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Assessment Control Page
Assessment Type I Internal Assessment Reference I GHQ/LPD/PATH/
1508
Area Pathway Processes Assessed Various
Contact(s) Jan Holmes Process Owner(s) Various
Planned Date 15/08/01 Lead Assessor Alan Clapson
Start Date 15/08/01 Full Report Title
Assessment Summary
1 Objectives of this Assessment
This assessment focused on the key business functions performed in Pathway Project,
part of the Large Projects Division (LPD) of ICL. It considered, through the
assessment of local processes and working practice:
= The compliance of those functions with relevant aspects of the ISO 9001:2000
standard.
= The compliance of those functions with relevant ICL Corporate Policies and
Processes
= Any areas suitable for promotion as good business practice across ICL.
In addition, every opportunity was taken to give advice and guidance on the new ISO
standard and corporate process deployment.
2 Scope of this Assessment
This ICL Internal Assessment was conducted over 3 days, within the FELO1 and
BRAOI offices, and involved the following members of staff :
Top Management (MD) : Stephen Muchow
Commercial Management : Colin Lenton-Smith
Development : Gill Jackson, Ian Morrison, Alan D'Alvarez
and Peter Dreweatt
Business Development : Kiran McGuirk
Customer Services : Martin Riddell
Problem Management : Richard Brunskill & Janet Reynolds
HR & Resourcing : Shirley Phillips & Di Jackson
Quality System Management : Jan Holmes
Given ICL's target of achieving registration against ISO 9001:2000 by the end of
2001, an emphasis was placed on assessing the key elements of the standard
applicable to each area, but consideration was also taken of applicable Corporate
Policies.
3 Management Summary
In general ICL Pathway was regarded as being well managed and its Business
Management System (BMS) able to satisfy the requirements of ISO 9001:2000.
During the course of this Internal Assessment, 2 non-conformances, 6 Observations
and 1 example of Good Practice were raised. The Observations were, on the whole,
opportunities for improvement.
Throughout this assessment good examples were seen of management commitment,
review and internal communication. There was an emphasis on Quality being part of
day to day business and the Quality Manager is being used as a check & balance that
the Business Management System's (BMS) integrity is maintained and that ISO 9001
requirements are covered.
Although change is driven mainly by the Pathway Change Management Process,
linkage to the Corporate Customer Solution Life Cycle (CSLC) was observed in the
matrix / flowchart being developed within the Commercial area.
There were however, several opportunities to improve linkage to other elements of
the Pathway central BMS and ICL's global BMS in some areas.
In common with other areas of ICL, there are also opportunities to improve
measurement and analysis, in some areas of Pathway, along with the management of
key records. Management of staff competency and performance records and the
monitoring of their completion is a focal point in BSI assessments and is already the
subject of discussion with the Corporate Process Owner, as a result of being
highlighted in several divisional assessments this year.
Pathway is known to have a very comprehensive central BMS. Several initiatives to
develop / improve unit level guidance were seen and it was recommended that these
be reviewed to consider the medium being used (eg. varies from use of websites to
word folders and shared filestores) and their linkage to the Pathway and ICL BMS,
given ISO 9001's requirement to show the interaction between processes.
The Customer Services area was regarded as being particularly well managed,
maintaining a high level of customer focus and having implemented good processes to
manage customer satisfaction (eg. the Management Care Visits initiative).
4 Assessment Commentary
4.1 Top Management (MD)
The Pathway MD showed good commitment to embedding quality principles within
business practice and this was displayed in the approach being taken to management
review and internal communication. Evidence of team meetings, monthly internal
and customer performance reviews, use of the 5 yr business plan and several internal
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communication initiatives (cascade, notice boards, etc) was readily available.
It was possible to track the progress of sample problems from initial identification,
review, corrective / preventive action and closure, within the retained records.
The role described for the Pathway Quality Manager was in-line with the
requirements of ISO 9001:2000, in terms of co-ordinating the BMS and reporting on
effectiveness. The QM has a slot at Management Team meetings and is in a position
to act as a "consultant" on ISO 9001 requirements and act as the "devil's advocate" in
considering the impact of any proposed changes on the BMS.
While a Problem Database does exist in the Customer Services unit, there are a
number of possible sources of corrective / preventive action across Pathway (eg. as a
result of assessments). Given the ISO 9001 requirement for management review of
c/a & p/a, it was recommended that a central corrective / preventive action process be
considered which could describe all potential routes, criteria for formal capture,
actions required, review mechanism and linkage to corporate process (eg. CSAS).
It was also suggested that the current ICL Pathway Quality Policy statement could be
improved by making it more of a business related mission statement, linked to the
corporate Quality Policy. This has been used to good effect in other divisions (eg. e-
Innovations).
4.2 Commercial
The Pathway contract is well established and new business opportunities constitute
changes to the central contract, rather than new contracts. These changes are driven
by the Change Control Process involving "Change Requests", "Change Proposals"
and, where necessary, "Contract Change Notices”.
A new process / matrix is being introduced (draft version seen) to improve guidance
on the interaction between the Pathway Change Control Process and the ICL CSLC.
In flowchart form, this document was regarded as being effective in demonstrating the
interaction of processes within the BMS structure.
It highlights the key CSLC stages in comparison with the Pathway process and it
was suggested that Siebel reports, generated at the key stages, would allow easy
monitoring of adherence to CSLC gateway requirements.
It was also recommended that the matrix be expanded to indicate the Change
Management Process equivalents of CSLC steps where appropriate (eg. where formal
reviews should take place)
The key records associated with the CSLC are currently spread between Commercial
and the Programme Office.
It was recommended that, for ease of control and access, all CSLC records be stored
in one area.
4.3 Development
The Development Director gave a clear overview of the Pathway Development
organisation and the development cycle followed. This was in line with the
DE/PRO/003 process within the central Pathway BMS, although it was stated that this
was in need of review following the changes in responsibility as part of the Pathway
re-organisation . It was encouraging to see that an independent testing team was used
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to validate solutions prior to release to customers.
A good level of management review was also observed, mainly through the weekly
reports produced by each development unit, and the merger of these reports for feed
into the top management programme review. It was suggested that merger could be
simpler if all reports were in the same format and that records of any problems
reported could be improved by documenting the corrective action taken before
removal from the report.
Measures of success for the unit were described as the meeting of project timescales
and the number of post-release issues reported (PINICLs). While slippages would be
identified via the top level programme plan and PINICLs are recorded on an online
system, no formal measurement or analysis of performance is carried out.
Given the emphasis in ISO 9001:2000 on measurement, analysis and continual
improvement (section 8) and that it was stated that post-release issues are always
raised due to the nature of the customer base, it was recommended that more formal
measurement and trend analysis be implemented.
4.3.1 Infrastructure Products Development Unit (IPDU)
A key responsibility of the Infrastructure Products Development Unit (IPDU) was
described as the validation of 3 party products used in the overall delivery to the
customer. A key supplier is Escher, for the Riposte product.
Although not actioned at the time of this assessment, good intent was seen in the plan
for the validation of Escher's contribution to the Banking Increment 2 (BI2) project.
No generic process for 3" party product acceptance currently exists within the
Pathway BMS so it was recommended that one be produced, based on the plan for
BI2, in the form of a 1 page deployed flowchart, identifying the test activities required
and the records needing to be retained to demonstrate conformance (eg. test criteria,
results, sign-offs, etc).
As with other areas of Pathway, development within the IPDU is driven by the
Change Management Process and Change Proposals (CP). The IPDU in BRAO]
maintain a local CP database within their DCO team and update the central CP system
from this. The IPDU team in BRAO1 update this local DB direct but as a result of the
recent re-organisations, new staff on other sites have joined the unit and have to feed
all updates through the DCO.
The IPDU operation was seen to be very project management driven, with local MS
Project plans being used to expand on the top level plan, maintained by the Pathway
PCO.
Development cycle reviews were seen to be inline with the Change Management
Process and the DE/PRO/003 cycle previously described. This was also seen to be
supplemented by a weekly IPDU team meeting where progress of CPs is reviewed.
The path of CP(2847) was successfully traced through entries in the Programme
Plan, a local plan, entry in the local CP database and review within the minutes of a
weekly team meeting.
Developments related to secure builds are driven by design documents based on the
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"Security Functional Requirements Specification" (RS/DES/051 (v5.0) and the
"Assess Control Policy" (RS/DES/058 (v 1.0)). Both documents were seen to have
been reviewed and authorised by the Security Technical Design Authority.
The IPDU currently have a "Local Operating Manual" (PCO/PRO/010) defining unit
level guidance, deviations from DE/PRO/003 and coding standards. This is currently
held as a Word document with embedded links to other related documentation.
Given that a plan was in place for the revision of this manual and the Application
Products Development Unit were also revising their web based guidance and
standards, it was recommended that a standard format for local guidance be
considered, along with common coding standards across the units. Process linkage
from this local level to other elements of the Pathway and Corporate BMS was also
recommended.
A good level of PINICL measurement was observed on noticeboards within the unit
which captured trends by virtue of maintaining a 12 month rolling graph.
4.3.2 Application Products Development Unit (APDU)
Recognising a need for improvement and consistency across the programme, the
APDU manager is introducing a new website to provide unit level guidance for staff
and to introduce design & development standards.
It was recommended that, as part of this exercise, consideration be made of
appropriate links to the Pathway BMS (eg. DE/PRO/003) and the ICL corporate BMS
(eg. applicable Corporate Policies and professional communities). Also that
opportunities for shared process / standards with the IPDU be investigated.
Following on from the development cycle described by the Development Director, the
path of Change Proposal CP(2927) was successfully followed from customer request
through High Level Design (PI/DES/013 v1.1) to Low Level Design (PI/LLD/027
v2.0), Coding, Quality Review, Unit Testing and submission for Integration Testing.
Appropriate reviews and authorisations were evident throughout the cycle. One
recommendation was that a section for Team Leader sign-off be added to the "Unit
Test Template”.
During the review of the Change Proposal, the standard mechanism for document
review was observed. It was noted that, during the "distribution for comments" phase
of the process, despite having a form which indicated the need for physical sign-off,
in practice comments were managed online via email. It was recommended that the
process be amended to reflect this practice but details of approval / authorisation
control (eg. acceptance of emails from nominated individuals) be included in the
Pathway BMS, along with guidance as to how electronic records should be controlled
(ie. storage, retrieval, retention, etc).
4.4 Business Development
As with much of the Pathway organisation, Business Development is closely tied to
the Change Proposal process.
With their responsibility to convert Change Requests into Change Proposals, the
Requirements Team were seen to be performing a key value added role as well as
satisfying the "determination of requirements" (section 7.2) aspects of ISO 9001.
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All Change Proposals are entered on Siebel as opportunities and the CSLC process
followed, however, the Pathway Change Management Process remains the main
driver. It was therefore felt increasingly important that the cross reference matrix,
described in the Commercial section above, be implemented as soon as possible to
ensure the two processes keep in-step.
Given the retention of key records as part of the Change Management Process, it is
unlikely that Pathway will utilise Siebel attachments as the main repository for
records relating to business evaluation and approval. Although Siebel attachments are
not mandated as yet, if they do become so, Pathway may need to obtain a "let" from
corporate policy.
4.5 Customer Services
The Customer Services Director interviewed showed excellent commitment to
embedding quality principles in the unit's working practice and a clear focus on
satisfying the customer. A good description of the organisation and business
processes implemented to meet customer requirements was given and good evidence
was seen of performance measurement, management review, corrective / preventive
actions, supplier management and management of customer satisfaction.
Examples of the Customer Service Review pack (Aug'01) produced as input to the
monthly Horizon Service Review Forum (HSRF), were seen to include a full
breakdown of performance vs SLA along with a "Cause & Actions" section detailing
any non-conformances. The minutes associated with the HSRF were also seen to
contain a specific agenda item of "Service Improvement Initiatives", a good example
of the general push for continual improvement within the area. Actions to improve
the "Day D" activities were seen within the example reviewed.
In common with most measures seen in Pathway, the performance stats in this review
pack are based on a 12 month rolling display, so trends are readily identifiable.
The two key delivery suppliers to Pathway are ISD and Energis. There was good.
evidence of supplier review in the form of the Energis Monthly Report, the ISD
Monthly Report and ISD Daily Reports. All contained good cross reference to the
causes of any failures and the corrective action taken. The "Red Spot" analysis within
the ISD Monthly Report captured any potential trends in type of problem reported.
Evidence of these reports being reviewed at monthly Service Reviews was also seen.
Customer satisfaction was seen to be being measured on a number of fronts (eg.
Engineer Response Cards, Customer Complaints DB, feedback from Customer
Reviews and Management Care Visits). Other LPD initiatives were described as
being underway in terms of introducing Customer Scorecards and Senior
Management Interviews (already done informally by Pathway).
The Management Care Visits were regarded as an example of good practice in
measuring customer perception. Performed jointly by ICL and PO senior managers
(group of 20), the visits to individual Post Offices are well organised (example
briefing pack seen), well received by the end users and feedback reviewed at the
HSRF. Having been recently re-introduced, how best to analyse results is still being
decided.
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4.5.1 Problem Management
The Pathway Problem Management process provides a mechanism for the capture,
review and management of key problems. Problems and incidents are separated
within the process, although serious incidents may be escalated to problems. A
Problem DB is maintained within CS as a separate implementation of the PINICL
system.
The process is shared with the customer and they have access to logged problems via
the RAS interface, where a copy of the problem records are kept.
The process for transferring records between the Problem DB and RAS was
observed in the Problem Management Admin area and seen to be very complex,
manual and time consuming. It was recommended that this process be reviewed in
more detail by Pathway to investigate more effective methods of sharing data.
The Admin unit produce weekly, monthly and adhoc reports regarding progress on
problem calls logged. The Problem Management Process states that Problem Owners
should update calls weekly or define a date for next update. The report from Week 31
was observed to contain 7 problems which had not been updated for over a month. It
was therefore recommended that, during the review of the process, the requirement
for management review / action be considered.
The process also states that Post Incident Reviews (PIRs) should be held to identify
lessons to be learnt from the incident. There was no evidence to show these actually
take place so it was recommended that alternative methods of capturing lessons learnt
be incorporated into the revised process.
Problem Management, Customer Complaints and the Alerting Processes (divisional
and Corporate) are all logically associated but not currently linked at a process level.
It was recommended that this be considered during subsequent process reviews.
4.6 HR & Resourcing
There was little evidence to hand during this assessment to demonstrate any action
taken as a result of non-conformances raised during last year's Internal Assessment.
It was stated that 90% of staff on Pathway had been appraised this year but statistics
to support this were not readily available. An online spreadsheet, drawn from data on
the HR DB was seen and it was stated that this was to be used to chase non-
conforming managers, but this had not started at the time of assessment.
Although fields exist to record completion of personal objectives and learning plans,
it was believed that only appraisal (and PAC ratings) were recorded on the HR DB.
An exercise was just being initiated (Aug), as part of the bonus scheme, to ensure
objectives and PLPs were being set. The corporate Performance Plus guidelines state
that all 3 elements of the system should be complete by the end of Q1.
It was stated that Pathway have been waiting for the re-organisation to be
implemented and the bonus scheme to be declared. However, it was recommended
that in future years, appraisals, objectives and PLPs be set in-line with Perf +
guidelines and reviewed / updated as appropriate to subsequent business changes.
These observations are, to a degree, are common to a number of other divisions of
ICL and discussions are already underway with the corporate Process Owner.
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ISO 9001:2000 requires that records be maintained regarding staff competencies (ie.
education, experience, skills and training). At present the only training records kept
within Pathway are those recorded in the HR DB. These are known to only go back 4
years and only cover that training incurring expenditure (ie. do not record internal
training, workshops, coaching, etc).
Other competency records for Pathway staff vary according to where they originated
from (eg. new staff may have up-to-date CVs in personal files, ex-A&TC staff may
still maintain their Skills DB records). The best method of capture of these records,
and of satisfying the requirements of ISO 9001, seen to-date in other areas of ICL is
the Skills Database approach, although it is recognised that consideration will have to
be made of the new Data Protection legislation being introduced later this year.
Previous assessment of Resource Management in LPD HQ indicated that a Skills DB
was to be implemented across the projects, but Pathway representatives were unaware
of progress with this.
As above, this is a common issue and has already been raised with the corporate
Process Owner. It is therefore recommended that she be contacted prior to any
divisional action to address this observation.
It was recommended that a plan be produced to capture the above recommendations
and describe the actions required to promote a revised emphasis on Performance Plus
conformance, how records should be captured, analysed and reported on (in-line with
the Manage People Performance process) and how competency records will be
gathered and maintained.
4.7 Quality System Management
The ICL Pathway Business Management System (BMS), in general, shows good
intent to satisfy the requirements of ISO 9001:2000 and it was encouraging to see that
plans were being formed to improve it's effectiveness. In particular the new version
of PA/POL/002 (ICL Pathway Business Management System Policy) currently being
developed (v 2.2), was regarded as a good co-ordinating document, which establishes
the links between the Pathway BMS, ISO 9001:2000 and ICL Corporate Policies and
Processes.
ISO 9001:200 specifies 6 mandatory documented procedures which should be present
in any QMS. Through PA/POL/002, a process within the BMS is associated with
each of these areas: Doc Control - PA/PRO/010 (v7.0), Record Control -
PA/POL/005, Non-Conforming Product - PA/POL/002, Internal Audit -
IA/MAN/003, Corrective Action and Preventive Action - PA/PRO/013, PA/PRO/038
and PA/POL/005. Most of these processes were seen to be within their routine review
cycle and draft updates in the process of development. There is therefore an
opportunity to check that the requirements of ISO 9001 are adequately covered as part
of these reviews.
Some recommendations made on those processes seen were:
- That the Internal Audit Manual processes include more specific reference to the
relationship between the 4 types of audit performed in Pathway (BSI, Group,
Internal and PON) and that the internal schedule relate to the coverage gained
from all these audits.
- Adherence to the Pathway Process Management Process (PA/PRO/038) regarding
the specification of quality records and process measures within all processes be
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checked across all key business processes.
- That adequate guidance on management of corrective and preventive action is
given in the processes currently pointed at (Customer Complaints Process and
Process Management Process) and whether the links should include more
operational processes.
- It was recognised that some processes within the Pathway set were now redundant
and could be removed or merged into a smaller number. It was recommended that
a specific review be included in the Quality Plan with an aim of reducing the
number of processes but improving the effectiveness of the those retained.
An example of the need to confirm adherence to the Process Management Process
was seen in the "ICL Pathway Development Directorate Process". Good intent was
seen within the process and a separate "metrics" of process measurement had been
produced. However, assessment in the development areas indicated that measurement
was not actually taking place (see section 4.3 above).
There is an adequate description of Pathway's approach to maintaining a "Quality
Manual" within PA/POL/002 and the key elements are present within the BMS set
(Organisation Charts, Policy Statements, description of interaction between processes
and a Quality Plan.
The Quality Policy specified was a copy of the corporate policy, supported by a
business related "Pathway Mission Statement". It was suggested that the Quality
Policy simply link to the corporate policy to avoid unnecessary maintenance.
The interaction of processes was adequately covered in the cross-reference flowchart
within PA/POL/002 and access by process area on the front page of the BMS. It was
stated that it is planned to enhance this in the future by introducing a "business
process architecture" front page to the BMS.
The Quality Plan (QU/PLA/009) was well constructed and supported by an MS
Project working version. It was recommended that the audit section be updated to
reflect co-ordination of the 4 types of audit referenced above and that the plan be
updated to include specific reference to known key activities (eg. removal of old
contact names, removal of "deadwood", introduction of improved processes
effectiveness measurement).
The Quality Manager's personal objectives (draft) were seen to contain "quality"
related items but could be expanded to include specific reference to the ISO 9001
requirement to report on the effectiveness of the BMS to Top Management
Movement towards this was seen in correspondence regarding the QM's attendance
at monthly Business Reviews, but this has not commenced yet, although Top
Management are copied on all reports (eg. audit) generated.
The relationship between the Quality Manager and the Business Effectiveness
Manager described in the Quality Plan was seen as a good indication of the merger of
quality and business within Pathway and it was recommended that this description
and model be included in the "Management Representative" section of PA/POL/002.
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Observation Details
Reference / Sequence _I I Date of Observation I 15/08/01
Category Observation Standard /Section I ISO 9001 I 4.2.4
Corporate Process CSLC Local Process CSLC & Pathway
Pathway Country UK
Location FELO1 Division LPD
Interviewee Colin Lenton-Smith I Interviewee's Role _I Commercial Mng
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
Key records associated with the CSLC and business approval are not readily
identifiable and retrievable.
Notes
Records tend to be spread between Commercial unit and Programme Office. It was
recommended that the record set be stored in one area for ease of control and access.
Corrective Action Details
Corrective Action To Be Taken
Actionee Reviewing Manager
Forecast Completion Date Actual Completion Date
Verified By Date Verified
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Observation Details
Reference / Sequence I 2 Date of Observation I 15/08/01
Category Observation Standard /Section I ISO 9001 I 8.4
Corporate Process Manage Local Process DE/PRO/003
Development
Unit Pathway Country UK
Location FELO1 Division LPD
Interviewee Gill Jackson Interviewee's Role I Development
Director
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
Key performance indicators are not measured or analysed to identify trends or
opportunities for preventive action.
Notes
Data relating to the performance indicators described (meeting project timescales and
number of post-release issues raised) is available and could be measured / analysed to
identify trends, potential problems and continual improvement.
Corrective Action Details
Corrective Action To Be Taken
Actionee Reviewing Manager
Forecast Completion Date Actual Completion Date
Verified By Date Verified
Observation Details
Add Observation Page
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Reference / Sequence I 3 Date of Observation I 15/08/01
Category Observation Standard /Section I ISO 9001 I 7.4.3
Corporate Process Develop Solution Local Process 3* Party Product
Validation
Unit Pathway Country UK
Location FELO1 Division LPD
Interviewee
Jan Morrison
Interviewee's Role
IPDU Manager
Area Contact
Jan Holmes
Assessor's Name
Alan Clapson
Observation
I No process exists for the actions required to validate 3“ party products.
Notes
While plans for product validation associated with individual projects was seen (eg.
BI2) it was recommended that a generic process be implemented to establish the basis
for future validation exercises.
Corrective Action Details
Corrective Action To Be Taken
Actionee
Reviewing Manager
Forecast Completion Date
Actual Completion Date
Verified By
Date Verified
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Observation Details
Reference / Sequence I 4 Date of Observation I 15/08/01
Category Observation Standard /Section I ISO. 9001 I 4.2.2
Corporate Process Manage Processes Local Process Pathway BMS
Pathway Country UK
Location FELO1 Division LPD
Interviewee Various Interviewee's Role I Various
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The interaction of processes at different levels within the Pathway BMS was not
always evident and opportunities exist to use common media formats and standards in
units performing similar roles.
Notes
Examples include:
- The development of separate local guidance and coding standards, in different
mediums (web and Word based sets), within the IPDU and APDU.
- The lack of linkage within these process sets to relevant elements of Pathway and/or
Corporate BMS.
- The lack of documented interaction between the Problem Management Process, the
Customer Complaints Process and the Alerting Processes (Divisional and Corporate).
Corrective Action Details
Corrective Action To Be Taken
Actionee Reviewing Manager
Forecast Completion Date Actual Completion Date
Verified By Date Verified
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Observation Details
Reference / Sequence I 5 Date of Observation I 15/08/01
Category Observation Standard /Section I ISO 9001 I 4.2.4
Corporate Process Document Control Local Process Document Mngt
Pathway Country UK
Location FELO1 Division LPD
Interviewee Various Interviewee's Role I Various
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The "distribution for comment" stage of the Pathway Document Change Control
process contains comments templates which indicate the need for physical sign-off,
but in practice this is normally done electronically via e-mail correspondence.
Notes
It was recommended that the process be amended to reflect this practice but details of
approval / authorisation control (eg. acceptance of emails from nominated
individuals) be included in the Pathway BMS, along with guidance as to how
electronic records should be controlled (ie. storage, retrieval, retention, etc).
Corrective Action Details
Corrective Action To Be Taken
Actionee Reviewing Manager
Forecast Completion Date Actual Completion Date
Verified By Date Verified
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Observation Details
Reference / Sequence I 6 Date of Observation I 16/08/01
Category Good Practice Standard /Section I ISO 9001 I 8.2.1
Corporate Process Customer Local Process Management Care
Satisfaction Visits
Unit Pathway Country UK
Location FELO1 Division LPD
Interviewee Martin Riddell Interviewee's Role _I CS Director
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The Management Care Visits process followed within Pathway Customer Services
was regarded as an example of good practice in terms of direct management
interaction with the customer's, end users, working in partnership with the customer
and management's direct review of customer perception of the services provided by
ICL.
Notes
Corrective Action Details
Corrective Action To Be Taken
Actionee
Reviewing Manager
Forecast Completion Date
Actual Completion Date
Verified By
Date Verified
Observation Details
Add Observation Page
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Reference / Sequence I 7 Date of Observation I 17/08/01
Category Observation Standard /Section I 1SO.9001 [8.2.3
Corporate Process Problem Local Process Problem
Management Management
Unit Pathwa: Country UK
Location FELOI Division LPD
Interviewee Janet Reynolds Interviewee's Role I Problem
Management Admin.
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The Problem Management Admin process associated with the transfer of problem
records from the DB to the RAS system was regarded as being excessively complex,
time consuming and dependant on manual intervention.
Notes
It was recommended that the process be reviewed in more detail at a Pathway level to
determine if it can be made more efficient.
Corrective Action Details
Corrective Action To Be Taken
Actionee
Reviewing Manager
Forecast Completion Date
Actual Completion Date
Verified By
Date Verified
Observation Details
Add Observation Page
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Reference / Sequence I 8 Date of Observation I 17/08/01
Category Non-conformance Standard /Section I 1SO.9001 [8.2.3
Corporate Process Problem Local Process Problem
Management Management
Unit Pathwa: Country UK
Location FELOI Division LPD
Interviewee Janet Reynolds Interviewee's Role I Problem
Management Admin.
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The Problem Management Process states that Problem Owners should update calls
weekly or define a date for next update. The report from Week 31 was observed to
contain 7 problems which had not been updated for over a month.
Notes
It was recommended that the process be reviewed (in line with the previous
observation) and the requirement for escalation, management review and action be
considered.
Corrective A
n_Details
Corrective Action To Be Taken
Actionee
Reviewing Manager
Forecast Completion Date
Actual Completion Date
Verified By
Date Verified
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Observation Details
Reference / Sequence I 9 Date of Observation I 17/08/01
Category Non-conformance Standard /Section [ISO 9001 [4.2.4
Corporate Process Manage People Local Process
Performance
Unit Pathwa: Country UK
Location FELOI Division LPD
Interviewee Shirley Phillips Interviewee's Role I HR Manager
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
Staff records relating to Performance Plus are incomplete on HR DB and evidence of
HR measurement and analysis of conformance, in-line with the corporate Manage
People Performance Process, is not readily available.
Records relating to staff competencies (education, experience, skills and training) are
also inadequate to satisfy the requirements of ISO 9001:2000.
Notes
It was recommended that, in-line with any corporate initiatives relating to
management of these records, the completion of all Perf + elements (appraisal,
objectives and personal learning plan) be recorded on the HR database and
conformance monitored by HR and included in Pathway management review.
Investigation is currently underway in Group HR as to the most effective way to
capture competency records (eg. Skills Databases) but it was recommended that local
activity could begin to clarify current record holdings and gather data where practical
to do so.
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Reference / Sequence I 10 Date of Observation I 24/09/01
Category Observation Standard /Section I ISO. 9001 I 8.2.3
Corporate Process Manage Q&BE Local Process
Unit Pathway Country UK
Location FELO1 Division LPD
Interviewee Jan Holmes Interviewee's Role I Quality Manager
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
In reviewing the Pathway process set, several opportunities for improvement were
identified.
Notes
Recommendations made on those processes seen were:
- That the Internal Audit Manual processes include more specific reference to the
relationship between the 4 types of audit performed in Pathway (BSI, Group,
Internal and PON) and that the internal schedule relate to the coverage gained
from all these audits.
- Adherence to the Pathway Process Management Process (PA/PRO/038) regarding
the specification of quality records and process measures within all processes be
checked across all key business processes.
- That adequate guidance on management of corrective and preventive action is
given in the processes currently pointed at (Customer Complaints Process and
Process Management Process) and whether the links should include more
operational processes.
- It was recognised that some processes within the Pathway set were now redundant
and could be removed or merged into a smaller number. It was recommended that
a specific review be included in the Quality Plan with an aim of reducing the
number of processes but improving the effectiveness of the those retained.
An example of the need to confirm adherence to the Process Management Process
was seen in the "ICL Pathway Development Directorate Process". Good intent was
seen within the process and a separate "metrics" of process measurement had been
produced. However, assessment in the development areas indicated that measurement
was not actually taking place (see section 4.3 above).
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Reference / Sequence _I 11 Date of Observation I 24/09/01
Category Observation Standard /Section I ISO. 9001 I 5.5.2
Corporate Process Manage Q&BE Local Process
Pathway Country UK
Location FELO1 Division LPD
Interviewee Jan Holmes Interviewee's Role I Quality Manager
Area Contact Jan Holmes Assessor's Name Alan Clapson
Observation
The requirement for the "Management Representative" to report to Top Management
on the performance of the quality (business) management system and any need for
improvement was not reflected in the Quality Manager's personal objectives.
Notes
While appreciating that other aspects of quality management were in the objectives
,and that the Quality Manager's attendance at Business Reviews is planned, there was
little direct evidence of reporting and management review of results of audits, process
performance or recommendations for improvement, as required by section 5.6.2 of
ISO 9001:2000.
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Actionee Reviewing Manager
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