ISO 9001: 2000

Audit Prep for Managers

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ISO 9001: 2000

What is ISO 9001:2000?

What does ISO 9001:2000 mean?
ISO stands for International Organization of Standards 9001 is the standard for business service companies like Sterling 2000 is the year the standard was last updated

What are the Standards?

ISO standards are codes that prescribe:
Accurate, consistent delivery of customer requirements Documented procedures and processes of daily tasks Continuous improvement Establishing targets and measuring performance against target.

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When is Sterling audited?

Internal departmental audits are conducted monthly by Madge Patterson & Janet Isenberg. One or two departments are audited each month so that everyone is seen by the end of the year. Internal company pre-audits are conducted by Madge & Janet at the end of the year to make sure we're ready for the external auditor. The External Registration audit is conducted annually by TV Germany, and the auditor will be escorted by Madge and/or Janet. The External Recertification audit is conducted every three years. This will be conducted by TV 10/6/2012 Americas.
Step 5: Ongoing Assessment & Maintenance Step 1: Management Commitment

Step 4: Certification

Step 2: Planning & Documentation Step 3: Implementation & Review

ISO audits are like your car registration - you get it inspected each year, but only get a new sticker every third year.

ISO 9001: 2000

What is an ISO audit?

Its not the IRS digging to find problems. The audit is intended to keep us on track with ISO so that we can maintain our certification. Its all about ongoing evaluation and continuous improvement of our processes and procedures. If there are areas within your department that require tweaking that are uncovered during an audit, these will be recorded and your department will have the opportunity to take corrective action. ISO is never donerather it is the ongoing pursuit of consistency, customer satisfaction and continuous improvement. A successful audit will result in your being able to demonstrate, both verbally and through documentation, that you are actively pursuing these goals.
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Who participates in the ISO audit?

Everyone in Sterling!
When the auditor comes to visit, you could be asked about:

The Organization Chart

How is the company structured? Who do you report to?

Job Descriptions
What are you supposed to do?

Working Documents
How are you supposed to do it?

Continuous Improvement
How can you help Sterling improve?
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When is ISO used?

All the time! Use Working Documents to train new employees. Use Working Documents if you need to fill in for someone on vacation or out sick. Use Working Documents to identify areas of improvement. Dont forget to update Working Documents when procedures change.

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Where is ISO information stored?

ISO documentation can be found in the Quality Manual. The Quality Manual can now be found in Documentum. To get to the Quality Manual, click the TV icon on the home page of the Sterling intranet. The link will automatically open the Quality Manual folder in Documentum. You can also find the link by going to Documentum and looking in the Sterling Library. There is a complete printout of the Quality Manual in a binder on Madges desk.

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ISO 9001: 2000

Why was ISO Certification Implemented?

To document and show that:
We at Sterling endeavor to provide our customers with the highest standards of quality, delivered consistently and accurately each and every time. We consider training as one of the key factors to our success. We have committed ourselves to a quality policy.

Why do we want ISO certification?

Because it is good for Sterling and its clients. Because well be in good company! Many of our best clients and prospects are ISO certified. Were at pace with our competition, five of whom have their ISO certification.
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ISO 9001: 2000

Why does Sterling need to improve?

Because 99% accuracy is not enough. Example: Sterling processes 12,000+ criminal checks per day. A 1% error rate means 120 errors per day! That's a lot of criminals getting jobs, or good employees being denied them. We will use the ISO implementation to reinforce our corporate commitment to training, accuracy, and quality.

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ISO 9001: 2000

How will ISO impact you?

By documenting and improving your daily activities. Continuous improvement will deliver quicker TATs & more accurate responses for customers. Focus on corrective and preventative actions which will make your job easier. Minimize the Learning Curve through detailed documentation.

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ISO 9001: 2000

Egad! Its so much work!

ISO isnt a burden if you use it as a vehicle to get everyone moving in the same direction.
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ISO 9001: 2000

YIKES! What Do I Say?

The auditor will speak with your Director about how the department overall meets the expected standards. During the January 2008 audit, the auditor will speak with your Director about how the department overall meets the expected standards. The auditor could come up to you and ask you about How do you know who you report to? (Answer him briefly and then show him the Organizational Chart)* What is your job? (Answer him briefly and then show him your Job Description) How do you do your job? (Answer him briefly and then show him your Working Documents) Do you know where the Quality Manual is? (Answer him briefly and then show him the Quality Manual)** Do you know the Company and Department Targets? (Answer him briefly and then show him the Quality Report)*
All these documents are available in Documentum, in the Sterling Library, in the ISO Quality Manual folder. * The Org Chart and Quality Report are also available on the Quality Board near each elevator. ** The Quality Manual is also available on Madge's desk.

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ISO 9001: 2000

ISO Training for Managers

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ISO 9001: 2000

How are audit questions formulated?

If the Standard says:
6.2.2 Competence, awareness and training The organization shall
a) determine the necessary competence for personnel performing work affecting product quality, b) provide training or take other actions to satisfy these needs, c) evaluate the effectiveness of the actions taken, d) ensure that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives, and e) maintain appropriate records of education, training, skills and experience (see 4.2.4).
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ISO 9001: 2000

How are audit questions formulated?

The question asks:
a) How does Sterling determine the necessary competence for personnel performing work affecting product quality? b) How does Sterling provide training or take other actions to satisfy these needs? c) How does Sterling evaluate the effectiveness of the actions taken? d) How does Sterling ensure that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives? e) How does Sterling maintain appropriate records of education, training, skills and experience?

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ISO 9001: 2000

All Questions Have Two Parts

Tell me
How does Sterling determine the necessary competence for personnel performing work affecting product quality?

Show me
The standards and measures by which you judge and report on competence.

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ISO 9001: 2000

What else does the auditor want to know?

Demonstrate Continuous Improvement since the last audit

New positions created New organization/department structure Improved processes Improved results Improved customer satisfaction

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ISO 9001: 2000

Tips
Prepare your presentation to the parts of the code that your department is being audited for. (Audit prep email) When the auditor asks a question, answer him directly and completely, but keep it brief. Wait for him to ask his next question. Dont volunteer information or suggest what he might want to ask.
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ISO 9001: 2000

What is required in the Quality Manual?

General Principals General Procedures Corporate Instructions Lists of Records & Superior Documents Company Targets Quality Report Internal Audits External Audits Management Review Lists of Working Documents List of Job Descriptions ISO 9001:2000 Norm

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ISO 9001: 2000

What documents should you store and where?

Departmental Org Chart (Documentum) High Level Process Maps (Documentum) Job Descriptions (Documentum) Working Documents (Documentum) Contracts (Documentum)
Meeting Minutes (H: drive) Evidence of Corrective & Preventative Actions (H: drive) Master Production Schedules (H: drive) MBOs (H: drive) Regulations that govern your work (H: drive)

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ISO 9001: 2000

Who in your department should be involved in ISO Prep?

Directors Managers Supervisors Team Leaders Staff
Org Chart
Process Maps Job Descriptions Working Docs Working Docs Job Descriptions Working Docs Working Docs

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ISO 9001: 2000

Working Document Guidelines

Naming convention:
Initials for team Number each process (01 to 99) Easily recognizable name of process

Creation and approval

Have staff doing the work record the process Have their supervisor work with them to approve The Director has ultimate responsibility for accuracy and completeness.
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Example of Working Documents

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Questions

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