Case Study (delegate)

Case Study

Life Long Learning (LLL)

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This section contains the Case Study information for a fictitious organization called “Life

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Long Learning” (LLL).

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Please note that the documents included in this Case Study contain errors for training
purposes only. These documents should not be used as guides for developing management
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system documentation.
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***ASSUME THE CURRENT MONTH IS NOVEMBER 20xx FOR THE PURPOSE OF

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YOUR AUDITS AND DOCUMENTED INFORMATION INSPECTION***

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 Case Study (delegate)
Lifelong Learning Limited

Table of contents

Organization Background ....................................................................................................................... 3

1. QMS Scope ..................................................................................................................................... 3
2. Context and Risk/Opportunity (extracts relevant to the training operation) ................................... 3
3. QMS Policy (extracts relevant to the training operation) ............................................................... 7
4. Organization Chart .......................................................................................................................... 7

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5. Customer Focus (extracts relevant to the training operation) ......................................................... 7
6. Overview of Organizations Processes............................................................................................. 8

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7. QMS Overall Objectives ................................................................................................................. 8
8. Competences ................................................................................................................................... 8

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9. Documented Information ................................................................................................................ 8
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10. Customer Satisfaction ..................................................................................................................... 9
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11. Complaints, Nonconformity and Improvement............................................................................... 9

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Master Document Control Form (extracts) ........................................................................................... 10

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Training Operations Processes .............................................................................................................. 11

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Extract of ‘Yearly Planning Schedule’ ................................................................................................. 17

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Competency Matrix (extract 1) ............................................................................................................. 18

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Competency Matrix (extract 2) ............................................................................................................. 19

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Quarterly Risk Assessment Analysis Meeting Minutes ........................................................................ 20

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Supplier Selection: Venues ................................................................................................................... 21

Supplier Appraisal Questionnaire ......................................................................................................... 22
Complaints Log (extract) ................................................................................................................... 23
Monitoring and Measurement Analysis Results (extracts) ................................................................... 24
Course Evaluation ................................................................................................................................. 28
Invoices ................................................................................................................................................. 32

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 Case Study (delegate)
Lifelong Learning Limited

[As an Internal Auditor (of the case study organization) you would already
be familiar with Pages 3-9.]

Organization Background:

Life Long Learning (LLL) is a medium sized organization based in Cape Town, South
Africa, that provides consultancy, management system certification, project management
services and has a small training provision. The organization employs around 60 staff.

Doc No QMS 02 Authorised by: QM

Version No 3 Date: 13/08/20xx

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1. QMS Scope

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LLL’s management system is applied to all the operational activities of the
organization and is focused towards the customer. The management system

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encompasses consultancy, management system certification, and has a small training

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provision (any after sales activities that may be required are also included).
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The management system does not address clause 7.1.5 Monitoring and measuring
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resources; as LLL does not have any instruments that require calibration.
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Doc No QMS 03 Authorised by: QM

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Version No 5 Date: 14/07/20xx

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2. Context and Risk/Opportunity (extracts relevant to the training operation)

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All organizations have issues and specific interested party requirements from time to
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time. LLL considers that issues/requirements are those events that can have a threat,
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or be an opportunity, to the organization. These issues/requirements can either be

from outside, or from inside the organization. Below is a matrix of the identified
issues/requirements together with an evaluation of the risks and opportunities.

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 Case Study (delegate)
Lifelong Learning Limited

Expected Risk H/M/L

# Issues (Internal) Uncertainty Opportunities
Result (Effect)

Availability of reliable,
Tutors are competent in Selection of existing tutors have Opportunity to multi-skill tutors –
qualified and competent
1 a cross-section of a limited portfolio of subject H impact on deployment and value for

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tutors covering multiple
subject areas areas, limiting deployment clients

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disciples

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Culture within the
2 Workforce is motivated Unacceptable quality of work M Under review
training department

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Workforce are loyal to Workforce leaving for better Opportunity to benchmark our
3 Workforce retention L

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organization paid work competitors wages

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Not sure if all employees are
All employees are Check during internal audits that this is

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4 Internal communications aware of policies and objectives, L
communicated to the case

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especially towards the customer

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We have occasional software
Reliable service, without Investigate backup systems and how we
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5 IT Systems glitches, inability to process M

interrruptions can limited interruptions to operations
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orders and invoicing etc.

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Has been no problem in the past,

Uninterrupted energy Investigate the possibility of backup
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6 Security of energy supply but current forecasts indicate

supply generation
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interruptions likely

… - - - - -

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 Case Study (delegate)
Lifelong Learning Limited

Expected Risk H/M/L

# Issues (External) Uncertainty Opportunities
Result (Effect)

We can continue to run Loss of supply through Lets see if we can establish a unique

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1 Supplier (venues) training course at our competitors trying to establish M supplier contract limiting competitor

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preferred venues unique supplier contract access/marketing of the venue!

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Suppliers remaining in Suppliers going out of business Opportunity to ensure we have multiple
2 Supplier existence M

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business or not delivering on time suppliers for the same requirement

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Regulatory, HR,

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Contract, H&S,

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Not meeting our legal Monitor legal requirements for effects
3 Legal compliance Environment, L

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requirements on LLL’s products and services
Data protection laws in
compliance
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Customers remain in Some customers suffering

Customers’ business
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4 business and utilize our because of recession, and being M Increase customer base
viability
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training liquidated
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Regularly monitor bank and insurance

Financial security Banks and insurers defaulting L
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credibility

… - - - - -

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 Case Study (delegate)
Lifelong Learning Limited

Expected
# IP Requirements Uncertainty Risk H/M/L Opportunities
Result
Workforce competence
Workforce professional Too busy to develop – employee Opportunity for HR to capture/follow-up
1 and up to date L
development needs leaves on needs
professionally

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Local residents - Employment of local Are we recruiting/utilising the Opportunity for local advertisement of

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2 L
employment workforce if suitable local competence? job vacancies first

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Latest theory and
Opportunity for other departments

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practice being conveyed Alignment of actual practice to
3 Customers training needs M within the organization to advise (pro-

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in our materials and theory is questionable
actively)
tutor

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… - - - - -

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Organization’s risk analysis

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LLL has considered the risks associated with providing training and learning services above. These risks are been based upon the analysis
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above and fall into a number of areas:
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 Competitors
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 Poor venues
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 Economic situation
 Competencies of tutors
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 Suppliers
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Where possible controls are put into place to ensure that risks to our organization and our customer are kept to a minimum. These risks are
reviewed every quarter to establish if they are still risks and if so what the adequacy of controls are.

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 Case Study (delegate)
Lifelong Learning Limited

Doc No QMS 04 Authorised by: QM

Version No 2 Date: 31/06/20xx

3. QMS Policy (extracts relevant to the training operation)

LLL are committed to providing training for public and in house courses to
customers’ requirements, in accordance with the regulations of the country it is
operating in. The organization will strive to increase its profits each year by organic
growth and customer satisfaction. Continual improvement is a permanent objective of
the organization.
This policy shall be communicated to all employees with the opportunity for them to

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seek clarification where required. Where required the policy shall be communicated to
all interested parties.

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LLL are committed to ensuring all our tutors are of the very best calibre and have the

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ability to train in multiple disciplines effectively, thereby creating value for our clients

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and maximising profits for the Managing Director.

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4. Organization Chart
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MD
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Finance and Operations Marketing

Purchasing
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HR and Admin
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Training
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Consultancy and Certification

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5. Customer Focus (extracts relevant to the training operation)

LLL has a constant focus on their customers and their satisfaction. Our aim is to
consistently provide engaging and knowledgeable tutors to make all our training
courses a pleasant learning experience. We are constantly looking at the risks and
opportunities that our customers challenge us with to enable us to meet their
requirements; as well as meeting applicable regulatory requirements.

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 Case Study (delegate)
Lifelong Learning Limited

Doc No QMS 05 Authorised by: Tech Director

Version No 5 Date: 02/09/20xx

6. Overview of Organizations Processes

Top level process:

Finance
Marketing Sales Planning Operations
and HR

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Ops sub

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processes

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7. QMS Overall Objectives
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The objectives for 20xx are to increase our profit by 2% and to increase the customer
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satisfaction by 1%. Customers are a priority objective for LLL and their retention
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shall be monitored on a monthly basis.

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Doc No QMS 06 Authorised by: QM

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Version No 3 Date: 25/04/20xx

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8. Competences
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The competencies of staff at LLL are a high priority. All jobs have had their
competencies assessed and staff doing those tasks will have been assessed to ensure
they have the necessary competencies. There is a competency matrix showing jobs
and staff. Competencies are assessed on a 6 monthly basis.

9. Documented Information

All documentation within LLL falls within the ‘MASTER DOCUMENT CONTROL
FORM - QMS01’. As such all documents are controlled and show approval and version
status. Documentation is only issued on a need to know basis. As all documentation
can be found on the intranet all hard copy documentation is deemed as being
uncontrolled.

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 Case Study (delegate)
Lifelong Learning Limited

10. Customer Satisfaction

The satisfaction of our customers is of high importance to LLL. After every course
that is run each delegate is asked to complete a course evaluation form. These forms
are then returned to the administration department for analysis to establish the overall
satisfaction levels for the month and ultimately for the year. Any scores that are 3 or
below are looked into to establish the likely cause of the low score. The main points
that satisfaction is measured on are:
 The tutor
 The venue
 The overall satisfaction of the course
 Whether the delegate found what they had learnt useful and can they use it

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back in their workplace.

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11. Complaints, Nonconformity and Improvement

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At LLL we take complaints and nonconformities very seriously. They are seen as an

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opportunity to improve the way we run the organization. Consequently, they are all

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investigated and effective corrective action is taken.
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 Case Study (delegate)
Lifelong Learning Limited

[Thanks for reading the background. The below is for your general reference
throughout your audit.]

Doc No QMS 01 Authorised by: QM

Version No 12 Date: 03/06/20xx

Master Document Control Form (extracts)

This Form (extract) applies to all policies, processes, and documented information, produced by
LLL, that need to be controlled within the Quality Management System (QMS).

Document Version Document description

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Information status
QMS 01 12 Master Document Control Form

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QMS 02 3 QMS Scope

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QMS 03 5 Context

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QMS 04 2
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Policy, Roles and responsibilities and customer focus
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QMS 05 5 Organizations Processes and QMS overall objectives

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QMS 06 4 Competencies, Documented Information, Customer satisfaction,

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Nonconformity and Improvement

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OPS 02 10 Training Operations processes

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HR 04 4 Competency matrix
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OP 03 3 Yearly plan
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PUR 10 5 Supplier selection

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PUR 16 7 Supplier Appraisal

QMS 13 1 Complaints Log

QMS 14 2 Monitoring and measurement analysis results

…. …. ……

[To prepare for your audit, please now review the information presented
overleaf, which is the documented information directly associated with your
Audit Criteria.]

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Lifelong Learning Limited Case Study (delegate)

Doc No OPS 02 Authorised by: Tech Director

Version No 9 Date: 30/09/20xx

Training Operations Processes

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Process

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Process Resp. Inputs, Activities, Outputs
description

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Each year just before the budgets are agreed the marketing and operations department take all

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Marketing Planning course the customer feedback from the previous year together with market information, last year’s

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and program course programme status/success etc., including what competitors are doing, and decide what

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Operations courses will be offered for the coming year against the strategy and targets set by the board.

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Monitoring and Measurement: Customer feedback, market information, competitor courses,

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last year’s Course Program status/success etc., course program, time to complete program

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against requirement

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OP1
Competencies: Planning ability and Marketing experience
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Intended results: Produce course program (to meet strategy and targets set by the board) for
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forthcoming year (April 20xx – March 20xx+1) before April 20xx
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Performance Indicator: Percentage of target set by the board achieved by Course Program.
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Resources needed: Marketing & Operations Managers time, and the data detailed above.
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Objective: Uplift of 3% on the percentage of target set by the board achieved by Course
Program (was 87%)
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From the planning output the operations manager decides if there is enough resource to meet
Operations Plan Tutor Time the budget requirements and if there isn’t decides how that resource shortfall will be met. This
will firstly involve securing internal resource, rather than having to utilize external (additional
OP2 Management
costs, quality etc.) The manager then plans each tutors diary for the forthcoming year, with
public and in house courses where these are known.
Monitoring and Measurement: Course program against tutor allocation

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Lifelong Learning Limited Case Study (delegate)

Process
Process Resp. Inputs, Activities, Outputs
description
Competencies: Resource allocation skills
Intended results: A useable course program before April 20xx

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Performance Indicator: Percentage of courses run where resource came from internal sources,

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rather than having to utilize external sources

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Resources needed: Operations Managers time and budget requirements
Objective: Uplift of 4% on the percentage of courses run where resource came from internal

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sources, rather than having to utilize external sources (was 91%)

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When the course program has been agreed, then admin contacts purchasing to decide the

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Admin and Select venue venues where the courses are to be held.
Admin then selects venues and informs purchasing who produces the necessary purchase

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Purchasing

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orders.

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Monitoring and Measurement: Venues selected, numbers of purchase orders raised, dates
OP3 when raised
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Competence: Purchasing skills & supplier selection abilities based on price
Intended results: Quality Venues selected for complete course program before April 20xx
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Performance Indicator: Percentage of venues selected which are below budget costs allocated
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Resources needed: Admin & Purchasing time and suitable venues

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Objective: Not allocated; as Performance indicator will tell us everything we need to know
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After the course program has been decided the Operation Manager and his team decide if there
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Operations Update and are any new courses required and/or courses requiring updating or other changes.

OP4 Management develop course if Monitoring and Measurement: Not required

required Competencies: Design and development of courses
Intended results: Courses identified and updated/developed in accordance with course program
and in time

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Lifelong Learning Limited Case Study (delegate)

Process
Process Resp. Inputs, Activities, Outputs
description
Performance Indicator: Numbers of courses updated/developed against requirement

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Resources needed: Operations Manager and Tutors time to develop/update

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Objective: Produce courses to meet course program that achieve delegate scores of 5 and

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above, on-going

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The courses that have been decided upon on the course program are promoted to new and

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Marketing Promote courses existing markets and where applicable clients. This is carried out through using databases via
the web and e-mail.

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Monitoring and Measurement: Numbers of delegates attracted to courses offered (internet site,
email - hit rate)

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OP5

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Competencies: Marketing & IT Skills

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Intended results: Effective advertisement of courses generating leads to hit sales targets

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Performance Indicator: Numbers of hits/product marketed

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Resources needed: Marketing Manager and IT time/equipment to generate marketing materials
01
Objective: Not needed as Sales will convert the leads
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Sales staff are provided with all the necessary information from marketing and operations on
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Sales Sell courses what course are available, where they are and when. Sales then sets their systems up to
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administer calls and visits to clients.

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OP6 Monitoring and Measurement: How many courses sold, by which product, which sales route
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Competencies: Ability to get water from a stone!

Objective: The correct courses are sold to delegates (assessed through customer feedback) and
that courses are 90% subscribed, on-going

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Lifelong Learning Limited Case Study (delegate)

Process
Process Resp. Inputs, Activities, Outputs
description
Once the sale has been agreed and a signed contract received the sales department authorizes

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Sales and Invoice delegate the invoice to be issued.

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finance Finance then sends the invoice to the delegate or their representative.

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Monitoring and Measurement: The correct invoice is sent to the correct delegate.

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OP7 Competencies: Invoicing processes knowledge and application
Intended results: Invoices are sent to correct delegate and on time

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Performance Indicator: Numbers sent/Numbers required to be sent

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Resources needed: IT equipment, suitable software, competent finance staff

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Objective: 48% of invoices are correct and sent to the correct delegate, on-going

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When the decision is made to go ahead with the course as the number of delegates is

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Admin sufficient, materials for the course are ordered. This is done through our approved printers

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Order course who ship course materials directly to the venue.

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materials Confirmation is sought from the venue that the materials have arrived and are not damaged.
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Monitoring and Measurement: Course materials are received correct for the course and on
OP8
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time
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Competencies: Purchase ordering

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Intended results: None set yet

Performance Indicator: None set yet
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Resources needed: IT equipment, suitable software, competent purchasing staff

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Objective: None set yet

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Lifelong Learning Limited Case Study (delegate)

Process
Process Resp. Inputs, Activities, Outputs
description
Five weeks before the course administration should check that the venue is booked and

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Admin Final check on arrangements are confirmed. Also the tutors accommodation should be checked.

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venue and One week before the course, check to see that all the materials have arrived, the tutors

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materials accommodation is confirmed, together with any delegates accommodation where required, and

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all equipment that is needed is available.
OP9 Monitoring and Measurement: As above

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Competencies: None needed, anyone can do this

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Intended results: Everyone is happy

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Performance Indicator: Everyone knows what they are doing – checked through internal audit

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Resources needed: Just a telephone to phone the venue

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Objective: 98% of checks are carried out on time and the results are satisfactory, on-going

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Tutor delivers the course.

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Tutor Delivery of course Monitoring and Measurement: Course feedback
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Competencies: Tutor skills
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OP10 Performance Indicator: Average ratings against all categories in the feedback form
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Resources needed: Competent tutors, correct materials, suitable venue etc.

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Objective: Tutor scores 5 and above from delegate feedback, without destroying any feedback
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forms, on-going
Course Tutor collects the course evaluation forms and enters onto the system. Where required the
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evaluations tutor marks any exam papers and completes any delegate evaluation forms. Tutor then posts
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Tutor
posted, with exam all documentation to the office.
OP11
papers and other Monitoring and Measurement: All feedback returned to office in specified time
information Competencies: Information completion and exam marking
Performance Indicator: Days to receive all paperwork v days set as an objective

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Lifelong Learning Limited Case Study (delegate)

Process
Process Resp. Inputs, Activities, Outputs
description
Resources needed: Pre-paid envelopes and tutor time

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Objective: All information returned to office within 1 week of course completion (was 1.5

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weeks), before year end

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Analyse returns Admin checks all documentation returned and verifies course evaluations. They also issue

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Admin and Issue certificates of attendance and where required check exam papers for passes and fails and issue
certificates certificates either by post or e-mail accordingly.

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Monitoring and Measurement: Return analysis, certificates issued within specified time.

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Intended results: Certificate issued within delegate expectations

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OP12 Performance Indicator: Days to receive certificate/result v days informed to the delegate they

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will receive them

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Resources needed: Admin time to analyse feedback and create certificates/result notifications

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etc.
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Competencies: Data analysis, administration skills
01
Objective: Quarterly analysis completed. Certificates issued within 2 weeks of course
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01
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[The extracts of documented information presented overleaf will be the documented Audit Evidence associated with
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your Audit Criteria, and also provided to you during your audit. Clearly, this documented information would normally
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have been selected, by yourself, through a sampling approach. These will be reviewed tomorrow.]

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Lifelong Learning Limited Case Study (delegate)

Doc No OP 03 Authorised by: HR Manager

Version No 3 Date: 07/03/20xx

Extract of ‘Yearly Planning Schedule’ (for Courses and extract of Tutor Allocation)

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Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec

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ISO 9001 * T2 *T3 *T4 *T1 *T3 *T3 *T4 *T1 *T4 *T3 *T4 *T1

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ISO 14001 *T4 *T1 *T4 *T9
ISO 22301 *T3 *T8 *T3 *T8

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ISO 27001 *T2 *T4 *T4 *T6 *T2

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ISO 45001 *T1 *T1 *T1 *T1 *T1
ISO 39001 *T5 *T5 *T4

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Bespoke *22301 45001

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T8 T2

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* Denotes courses run/ to be run

Tx Denotes tutor to run course 5

01
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01
90
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Lifelong Learning Limited Case Study (delegate)

Doc No HR 04 Authorised by: HR Manager

Version No 4 Date: 07/03/20xx
Competency Matrix (extract 1)
Millie Market Opus Opera Adrian Mole Paula Puch Sally Song Finley Fudge Tanya Tune Tony Tong Tricia Tee

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Marketing. M Operations. M Admin. M Purchasing. M Sales. M Finance. M Tutor (T3) Tutor (T2) Tutor (T1)

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Processes OP1, OP5 OP1, OP2, OP3, OP8, OP3 OP6, OP8 OP7 OP10, OP11 OP10, OP11 OP10, OP11

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undertaken OP4 OP9, OP12

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Training/competence achieved. (Conformed by Bill Bongome (Group HR Director))

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OP1 18/6/20xx BB

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OP2 11/6/20xx BB 11/6/20xx BB

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OP3 11/6/20xx BB 19/6/20xx BB

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OP4 19/6/20xx BB

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OP5 19/6/20xx BB 11/6/20xx BB

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OP6 19/6/20xx AH
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OP7 19/6/20xx BB 11/5/20xx BB

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OP8 06/3/20xx BB
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OP9 06/3/20xx BB
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OP10 11/5/20xx BB 06/3/20xx BB 17/4/20xxBB

OP11 11/5/20xx BB 06/3/20xx BB

OP12

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Lifelong Learning Limited Case Study (delegate)

Competency Matrix (extract 2)

Andy Spur Graeme Dee Dave Dive Sally Simplet Tim Cret Jim Noclue Tanya Tune Tony Tong Tricia Tee
Tutor (T9) Tutor (T8) Tutor (T7) Tutor (T6) Tutor (T5) Tutor (T4) Tutor (T3) Tutor (T2) Tutor (T1)
Courses to 9001, 14001, 9001, 22301, 9001, 55001, 9001, 50001, 9001, 39001, 9001, 14001, 9001, 28000, PAS7000, 9001, 14001,
deliver 45001, 27001 45001, 27001 45001, 27001 45001 45001, 27001 31000, 27001 45001, 22301 45001, 27001 45001, PAS99

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Training/competence achieved. (Conformed by Bill Bongome (Group HR Director))

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9001 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB 18/6/20xx BB

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14001 11/6/20xx BB 06/3/20xx BB

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45001 06/3/20xx BB 18/6/20xx BB

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27001 19/6/20xx BB 06/3/20xx BB

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22301

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55001 11/6/20xx BB 19/6/20xx AH

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39001 19/6/20xx BB 11/5/20xx BB
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28000
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90

31000
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50001 06/3/20xx BB 11/5/20xx BB 06/3/20xx BB 17/4/20xxBB

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PAS7000 06/3/20xx BB 11/5/20xx BB 06/3/20xx BB

PAS99

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Case Study
Lifelong Learning Limited Case Study (delegate)

Quarterly Risk Assessment Analysis Meeting Minutes

Responsibility for conducting the analysis: Operations manager

Date conducted: 23rd September 20xx

Those Present:

Operations manager
Purchasing manager
Finance manager
Marketing manager

Discussion points:

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Competitors:

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Recent analysis by marketing showed there was no change from the previous meeting.

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Our competitors have not added any products to their offerings and there are no new
competitors.

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Risk level: Stable

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Poor venues:
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There has been a recent speight of negative feedback from venues. This has revolved
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around the accommodation and its cleanliness. Purchasing are looking into this and
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the venues have been informed.

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Risk level: Increased

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01

Economic situation:
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The economy continues to grow and this is seen as a positive sign where
01

organizations are likely to require more training.

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Risk level: Reduced

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Competencies of tutors:
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There has been negative feedback on tutors, since the last risk review; mainly due to
tutors being allocated training course where they have not yet reached the required
competences. This is due to external resources not being utilized for fear of not
meeting objectives for OP 2.
Risk level: Increased

Suppliers:
Generally suppliers are currently performing well. The printers have been consistently
good and delivery of materials continues to be satisfactory.
Risk level: Stable

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Case Study
Lifelong Learning Limited Case Study (delegate)

Doc No PUR 10 Authorised by: Purchasing Manager

Version No 5 Date: 11/05/20xx

Supplier Selection: Venues

Purpose:
This process is to enable suppliers to be selected that will provide products and services that
meet LLL’s and our customers’ requirements.

Scope:
This process covers all venues used by LLL.

References:

-ID
 Process for delivering training courses

SI
 Competency matrix

r-B
 Documented information requirements
 Purchasing process

to
 Signature authority matrix

di
Au
Process:
al

(Selection criteria: Venues)

rn
te

(INPUTS)
In

Request for new Venue

5

All venues used by LLL must have the following as a minimum requirement:
01

 All training rooms must have daylight

:2

 There must be projector and flip charts available

01

 There must be adequate car parking

90

 There must be restaurant facilities

 The training rooms to be used by LLL must be able to accommodate up to 15
O
IS

delegates
 There must be overnight accommodation available on site
The following facilities are preferable but not essential:
 Health facilities like a gym and/or swimming pool
 Bar
 Accessibility of venue e.g. Good transport links like motorway and railway links

(ACTIVITIES)
Select venue based on the above criteria, authorise PO.

(OUTPUTS)
Selected venue & PO to Venue.

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Case Study
Lifelong Learning Limited Case Study (delegate)

Doc No PUR 16 Authorised by: Purchasing Manager

Version No 7 Date: 11/09/20xx

Supplier Appraisal Questionnaire

Name of Company Anytime Inn

Address 231, Kings Road, Sandton
Contact Mrs Hotel Manager
Tel: 030 400 50xxx Email: [email protected]

-ID
A Product / Service to be supplied: Venue Facilities for training courses

SI
B Issues associated with Product/Service: none

r-B
ITEM CONSIDERATION YES NO

to
di
C Ambiance of venue Au X
Suitable overnight accommodation available on site X, but not
D
on site
al
rn

E Accommodation cleanliness X
te

F Projector and flip charts available X

In

G Restaurant facilities with good menu X

5
01

H Health facilities and gym X

I Training room size (up to 10 delegates) X
:2
01

J Car parking X
90

Detail problems / discrepancies with supplier (Add details to reverse or separate sheet)
Local & cheap, and also supposedly have 9001.
O
IS

Purchasing Manager: J Jones Accepted / Declined Date: 1 month ago

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Case Study
Lifelong Learning Limited Case Study (delegate)

Doc No QMS 13 Authorised by: QM

Version No 1 Date: 23/08/20xx

Complaints Log (extract)

Year: 20xx

Investigation/ File
Details of Mitigation/CA Closed
Log rf. Date / Location Complainant
complaint

3 months prior The tutor was

-ID
(Customer) Tutor 5 Tutor 5 has now
to audit / unable to
was not aware of received further
59 Anytime Inn answer Y

SI
the subject being training in weak area
venue/ 22-26 questions from

r-B
taught - ISO 14001 of expertise
Aug the delegates

to
‘’’’ ‘’’’

di
Au
3 months prior
Dirty crockery
to audit / (Customer) Rooms
al

was left in the Venue informed of

62 Anytime Inn had not been Y
rn

room for problem

venue/ 22-26 cleaned
te

delegates use
Aug
In
5

‘’’’ ‘’’’
01

6 months after
:2

(Customer) Course the delegate had

01

2 months prior Certificate sent by

certificate not been on the
65 to audit /LLL registered mail to Y
90

delivered within course they still

office ensure safe arrival.
timescale did not have a
O

certificate
IS

Agreed, course tags

to re-assigned to
(Tutor), materials Course Tags are
1 months prior avoid confusion at
66 sent were wrong at too similar
to audit/Printers printers. All new tags
venue ‘ISM’ ‘IMS’
to be assessed before
allocation

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 23 of 34

Case Study
Lifelong Learning Limited Case Study (delegate)

Doc No QMS 16 Authorised by: QM

Version No 2 Date: 23/08/20xx

Monitoring and Measurement Analysis Results (extracts)

-I D
SI
r-B
Q1 20xx Q2 20xx Q3 20xx Q4 (latest)
JI’s 5.1 5.2 5.2 5.2

ito
Venue 5.3 5.2 5.2 4.9

ud
Tutor 5.9 5.8 5.7 5.5
Course 5.5 5.2 5.6 5.6

a lA
rn
te
In
Process Monitoring, Measurement, Indicators & Objectives Analysis and evaluation
5
01
OP1 Monitoring and Measurement: Customer feedback (see Course See above Table. Venue was scoring low due to internal rooms
:2

Evaluation forms), market information (See Market Brief being used with no natural daylight now…this was to save
01

‘Mk134’), competitor courses (See Market Brief ‘Mk135’), last money and hit board target for the year. No action needed.
90

year’s Course Program status/success etc., course program, time Other metrics are looking good. Market information &
to complete program against requirement (Completed in May) competitors etc. stable nothing to report of note. Time to
O
IS

Performance Indicator: Percentage of target set by the board complete program was late by one month….Marketing M off
achieved by Course Program. sick. Performance Indicator is currently 102%, over board
Objective: Uplift of 3% on the percentage of target set by the target. Objective is well over @102% now, still looking to save
board achieved by Course Program (was 87%). money to year-end bonuses.

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Case Study
Lifelong Learning Limited Case Study (delegate)

Process Monitoring, Measurement, Indicators & Objectives Analysis and evaluation

OP2 Monitoring and Measurement: Course program against tutor Looking good, although a bit of a stretch regarding using

D
allocation (See Doc No OP 03) internal resources now to cover courses that external resources

-I
Performance Indicator: Percentage of courses run where resource would normally cover….concerned about customer feedback

SI
came from internal sources, rather than having to utilize external regarding competence. Let’s see what happens.

r-B
sources. (This month – Nov we are at 96%)
Currently at 96% which is excellent allocation of internal
Objective: Uplift of 4% on the percentage of courses run where

ito
resources – well done team!
resource came from internal sources, rather than having to utilize

ud
external sources (was 91%).

lA
OP3 Monitoring and Measurement: Venues selected, (currently 6) Why the delay with the fifth? Is it because of the cost reductions

a
numbers of purchase orders raised (currently 5 open PO’s), dates due to an internal room…This needs addressing asap please.

rn
when raised (see PO data, but all before course commenced)

te
Performance Indicator: Percentage of venues selected which are Excellent news on the below budget selections. Well done team.

In
below budget costs allocated (currently 3, hoping for the last
one) 5
01
OP4 Performance Indicator: Numbers of courses updated/developed This is a low number against requirements. Due to all tutors
:2

against requirement (Currently 1, 5 need update/development) covering the work external resources would normally
01

Objective: Produce courses to meet course program that achieve due…hence no time to develop/update courses. What is going
to give…ask MD.
90

delegate scores of 5 and above, on-going

OP5 Monitoring and Measurement: Numbers of delegates attracted to Excellent news, keep it up.
O

courses offered - internet site, email - hit rate. (Marketing say

IS

this is quite good)

Performance Indicator: Numbers of hits/product marketed Marketing say this is not needed as an exact number.

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Case Study
Lifelong Learning Limited Case Study (delegate)

Process Monitoring, Measurement, Indicators & Objectives Analysis and evaluation

OP6 Monitoring and Measurement: How many courses sold & by It seems courses sold are now tending towards the more

D
which product & by which sales route (See Sales Data ‘SA135’). speciality course, and we need external resources to pick these

-I
Objective: The correct courses are sold to delegates (assessed up, or need to urgently train our internal tutors.

SI
through customer feedback) and that courses are 90% subscribed,

r-B
Excellent news, keep it up.
on-going (current figures suggest this is being met and exceeded)

ito
OP7 Monitoring and Measurement: The correct invoice is sent to the Good news on this one. Well done.

ud
correct delegate. (Payments are being received, so this seems ok)

lA
Performance Indicator: Numbers sent/Numbers required to be Bit of a backlog building up and mistakes are possible.
sent (Currently 450/650) Really need to change our invoicing software and IT

a
rn
Objective: 48% of invoices are correct and sent to the correct hardware…they are now not fit for purpose and key members of

te
delegate, on-going staff have left; so we are trying to understand what she did.

In
We are easily hitting the 48% level though, currently 90%.
OP8 Monitoring and Measurement: Course materials are received Good news on this one. Well done.
5
01
correct for the course and on time. (Occasional problems, but
:2

generally only recorded 5 instances where problems arose)

01

OP9 Monitoring and Measurement: (One & five weeks checks are What were the 6 problems…can we have these for the next
indicating very few problems now – recorded 6) review please.
90

Performance Indicator: Everyone knows what they are doing – Are the internal audits checking this area? Please report back at
O

checked through internal audit (Internal audits report no N/C’s in next review…We have concerns our internal audits are not
IS

this area). effective and our internal auditors are not experienced enough
Objective: 98% of checks are carried out on time and the results to asses this area yet.
are satisfactory, on-going Currently sitting at 95%, we will improve once the data above is
known and reported on.

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Case Study
Lifelong Learning Limited Case Study (delegate)

Process Monitoring, Measurement, Indicators & Objectives Analysis and evaluation

OP10 Monitoring and Measurement: Course feedback (See Course Reported on in OP1 above.

D
Evaluations and Complaint data) Complaints are superficial in nature…no action needed.

-I
Performance Indicator: Average ratings against all categories in

SI
the feedback form (See table above)

r-B
Objective: Tutor scores 5 and above from delegate feedback, Reported on in OP1 above.

ito
without destroying any feedback forms, on-going (Currently 5.5)
OP11 Monitoring and Measurement: All feedback returned to office in A marked improvement, well done.

ud
specified time (Now 1 week 1 day)

lA
Performance Indicator: Days to receive all paperwork v days set

a
as an objective (1 week 1 day v 1 week)

rn
Objective: All information returned to office within 1 week of Still a little way to go, how are we addressing this? Need to

te
course completion (was 1.5 weeks), before year end apply additional actions to get to 1 week. Please advise.

In
OP12 Monitoring and Measurement: Return analysis, certificates Worrying, see also OP7.
5
issued within specified time. (Back log arising due to admin staff
01
helping invoicing staff. Invoicing more important.)
:2

Performance Indicator: Days to receive certificate/result v days Letting the customers down here. Inform customers now 28
01

informed to the delegate they will receive them (28 v 14) days not 14 days. No complaints then.
90

Objective: Quarterly analysis completed. Certificates issued Analysis completed, but certificate issue will be amended to
within 2 weeks of course. ensure customer satisfaction. Leave objective at 2 weeks: as an
O
IS

inspirational target for admin.

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 27 of 34

Lifelong Learning Limited Case Study (delegate)

Course Evaluation
Dear Delegate,

To help us ensure that our training meets with your needs and expectations we would appreciate you
taking a little time to complete this questionnaire. Your comments will be noted and analysed in order
to determine possible improvements to future courses. Due to the high volume of questionnaires
received, we are unable to respond to everyone individually.

Thank you for your assistance,

Lifelong Learning – TUTOR (Tim Cret)

Course Attended: IRCA Lead Auditor ISO 14001 Date: 22-26 August

-ID
Pre-course Communication

SI
1. When booking the course how satisfied were you with the assistance provided by the LLL telesales team?
(Very 1 2 3 4 5 6 (Very

r-B
Unsatisfied) Satisfied)

to
2. How satisfied were you with the joining instructions?

di
(Very 1 2 3 Au 4 5 6 (Very
Unsatisfied) Satisfied)
al

Course
rn

3. How would you rate the course overall (e.g. length of course, content)?
(Poor) 1 2 3 4 5 6 (Excellent)
te
In

4. How satisfied were you that the course met your requirements?
(Very 1 2 3 4 5 6 (Very
5
01

Unsatisfied) Satisfied)
:2

5. How satisfied were you with the amount of time spent on theory/practical activities?
01

(Very 1 2 3 4 5 6 (Very
Unsatisfied) Satisfied)
90

Tutor
O

6. How would you rate the Lead Tutor’s delivery of the course?
IS

(Poor) 1 2 3 4 5 6 (Excellent)

7. How would you rate the Lead Tutor’s knowledge of the subject?
(Poor) 1 2 3 4 5 6 (Excellent)

Venue
8. How would you rate the venue overall?
(Poor) 1 2 3 4 5 6 (Excellent)

Additional Comments - Delegate: Scott Wilkinson

Not a bad course, although tutor seemed more knowledgeable on 9001?

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 28 of 34

Lifelong Learning Limited Case Study (delegate)

Course Evaluation
Dear Delegate,

To help us ensure that our training meets with your needs and expectations we would appreciate you
taking a little time to complete this questionnaire. Your comments will be noted and analysed in order
to determine possible improvements to future courses. Due to the high volume of questionnaires
received, we are unable to respond to everyone individually.

Thank you for your assistance,

Lifelong Learning – TUTOR (Tim Cret)

Course Attended: IRCA Lead Auditor ISO 14001 Date: 22-26 August

-ID
Pre-course Communication

SI
1. When booking the course how satisfied were you with the assistance provided by the LLL telesales team?
(Very 1 2 3 4 5 6 (Very

r-B
Unsatisfied) Satisfied)

to
2. How satisfied were you with the joining instructions?

di
(Very 1 2 3 Au 4 5 6 (Very
Unsatisfied) Satisfied)
al

Course
rn

3. How would you rate the course overall (e.g. length of course, content)?
(Poor) 1 2 3 4 5 6 (Excellent)
te
In

4. How satisfied were you that the course met your requirements?
(Very 1 2 3 4 5 6 (Very
5
01

Unsatisfied) Satisfied)
:2

5. How satisfied were you with the amount of time spent on theory/practical activities?
01

(Very 1 2 3 4 5 6 (Very
Unsatisfied) Satisfied)
90

Tutor
O

6. How would you rate the Lead Tutor’s delivery of the course?
IS

(Poor) 1 2 3 4 5 6 (Excellent)

7. How would you rate the Lead Tutor’s knowledge of the subject?
(Poor) 1 2 3 4 5 6 (Excellent)

Venue
8. How would you rate the venue overall?
(Poor) 1 2 3 4 5 6 (Excellent)

Additional Comments - Delegate: Nigel Wright

Course material were great, venue was poor – no daylight for a week!

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 29 of 34

Lifelong Learning Limited Case Study (delegate)

Course Evaluation
Dear Delegate,

To help us ensure that our training meets with your needs and expectations we would appreciate you
taking a little time to complete this questionnaire. Your comments will be noted and analysed in order
to determine possible improvements to future courses. Due to the high volume of questionnaires
received, we are unable to respond to everyone individually.

Thank you for your assistance,

Lifelong Learning – TUTOR (Tim Cret)

Course Attended: IRCA Lead Auditor ISO 14001 Date: 22-26 August

-ID
Pre-course Communication

SI
1. When booking the course how satisfied were you with the assistance provided by the LLL telesales team?
(Very 1 2 3 4 5 6 (Very

r-B
Unsatisfied) Satisfied)

to
2. How satisfied were you with the joining instructions?

di
(Very 1 2 3 Au 4 5 6 (Very
Unsatisfied) Satisfied)
al

Course
rn

3. How would you rate the course overall (e.g. length of course, content)?
(Poor) 1 2 3 4 5 6 (Excellent)
te
In

4. How satisfied were you that the course met your requirements?
(Very 1 2 3 4 5 6 (Very
5
01

Unsatisfied) Satisfied)
:2

5. How satisfied were you with the amount of time spent on theory/practical activities?
01

(Very 1 2 3 4 5 6 (Very
Unsatisfied) Satisfied)
90

Tutor
O

6. How would you rate the Lead Tutor’s delivery of the course?
IS

(Poor) 1 2 3 4 5 6 (Excellent)

7. How would you rate the Lead Tutor’s knowledge of the subject?
(Poor) 1 2 3 4 5 6 (Excellent)

Venue
8. How would you rate the venue overall?
(Poor) 1 2 3 4 5 6 (Excellent)

Additional Comments – Delegate: Timothy Merton

Lots of work – enjoyable – shame venue spoilt proceedings and tutor was very knowledgeable on
55001!

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 30 of 34

Lifelong Learning Limited Case Study (delegate)

Course Evaluation
Dear Delegate,

To help us ensure that our training meets with your needs and expectations we would appreciate you
taking a little time to complete this questionnaire. Your comments will be noted and analysed in order
to determine possible improvements to future courses. Due to the high volume of questionnaires
receive , we are unable to respond to everyone individually.

Thank you for your assistance,

Lifelong Learning – TUTOR (Tim Cret)

Course Attended: IRCA Lead Auditor ISO 14001 Date: 22-26 August

-ID
Pre-course Communication

SI
1. When booking the course how satisfied were you with the assistance provided by the LLL telesales team?
(Very 1 2 3 4 5 6 (Very

r-B
Unsatisfied) Satisfied)

to
2. How satisfied were you with the joining instructions?

di
(Very 1 2 3 Au 4 5 6 (Very
Unsatisfied) Satisfied)
al

Course
rn

3. How would you rate the course overall (e.g. length of course, content)?
(Poor) 1 2 3 4 5 6 (Excellent)
te
In

4. How satisfied were you that the course met your requirements?
(Very 1 2 3 4 5 6 (Very
5
01

Unsatisfied) Satisfied)
:2

5. How satisfied were you with the amount of time spent on theory/practical activities?
01

(Very 1 2 3 4 5 6 (Very
Unsatisfied) Satisfied)
90

Tutor
O

6. How would you rate the Lead Tutor’s delivery of the course?
IS

(Poor) 1 2 3 4 5 6 (Excellent)

7. How would you rate the Lead Tutor’s knowledge of the subject?
(Poor) 1 2 3 4 5 6 (Excellent)

Venue
8. How would you rate the venue overall?
(Poor) 1 2 3 4 5 6 (Excellent)

Additional Comments - Delegate: Jonah Jones

Dirty crockery was left in the room for OUR use

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 31 of 34

Lifelong Learning Limited Case Study (delegate)

Invoice: 12397
DATE/TAX 1 September
Lifelong Learning point: 9015131
Account No: 400056954
Cape Town PO: 30 days from date of invoice
Payment due:

Mustoe Organization

-ID
85 Sheffield Road
Johannesburg

SI
r-B
to
Item code Description Quantity Unit price £ Total + VAT

di
£
Au
451289 1 980 980
Timothy Merton
al

IRCA Lead Auditor ISO 14001

rn

22-26 August
te

Anytime Inn, Sandton

In
5
01
:2

Invoices
01
90
O
IS

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 32 of 34

Lifelong Learning Limited Case Study (delegate)

Invoice: 12402
DATE/TAX 1 September
Lifelong Learning point: 9726436
Account No: 400056959
Cape Town PO: 30 days from date of invoice
Payment due:

Aqua Organization
596 Workington Road

-ID
Cape Town

SI
r-B
to
di
Item code Description Quantity Unit price £ Total + VAT
Au
£
451289 1 980 980
al

Nigel Wiht
rn

IRCA Lead Auditor ISO 45001

te

22-26 August
In

Holiday Inn, Stellenbosch

5
01
:2
01
90
O
IS

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 33 of 34

Lifelong Learning Limited Case Study (delegate)

Invoice: 12398
DATE/TAX 1 September
Lifelong Learning point: 9157392
Account No: 400056955
Cape Town PO: 30 days from date of invoice
Payment due:

Bowen Organization
51 Silbury Boulevard

-ID
Durban

SI
r-B
to
di
Item code Description Quantity Unit price £ Total + VAT
Au
£
451289 1 980 890
al

Scott Wilkinson
rn

IRCA Lead Auditor ISO 14001

te

22-26 August
In

Holiday Inn, Umhlanga

5
01
:2
01
90
O
IS

QMS03001ENGX v5.0(AD03) Feb 2020 ©The British Standards Institution 2020 34 of 34