Improvement 1 1 1 1 1 1 1

Improvement 2 22 22 23 24 25 26

Improvement 3 6 6 6 7 7 7

Improvement 4 3 3 3 3 3 3

Improvement 5 0 0 0 0 8 8

Control

15

By continuing to monitor key parameters the process will remain in control.

Other procedures may as well be implemented.

ControlImprovement Measurement Embedded in process

Report

Findings

• What surprising facts were discovered during the Compliance check

Improvements

• Raised awareness

• Embedded solutions

• Communications

Measured results

• Every action and goal should have been measured

Remaining action

• Are there any remaining actions to be handed over?

16

PORTUGAL

Aix en Provence

Amiens

Bordeaux

Brest

Caen

Clermont Ferrand

Grenoble

Le Mans

Lille

Limoges Lyon

Montpellier

Nantes

Nice

Niort

Orleans

Paris

Pau

Rennes

Strasbourg

Toulouse

BerlinBremen

Hamburg

Hanover

KarlsruheMunich

Muenster

Bertrange

Bergen Hamar

Haugesund

Leikanger

Oslo

Stavanger Sarpsborg

Tonsberg

Cracovie

Varsovie

Porto

Bratislava

Madrid

Toledo

Malaga

Boden

Borlange

Gällivare

Gavle

Härnösand

Kiruna

Lulea

Mariestad

Pajala

Skelleftea

Sundsvall

Soderhamn

Umeå

ÖrnsköldsvikOstersund

Aalborg

Aarhus

Kolding

DENMARK

Brussels

Milan

Dublin

Newcastle

Leeds

Manchester

Edinburgh

Didsbury

SWEDEN

NORWAY

FRANCE

NETHERLANDS

SPAIN

POLAND

SWITZERLAND

GERMANY

FINLAND

ITALY

UNITED KINGDOM

IRELAND

Tallinn

TartuESTONIA

BELGIUM

Budapest

LUXEMBOURG

Oulu

Raahe

Pori

Vaasa

Imatra

JoensuuJyväskylä

Kuopio

Turku

Helsinki

Darmstadt

Dortmund

Düsseldorf

Frankfurt

Hennef

Leinfelden

Mannheim

Groningen

Arnhem

Eindhoven

Rotterdam

Rijswijk

Amstelveen

Lisbon

Sacavém

OdivelasSintra

Brno

Prague

Plzen

Geneva

Baden

Basel

Hämeenlinna

Kouvola

Lahti

Lappeenranta

Riihimäki

Tampere

Gothenburg

Jönköping

Kalmar

Karlstad

Oskarshamn

Skara

Eskilstuna

Linköping

Norrköping

Botkyrka

Vaxjo

Arboga

Stockholm

Liljeholmen

Nacka

Orebro

Bromölla

Helsingborg

Karlskrona

Kristianstad

Malmo

Ballerup

Milton Keynes

Reading

Basingstoke

Leatherhead

London

Staines

Stevenage

Colchester

Brentwood

St Albans

Chesham

Birmingham

Bridgend

Bristol

Newport

Gloucester

CZECH REPUBLIC

SLOVAKIA

HUNGARY

Aberdeen

Espoo

Forssa

Our offices in Europe

Our commitment to youWe approach every engagement with one

objective in mind: to help clients succeed