The Mimeograph Co.

MIMEO AUDIT AND CAR NUMBERS ISSUE RECORD TY

Keep record for analysis for Management Review.

Source: Audit and CAR Numbers Issue Log.docx (uploaded document)

MIMEO CAR STATUS LOG

Source: CAR STATUS LOG (uploaded file)

Extract from External Audit Report LY

Racing certainty certification surveillance report on the Mimeographic Company Ltd.,

RCC reference:
RCC/4005504 / 4362718

Assessment dates:
LAST YEAR

Reporting date:
THIS YEAR

Client address:
The Centre
201 Midgetgem Road. PRINTOWN PR10 9NW.

Assessment criteria:
ISO 9001:2015

Assessment team:

This report was presented to, and accepted by, Zepho Crane MD

01 Executive Report

Based on the assessment outcome the Assessment Team recommends the ISO 9001:2015 certification of Mimeograph Company Ltd for the agreed scope.

The audit was carried out as a remote review utilising MS Teams for discussions and document sharing/review. There were no significant issues with connectivity and as a result the audit objectives were achieved in full.

Whilst the two previously raised Minor Non-Conformance were closed, three new Major Non-Conformance were raised relating to

• Customer Ordering
• Despatch
• Printing Quality Inspection and Checks

The details of which are within the Findings section of the report.

The Assessment Team Leader confirms the contractual arrangements for ISO 9001:2015 are correct.

Continual improvement:

Example of continuous improvements ongoing within the business include;

The main improvement is the ongoing review/re-engineering of the whole management system, its processes and procedures. This to make it reflect both the way the business currently operates and is also looking towards improving the services it provides its customers.

Recruitment of a new trainee, and the potential for further recruitment.

Areas for senior management attention:

1. The process for the (recording of customer orders and any changes to orders not being properly implemented Major Conformance 4362718-MHACMZ01 is raised.

Form: MSBSF43000_rev01 - MMYY Report
Report: 4005504/4362718 – LY
Page: 3

02. Assessment findings

Where scheme requirement differs to the standard definition below, the scheme definition will take

preference

Where scheme requirement differs to the standard definition below, the scheme definition will take

preference

Major Nonconformity

The absence of, or the failure to implement and maintain, one or more management system elements, or a situation which would, on the basis of the available objective evidence, raise significant doubt of the management to achieve: The policy, objectives or public commitments of the organisation, compliance with the applicable regulatory requirements, conformance to applicable customer requirements, conformance with the audit criteria deliverables.

Minor Nonconformity

A finding indicative of a weakness in the implemented and maintained system, which has not significantly impacted on the capability of the management system or put at risk the system deliverables but needs to be addressed to assure the future capability of the system.

Major Nonconformity

The absence of, or the failure to implement and maintain, one or more management system elements, or a situation which would, on the basis of the available objective evidence, raise significant doubt of the management to achieve: The policy, objectives or public commitments of the organisation, compliance with the applicable regulatory requirements, conformance to applicable customer requirements, conformance with the audit criteria deliverables.

Minor Nonconformity

A finding indicative of a weakness in the implemented and maintained system, which has not significantly impacted on the capability of the management system or put at risk the system deliverables but needs to be addressed to assure the future capability of the system.

Form: MSBSF43000_rev01 - MMYY Report
Report: RCC/4005504/43627 -LY

Source: External Audit and Certificate.docx (uploaded documents)

MIM 04 - LY

This procedure is for dealing with customer complaints.

1.0  Purpose

The purpose of this procedure is to outline the steps taken to action a review and eliminate all root causes of complaints made by the customers.

2.0  Scope

This procedure applies to all complaints highlighted by customers.

3.0  Responsibility

3.1 It is the responsibility of the Quality Manager to ensure this procedure is up to date and continues to meet the requirements of the standard.

3.2 It is the responsibility of the MD to ensure that this adhered to.

4.0  Method/Procedure steps

4.1  Customer Complaint Report

4.1.1
On the receipt of any customer complaint the Quality Manager, the MD will carry out an investigation.

The Customer Complaint Report will be used to document the investigation findings.

4.1.2
The Quality Manager will issue the next Complaint Number to the complaint. This will be a unique quality complaint reference number to be always quoted when dealing with the complaint.

4.2  Customer Complaint Log

The Customer Complaint Log is a register/list with all customers’ complaints and will be updated by the Quality Manager. The information on this form will be a summary of the Customer Complaint Report.

• Update to Customer - Within 48 Hours
• Written Report - Target within 5 working days

4.3  Complaint Investigations

The MD and a representative from the relevant department investigate the complaint by going through a series of steps which are listed on the Customer Complaint Form as follows:

• Examination of any quality records
• Establishing a root cause
• Immediate Corrective Action
• Preventive Action, if identified, to be implemented
• Actions reviewed for effectiveness.
• Email to customer and any relevant interested parties

4.4  Claims against Supplier.

• The need for a claim may arise from any of the following:
• Identification of non-conformity or failure in the supplier’s performance on a contract or service.
• Discrepancies and changes leading to failure to achieve objectives during production.
• Non-conformity or failure of a supplier/sub-contractor.

4.5  MIMEO – Internal

• Full reprint - Non chargeable.
• Full reprint - Chargeable.
• Rework - Non chargeable.
• Rework - Chargeable.
• Offer customer concession to take goods outside their initial specification. (MUST BE LOGGED AS NC)
• Scrap or full credit.

4.6  Analysis and evaluation of complaints

The MD, (and or his representative) shall analyse and evaluate the degree of customer satisfaction and dissatisfaction from all customer feedback, including complaints to inform management at Management Review.

5  Reference Documents

5.1
Quality Documented Information & Records

6  Appendices

6.1
Appendix 1
Customer Complaint Log

6.2
Appendix 2
Customer Complaint Log - Report

7  Records

The following records are maintained in accordance with Procedure 07 Control of Documented Information.

• Customer Complaint Log
• Customer Complaint Log - Report

Surveillance Report

Report for:
The Mimeograph Company Ltd.

Cert-R-us reference:
CRU4005504 / 4362718

Assessment dates:
31 October LY

Reporting date:
03 November LY

Client address:
The Centre
201 Midgetgem Road
Printown PR10 9NW

Assessment criteria:
ISO 9001:2015

Assessment team:
CRU client office

Contents

1. Executive report – page 3
2. Assessment findings – page 4
3. Assessment summary – page 8
4. Next visit details – page 16
5. Appendix – page 17

Executive Report

Assessment outcome:

Based on the assessment outcome, the Assessment Team recommends the ISO 9001:2015 certification of Mimeograph Company Ltd for the agreed scope.

The audit was carried out as a remote review utilising MS Teams for discussions and document sharing/review. There were no significant issues with connectivity and as a result the audit objectives were achieved in full.

Whilst the two previously raised Minor Non-Conformance issues were closed, three new Major Non-Conformances were raised relating to:

• Customer Ordering
• Despatch
• Printing Quality Inspection and Checks

The details for these appear in the Assessment Findings section.

The Assessment Team Leader confirms the contractual arrangements for ISO 9001:2015 remain correct.

Continual Improvement

Examples of ongoing improvement activities include:

• Re-engineering of the management system, processes, and procedures to reflect how the business operates and to improve customer service.
• Recruitment of a new trainee, with potential additional recruitment planned.

Areas for Senior Management Attention

1. The process for recording customer orders and changes is not being implemented correctly.
   Major Nonconformity 4362718-MHACMZ01 raised.

Assessment Findings

Major Nonconformity:
The absence or failure to implement and maintain one or more key management system elements, or any situation which raises significant doubt that the organisation can achieve:

• its policy, objectives, or commitments
• compliance with applicable regulatory requirements
• conformance with customer requirements
• conformance with audit criteria

Minor Nonconformity:
A weakness in the system which has not yet significantly impacted capability but must be addressed to prevent future risk.

Nonconformity Record

Reference number: 4362718_MHACMZ01
Assessment criteria (clause): ISO 9001:2015 (8.2.1 b)
Grade: Major NC × 3
Issue date: 17 January 2022
Status: New
Process / Aspect: Customer Ordering Process
Location: Midgetgem

Statement of Nonconformity:
The process for recording, clarifying and checking customer requirements is not being followed.

Requirement:

• 8.2.1 – Customer communication: handling enquiries, contracts and orders, including changes
• 8.5.5 – Post-delivery activities: managing potential undesired consequences
• 8.6 – Release of products and services: ensuring all checks are completed and signed off

Evidence:
All sampled work required expensive rework due to poor recording and verification of customer requirements, resulting in loss of income and reputational impact.

Proposed Correction, Corrective Action & Timescales

Correction:
Creating a customer engagement checklist; improving record keeping; ensuring full inspection by authorised personnel with sign-off when criteria are met.

Root Cause Analysis:
(Not provided in source document)

Corrective Action:
(Not provided in source document)

Closure:
CRU has reviewed and verified the implementation of actions taken.

Document: MIMEO Improvement Log
Revision: 00
Year: TY

Improvement Entries

Note: OFI = Opportunity for Improvement

Source: Improvement Suggestions Log (uploaded document)

Related Standard: ISO 9001:2015 – Clause 9.1.1 (Monitoring, Measurement, Analysis & Evaluation)

Monitor and Measure (Clause 9.1.1)

• Define objectives
• Identify key processes
• Implement relevant plans and actions
• Collect and collate results
• Analyse and evaluate outcomes

Compare and Contrast at Management Review

During Management Review, compare outcomes against planned results and expectations:

• Set new or revised objectives
• Improve efficiency and effectiveness of processes
• Develop and agree on new plans and actions
• Decide what needs to be monitored and measured going forward
• Set the Internal Audit Programme for the next turn of the PDCA cycle

And Repeat…

The cycle continues as part of continual improvement.

Source: Management Review Guidance Document (uploaded file)

Meeting Details

MIMEO COMPANY
Management Review Minute Form

MEETING DATE: February 11th
TIME: 10.00
VENUE: Meeting Room

PURPOSE: to review our quality management system, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the company.
APOLOGIES: None

ATTENDEES: ZC; JC; TM; PP; HI; SS; TM; GB

1. Review of the status of actions from previous management review:

There has been a gap with COVID etc and as far as everyone is aware there are no outstanding actions to be taken from the last meeting .
JC suggests she check up on the latest COVID rules etc and let everyone know the situation,

ACTION/WHEN: Next weekly meeting (last before Christmas)
ACTION WHO: JC

2. Changes in internal and external issues that are relevant to the quality management system:

Zepho informed everyone that he and the QA Manager (HI) have had time to go back to basics on the QMS and tidy it up and fill gaps, so have reengineered it and made a new revision OO. Everyone has access to this in the main office and online.
There will be awareness sessions throughout the coming months. It is hoped it will work better for customers as well

ACTION WHO: ZC and HI
ACTION/WHEN: From Jan TY onwards

3. Information on the performance and effectiveness of the quality management system, including trends in:

I. Customer satisfaction and feedback from relevant interested parties:
ZC and HI explained that they had never really got a handle on what they were doing with this but now understand it better, there is a section in the Mimeo Business Management Document on Interested Parties which will help us all especially the identified parties.

II. The extent to which quality objectives have been met:
We did reasonably well considering all the things going on but we realised that we need to measure much more formally and thoroughly so have set a programme for measuring in place – see Mimeo Procedure For Monitoring, Measuring, Analysis and Evaluation – this will be in use by all as soon as Hal has gone through everyone’s role and responsibilities.

III. Process performance and conformity of products and services:
In our new QMS documentation we have identified our processes and mapped out the main workflow. This will improve our ability to measure process performance and to see from issues arising where in the process they occur.

IV. Nonconformities and corrective actions:
We have been failing to identify complaints or delivery issues as nonconformities. They are not always nonconformities but often are. Customers complain about shortages in numbers of print sets – this is definitely a nonconformity, so we will be addressing this in the awareness sessions.

V. Monitoring and measuring results: We have covered this at Point ii

VI. Audit results (internal and external):
We have a new audit schedule in place for the year and Hal will be working with each of you explaining what he is doing in carrying out his audits. Also, we are looking for another internal auditor if anyone wants to volunteer. Our external audit was surveillance and done remotely so we got through it not too badly, but it was the catalyst for updating our system and making it more user friendly.

VII. The performance of external providers:
We had a few issues with providers over the last few months but mostly because of Brexit and the problems in the supply chain; however, we need to look at this more holistically and work out positive plans of how we are going to access what we need.
The amateur theatre group were not happy with the quality of programmes and flyers we produced last time because we couldn’t get the paper quality they wanted; especially as they were trying to emulate the Shakespeare’s first printing of the Taming of the Shrew in quarto in 1631. We ended up with our own “taming of the shrew, dealing with that media manager of theirs”, This highlighted the effect on customers for us in a big way.

VIII Overall view of performance and effectiveness of QMS?
Sad to report, scraping though the external audit on a wing and a prayer and not using the QMS to its full capacity has taught us to look at lessons learned. This is what led to Hal and myself, Zepho, looking at the QMS and working out how to do things better, after all that’s what it is for; We never really considered how or why we were resourcing it and when COVID hit and we had that downturn in business we really began to study how to do better which has led to our new Business Management Document and I know you all had input here and there and will enjoy working with it.

ACTION WHO / WHEN:
ZC and HI – Will be taking everyone through the new Business Management Document which shows how we work out QMS
HI – January TY
ZC and HI also – Everyone will work with Hal to understand their own processes throughout the year
Technicians – Everyone will have individual or group sessions with Hal throughout the year,
Gaylord has volunteered and Hal suggested SQMC for his training – Training to be arranged as soon as possible, meantime Gaylord will shadow Hal.
JC will look for alternate suppliers of our key products and get samples – Starting in Jan TY
ZC to expound the Vision of Mimeo and involve staff making them aware of their contribution to the QMS and the consequences of nonconformities and complaints – Overall programme of awareness throughout TY.

4. The adequacy of resources:

Discussed in previous paragraph. Now I expect to get requests for funding for activities which form part of the QMS

ACTION WHO: ZC and All
ACTION/WHEN: Ongoing

5. The effectiveness of actions taken to address risks and opportunities:

In fairness we are quite good at this and have always used SWOT to identify weak and threatening areas; we have now added in PESTLE as part of our strategic toolbox and you all can see that in the Business Management Document

ACTION WHO: ZC and HI but others welcome to be involved
ACTION/WHEN: As new business goals are set.

6. Opportunities for improvement:

We do note these, but it is a bit random. Can anyone come up with a better way of handling this?

ACTION WHO: Opened to all.
ACTION/WHEN: Within next few weeks.

AOB

We are taking on a trainee at the beginning of TY and he will learn the printing trade but hopefully lots of other useful skills too. His name is Chester Popcorn and I hope everyone will make him welcome.

MINUTE TAKER: Zepho Crane
DISTRIBUTION: JC
Emailed: 15th December

NEXT MEETING DATE: TBA
TIME: TBA
VENUE: Meeting Room

DATE: February 27th TY

ATTENDEES: ZC, JC, HI, PP, SS, TM, GB and CP

AGENDA:

• Mimeo’s Vision and new strategic direction of travel, Our QMS and discussion on nonconformities [ZC & HI]
• Suppliers [JC]
• Training for the year coming [JC]
• Complaints [HI} would like everyone’s involvement.
  (Dealing with complaints)
  (Ways of measuring customer satisfaction)
• Report on status of COVID legislation and/or regulations. [SS]
• Suggested improvements Everyone
• AOCB

MINUTES:

Zepho started off with outlining his goal for Mimeo – to be the best reproductive printers in the local area. Able to reproduce anything our customers ask for.

Last quarter, in fact last year was disappointing in the outcome of our performance and external audit. Of course, there were external forces at work but it’s clear the business and each person could have done better.

Hal took everyone through a slide show of the new Mimeo Business Management System although everyone except Chester, had been involved in putting it together. Generally, it was agreed that it make everything easy to understand but there still seemed to be a lot of checking and measuring. Hal explained this is the CHECK parr of the PLAN DO CHECK Act cycle that runs ISO management systems. If we don’t know how we are doing or if we are achieving what we want to achieve what is the point of working towards it randomly – makes sense.

ACTION – HI to give our images of Plan-Do-Check-Act and the ISO 9001 clauses on it and we are to find where we fit in in terms of what we do. Hal will go over it with us and we can have one meeting where we all present what we do and what part of the standards and what parts of P-D-C-A it covers.

Suppliers

JC is looking at the suppliers which let us down last year to see exactly what happened. She will then mark each company up like traffic lights.

GREEN – OK to use
AMBER – dialogue ongoing with supplier (Check with JC)
RED – do NOT use and consult JC or PP who will have an alternative for us.

We all need to understand that there is a policy for purchasing in place and we need to be working to it.

TRAINING FOR THE COMING YEAR (Through to next)

ACTION - Jo has a matrix and the findings of the self-appraisal we all undertook along with nonconformities and complaints and will work with Hal to see how we can reduce NCs and up our game.

COMPLAINTS

Hal talked us through the internal audit he had undertaken and the external auditor’s report relating to complaints and nonconformities. He explained that not all complaints are nonconformities but where they clearly are we need to log them as such (reminded us AGAIN, that a nonconformity is a non-fulfilment of a requirement). We have a new complaints set up and we all went through it looking at the documentation for both complaints and nonconformities and corrective action requests.

REPORT ON THE STATUS OF COVID

All COVID rules and restrictions have been lifted but the virus is still extremely prevalent. Hal got the safer workplaces booklet from the government site and will advise us all of what to do to be on the safe side.

SUGGESTED IMPROVEMENTS

PP asked if everyone could photograph receipts, invoices and delivery notes and send them to her – people forget and lost things which makes life difficult trying to reconcile payments . Everyone agreed to give it a go.

GB suggested that we take a few minutes in the morning and each evening to check everything is working OK, that we have enough supplies for what we are doing that day, and that we are approaching our work in the best sequence of events.

ZC added to the above by suggesting we have a 15-minute moring meeting before we start to make sure everyone is on the same page regarding work for the day, priorities etc.

Hal suggested that he include news of nonconformities and complaints etc as they arise and are dealt with to keep everyone in the picture and alert.

Steve, who is studying H&S suggested he carry our a walkround every morning and evening to check all is OK.

ZC was happy with the suggestions from this meeting and said we would take them on board and try them out to see how they worked.

AOCB

Chester is to be assigned to Steve and Gaylord initially to see how we goes on.

Next meeting time TBA.

Source: MIMEO INFORMAL WEEKLY MEETING (uploaded document)

PURPOSE OF MEETING: to review our quality management system, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the company.

Meeting Date: February 11th, TY
Attendees: Z Crane

• J Cheery
• H Incandeza
• P Pound
• S Stryver
• T Marker
• G Bodine

Agenda

• Review of Minutes of Last Meeting (is there anything left outstanding, if so, why?)
• Review of the status of actions from previous management review.
• Changes in external and internal issues that are relevant to the quality management system (a brief update on things like, COVID-19, Brexit, supply chain issues; recruitment difficulties, competition etc, investors)
• Information on the performance and effectiveness of the quality management system (having defined your own expectations and requirements of the QMS, did it meet them? If not, why not)
• The effectiveness of actions taken to address risks and opportunities (was the mitigation put in place to reduce levels of risk, effective, if not, why not? What could we have done, and could we have done it sooner?)
• Customer satisfaction and feedback from interested parties (what does the QMS tell us via repeat business, customer complaints, credit notes issued, nonconformities occurring, supply chain issues, amount of scrap and rework etc.)
• Review of Policies/Procedures/Objectives – the extent to which they have been met (were these viable and linked to the company’s strategic direction?)
• Process performance and conformity of products and services (does each process have defined outcomes/objective/KPIs? Did each deliver? If not, why not? What do we need to do?)
• Equipment issues and the adequacy of resources (any recorded breakdowns, failures, out of calibration issues, accidents, incidents, near misses? Have we analysed them/found out the causes and fixed them?)
• Audit (Internal / External) results (Analysis) (what is our own management tool of internal audit telling us? What are our external auditors telling us? Is our audit programme fit for purpose? Do we need more auditors/more audits/different audits?)
• Non-conformances / Customer Complaints / Corrective Actions (what is the status of each of these? Are any of them recurring? Why are they not being fixed for once and for all? What do we need to do?)
• The performance of external providers (who is reliable, value for money, solvent, consistent etc within the supply chain? Who is not? Who needs replacing? How are we bringing new suppliers etc on board and monitoring their performance?)
• Opportunities for improvement (did we identify any/ did we implement any? Did we evaluate the effectiveness of them? Did we miss any? Did any turn out to be too risky? What did we learn?)
• Any Other Business

Source: Mimeo Management Review Agenda Dec.doc (uploaded file)

SUMMARY

This procedure defines the process and methods for conducting both formal and informal management reviews of the quality management system.

The QA Manager is responsible for implementation of this procedure.

Top management is responsible for attending formal management review meetings.

REVISION AND APPROVAL

PROCEDURE: CONDUCTING MANAGEMENT REVIEWS

Top Management reviews the suitability, adequacy, and effectiveness of the Quality Management System through two primary methods: a formal “Management Review Meeting” held periodically, and ongoing management activities conducted throughout the rest of the year.

The formal “Management Review Meeting” is held at a minimum of at least once per calendar year.

The minimum attendance for Management Review Meeting shall be all relevant employees as directed by management.

If any attendee is absent, draft minutes will be sent to him/her, for review and so that the person may amend the minutes with any additional data, notes, opinions, or opportunities for improvement they may wish to add.

This review shall include assessing opportunities for improvement and the need for changes to the quality management system, including the quality policy and quality objectives.

Minutes of the meetings are taken and maintained. The form Management Review Meeting Minutes may be used as a template for the records or may be completed and filed as the finished record.

The Management Review Meeting shall include analysis of the following inputs:

• review and updating of the MD; (context of the organisation) information, including Issues, Risks and Opportunities
• review and updating of the Strategic Plan
• review and updating of process objectives, metrics and KPIs
• review of customer feedback
• review of the CAR Status Log system and related trends
• review of internal and external audit results
• review of the performance of external providers.
• review of the adequacy of resources.
• review of the effectiveness of actions taken to address risks and opportunities.
• review of opportunities for improvement.
• review of the Quality Policy for adequacy and to ensure it remains consistent with the needs of customers and the industry.
• recommendations for improvement of the quality management system
• follow-up activities from previous Management Reviews

The Management Review Meeting shall generate actions, timescales, and persons responsible for the actions recorded in the minutes; or take other recorded action, as a result of review topics in an effort to improve the management system, products, processes, and services, and to address resource needs.

This includes any decisions and actions related to the improvement of the effectiveness of the quality management system and its processes, improvement of product related to customer requirements, and resource needs.

OTHER MANAGEMENT REVIEW ACTIVITIES

Additional informal management review activities are also conducted, and include:

• Updating of some objectives’ data and trending in real time and making such data available on the company server. This includes product nonconformity data, CAR data, internal audit data, and customer complaints.
• Weekly meetings are held with the pertinent personnel to discuss issues and problems encountered, and to ensure ongoing conformance with established quality objectives.
• Daily, informal meetings amongst Mimeo personnel and management to ensure ongoing conformance with established requirements, as well as to manage daily processing of orders and process efficiency.

Source: Mimeo Procedure for Management Review (uploaded document)

MONITOR AND MEASURE: (Clause 9.1.1)

• Objectives
• Processes
• Plans and actions implemented
• Collect and collate all the results
• Analyse and evaluate the results

COMPARE AND CONTRAST AGAINST PLANS AND EXPECTATIONS AT MANAGEMENT REVIEW:

• Set new objectives
• Improve efficiency and effectiveness of processes
• Develop new plans and agree actions to be taken
• Decide what needs to be monitored and measured
• Set Internal Audit Programme accordingly for next turn of the P-D-C-A wheel.

AND AGAIN…

Source: P-D-C-A process at Man Review.docx (uploaded file)