Report no:

4471008

 

Date:

12/08/2003

 

Prepared by:

 

 

ABCINC reference:

000

 

 

 

 

 

 

 

 

 

 

 

The ACME COMPANY

 

 


 

ABCINC Initial Assessment Visit Report

xxx

 

Introduction

This report relates to the Assessment Visit for The ACME Group held 12/08/2003.

 

Audit Objective:

Initial Assessment of the suitability of your quality management system in meeting the requirements of the standard and company objectives, policies and procedures.

 

The assessment was based upon the Client’s Management System, 10/22/2003.

 

During the assessment 10 nonconformities were identified.

 

This visit report forms part of ABCINC’s partnership approach in the assessment of your Management System.

 

The assessment was based on random samples and therefore nonconformities may exist which have not been identified.

 

If you wish to distribute copies of this report external to the organization, then all pages must be included.

 

Conclusion

Congratulations, we are pleased to recommend Registration.

 

This is subject to the submission of a satisfactory plan for investigating the identified nonconformities and implementing effective corrective actions.

Please submit a plan to determine action, timescales and responsibilities for review, no later than the date specified in the section below (Non-Conformities – Summary).

 

The plan should be sent by e-mail to your Client Managers email address and reference the above Job number/s.

 

Upon review of the corrective action plan, the recommendation will be independently verified within ABCINC. Upon verification your Certificate of Registration will be issued.

 

We believe in a partnership approach that provides an added value service. It is on this basis we propose a program of continuing assessment that is planned to commence in June 2004, we will re-assess your activities by carrying out 2 visits every years for 1.5 days per visit.

 

On completion of the registration cycle, a Re-Assessment of the Certification will be conducted. A review will be conducted on your 5th continuing assessment with focus on the strengths and weaknesses of your Management System. Based on this review the number of assessment days for your re-assessment will be determined.

 

 

Shift Detail

 

1st Shift

2nd Shift

3rd Shift

4th Shift

Weekend Shift

Location

Exists?

No. Employees

Audited?

Exists?

No. Employees

Audited?

Exists?

No. Employees

Audited?

Exists?

No. Employees

Audited?

Exists?

No. Employees

Audited?

ABCINC

Y

225

Y

Y

60

Y

N

 

 

N

 

 

N

 

 

 

 

Summary of the Effectiveness of the Management System by Functional Location or Process Area

Management Responsibility

Management commitment to the QMS, specific benefits already seen by all levels, and the implementation which has spread to all areas belies a strategy to continue the development and improvement towards a strong ISO-based system.

 

Software Development and Project Scoping

The software development and project scoping processes were examined. Functional and operationally the process is well defined and managed utilizing Test Track Pro. Feature requests are received from Agencies and Internally, entered into the system and undertaken based upon priority. These features are then developed and incorporated into the software, with standardized development and quality assurance processes. Similarly, structural adjustments and changes are incorporated into co requisite projects, which are managed utilizing the same tool. Overall the processes and associated system was deemed to be effective.

 

Human Resources

The human resource management and training processes were examined. The department has enacted a Human Resource Information System (HRIS) to manage all facets of Human Resources. Current processes include employee screening, hiring, new employee orientation, management and customer service training, and benefits management. The system for customer service training has recently been upgraded and now includes a full 4 weeks of instruction and evaluation. Overall the processes and associated system was deemed to be effective.

 

Contract Management

The contract management process was examined. The contracts and associated metrics for the top three customers were examined. All contracts were current and the data indicated that the organization was exceeding requirements in all required areas. Overall the process and associated system was deemed to be effective.

 

Corporate Accounting

The corporate accounting process was examined. The Accounts Payable, Accounts Receivable and Payroll functions were reviewed. All transactions were available and the data indicated that the organization was meeting requirements in all required areas. Overall the process and associated system was deemed to be effective.

 

IT/Help Desk

The experience and background of the developers/Help Desk technicians have led to the development of systems and processes which have ensured the continued use, stability, and stand-alone day-to-day operations with the use of tracking systems and procedures.

 

Customer Service

Company Software

Mature software programs have been developed for clear communication with clients and internal customers.

 

Staff

Employees are eager to improve and show interest in continually improving in service to their clients. Employees have a clear understanding of their job functions and take pride in their work. The cross training program has recently been started in the company and is fairly new. The program has not yet had the opportunity to reach the associates level. There currently exists a clearly communicated bonus programs have been developed for employee incentives.

 

Documentation System

The documentation system is new created and shows that it has advanced quickly in a short period of time. The system is immature in respect to full controls and personnel accessing information with comfort. There needs to be a continuing development with efforts used to establish a complete system and train employees in full use.

 

Personal financeor Services

Provides the function of communicating with the personal financeors. Well detail notes exist for the documentation on client issues. Employees are receiving strong supervision.

 

Accounting

The Accounting Area contains many functions including posting payments, handling electronic funds, check printing, balancing payments, disbursing of payments to personal financeors. There is extensive monitoring and measuring that is occurring in this area. Attention to detail and verification by employees is significant.

 

Data Entry

Processing of new applications is currently well organized with efficient turnaround times.

 

 

Opportunities for Improvement

 

Non-Conformities (Summary)

10 non-conformities were identified. A written corrective action plan is required by 01/10/2004.

 

Number of Minor 10 Major 0.

 

Non-Conformities (Detail)

Area

NCR Ref.

Description

Clause

Management

TCW1

 

 

 

Quality Assurance

TCW2

 

 

 

Software Development

TCW3

 

 

 

Human Resources

TCW4

 

 

 

Customer Service

TCW5

 

 

 

Documentation System

JG-1

 

 

 

Proposal Handling Area

JG-2

 

 

 

Accounting Department

JG-3

 

 

 

Data Entry

JG-4

 

 

 

Customer Service

BT-1

 

 

 

 

Number of Employees (covered by Registrations at sites visited)

285

 

Assessment Team

On behalf of ABCINC the assessment was conducted by:

 

The principal staff involved on behalf of the company were:

John Doe

 

 

Next Visit Plan (Prepared in accordance with ISO19011: 2002)

Opening Meeting Date/Time:

June 7, 2004/9:00 am

Closing Meeting Date/Time:

June 8, 2004/12:00 pm

Audit Objectives:

To evaluate the continuing effectiveness of the QMS.

Audit Scope:

The Provision of Business Services

ABCINC maintains strict confidentiality concerning all information gained from undertaking its business (A copy of the assessor confidentiality statement is available on request). This audit to be conducted in English unless otherwise stated.

Date

Time

Assessor

Business Area/Process

June 7

9:00

Twine, B.

Opening Meeting

 

9:30

 

Close out any previous non-conformities

 

10:00

 

Quality System – Management Review, Internal Auditing, Corrective and Preventative Actions, Documentation etc….

 

12:00

 

Lunch

 

1:00

 

Accounting Systems

 

2:30

 

Customer Service

 

June 8

9:00

Twine, B.

Executive Management

 

9:30

 

Fairshare (including both areas)

 

10:30

 

Closeout follow up items

 

11:00

 

Report preparation

 

12:00

 

Closing Meeting

 

 

 

Plan of Assessment up to and including the reassessment

 

Planned Month

Duration

 

06/04

 

12/04

 

06/05

 

12/05

 

06/06

 

12/06

 

Business Areas

 

 

Accounting Area

ü

ü

ü

ü

ü