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Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Action Manager Welcome Pack | Version 1.0 | Page 2
This worksheet supports your planning process and speeds up your implementation by giving you a place to document your decisions and help you to define key aspects of your application. Before viewing our Quick Start guides, please consider some of the key areas of your business.
We have used an example throughout this Workbook based on the following scenario:
Scenario
• Organisationdescription: UK Optician Retail chain based in London with five outlets.• Objective: ISO 9001 certification.
This is a typical Action Manager process. Follow this throughout the booklet to understand where the key areas of your business sit within it:
Welcome
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
Action Manager Welcome Pack | Version 1.0 | Page 3
Define your visionUse this sample Action Manager vision statement as a prompt, then establish your own vision.
“Create an automated process to manage the actions that occur from internal audit findings.”
My Vision Statement
Action Manager Welcome Pack | Version 1.0 | Page 4
Outline the key aspects of your processes Modify the worksheets on the following pages to include the key components associated with your business processes.
Action Manager Welcome Pack | Version 1.0 | Page 5
Finding types: Findings are discovered and recorded as the result of an inquiry, investigation, inspection or audit. A finding type is the type of finding this is. Within BSI Action Manager there are five types of findings.
Finding types can be renamed and workflows edited.
Finding types include
Best practice
Non-conformance
Observation
Opportunity for improvement
Recommendation
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
Quick GuideFinding TypesSection 6.1
Non-conformance
Action Manager Welcome Pack | Version 1.0 | Page 6
Management systems or categoryAll records have a mandatory attribute called Management System which allows you to tag a record to one or many. These are the core areas of your business and can be defined as required. This may include areas such as quality, environment, health and safety or customer complaints.
There is no restriction on the number of management systems which can be created in the system.
Use the below to define your core management systems and categories.
Management System/area
Categories Level one sub-category
Level two sub-category
Quality ISO 9001 Clause 4.7
Quick GuideCreating Management SystemsSection 2.2
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
The finding is tagged
‘Quality > ISO 9001 > Clause 4.7’
Action Manager Welcome Pack | Version 1.0 | Page 7
UsersConsider those that need access to the application, what areas they have visibility of and what activity they need to conduct.
Name Email Location (based)
Department Management systems
Visible location
User profile
Gary Smith
g.smith@ opticians.com
Liverpool Sales Quality London, Liverpool
Compliance Manager
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
Gary Smith ownsthe finding; “Owner”
Sarah Lewisraised thefinding.
Chris Fletcher is responsible for
the action; “Acceptor”.
Gary Smith approves the action;
“Approver”.
Quick GuideCreating Users Section 2.5
Action Manager Welcome Pack | Version 1.0 | Page 8
Workflow and notificationNotifications is a feature where you can, with the correct permissions, create a rule with conditions which, when met, instantly sends an e-mail to a user with a hyperlink back into the appropriate record in the application.
Action Manager is pre-configured with several notifications and rules. Please see below a list of pre-configured notifications. You can create additional notifications within the administration settings.
Title Description
Acceptance required - corrective action Notifies the designated “Acceptor” that the corrective action is awaiting their acceptance.
Acceptance required - action Notifies the designated “Acceptor” that the action is awaiting their acceptance.
Acceptance required - correction Notifies the designated “Acceptor” that the correction is awaiting their acceptance.
Approval required - corrective action Notifies the designated “Approver” that the corrective action is awaiting their approval.
Approval required - action Notifies the designated “Approver” that the action is awaiting their approval.
Approval required - correction Notifies the designated “Approver” that the correction is awaiting their approval.
Corrective Action - action overdue Notifies the owner of a corrective action is one day overdue.
Action Manager Welcome Pack | Version 1.0 | Page 9
Action Manager also gives you the opportunity to create new or edit existing notifications. Consider some of the notifications you may require:
Title Description
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
As the designated owner, Gary Smith
needs to be notified when a finding
is assigned to him
Send an ‘Acceptance Required -
Corrective Action‘notification to
Chris Fletcher
Send an ‘Approval Required -
Corrective Action’ notification
to Gary Smith
Quick GuideEmail notifications and escalationsSection 4Cont’d.
Action Manager Welcome Pack | Version 1.0 | Page 10
LocationsConsider your organization’s locations and departments:
Region Country City/State Office Department
EMEA UK Liverpool Victoria outlet Sales
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
The finding owner
is based in theVictoria outlet
The finding wasfound in theVictoria outlet
Quick GuideCreating Locations Section 2.3
Action Manager Welcome Pack | Version 1.0 | Page 11
CausesIdentifying the cause of a finding is key. In Action Manager you can pre-define a list of causes. Causes can have multiple levels that allow you to drill down and group findings by their cause.
Consider the key causes of findings that may occur in your organization.
Cause Level One Sub-cause Level Two Sub-cause
Human error Training Lack of training
Quick GuideCreating Causes Section 2.8
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
The finding wascaused by human error
Record findings
Record findings owner
Action Manager Welcome Pack | Version 1.0 | Page 12
Action typesActions are the fact or process of doing something, typically to achieve an aim.
Action types are the type of actions required; this may include immediate corrective actions you may take to keep your customer happy, e.g. you sent the wrong part and will immediately replace it with the correct part.
Action types can be renamed and workflow edited.
Action Manager contains three types of actions by default:
Action types include Description
Action General action
Corrective action Corrective action is taken to eliminate the cause of a detected finding. This requires understanding the root cause of the detected non-conformity and taking action to eliminate the root cause(s) to prevent recurrence of the non-conformity.
Correction Correction is an action taken to eliminate a finding. If the detected finding is a defective product or an incorrect invoice, for example, then reworking the defective product or the incorrect invoice is considered correction. You may be able to restore the intended requirement or function, but you are only correcting the situation.
Quick GuideAction TypesSection 6.2
Recordroot cause
Create action
Notify person responsible for action
Action completed
Notify action approver
Action approved
Identify findings
Record findings
Record findings owner
Non-conformities resolved
Create scorecard of
non-conformity and corrective
action statistics
Corrective action was
selected from the
action types
Other actionsBSI Action Manager lets you create actions that are unrelated to a finding. These can be in the form of general actions, recurring actions or action plans.
Action Manager Welcome Pack | Version 1.0 | Page 13
Action Manager Welcome Pack | Version 1.0 | Page 14
Recurring actionsThe difference between recurring actions and non-recurring actions is the ability to schedule a frequency. For example, with recurring actions you can create a schedule to undertake a weekly or daily task, such as the checking of your fire extinguishers on a periodic basis.
Consider what actions need to be conducted on a regular basis:
Action types include
What When Where Who
Recurring action Test fire extinguisher
Every Monday,at 17:00
Victoria outlet Gary Smith
Quick GuideAction TypesSection 6.2
Action plansAction plans can be used to group a number of action types such as action, corrective or preventive.
This enables you to use them as part of a project where multiple actions with different owners and due dates can be organised.
You can create new actions from an action plan or add existing ones.
Action Manager Welcome Pack | Version 1.0 | Page 15
Task name Start date Target date Action/who
Find out about ISO 9001
Conduct a Gap Analysis