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EGMS EGMSinternal internal assessments assessments 2013 2013

Closing meeting CEA (W26 - W28). Closing meeting CEA (W26 - W28).


agenda Agenda

CEA ASSESSMENT: Introduction

FINDINGS: Issues (NCs), Risks (Obs), Recomendations (Improvements) and Best Practices NEXT STEPS


Executive summary EGMS Internal Assessments are essential to driving operational improvement and process excellence whilst developing our maturity to go beyond the minimum requirements of key International Standards. Following a number of inputs and feedback the approach of EGMS Assessments in RLAM was altered. Our regional maturity presented the opportunity to assess our end to end ways of working via a consultative and transparent dialog. The core EGMS expert functions collaborated to develop a single Regional assessment for the first time. This report details the findings following the interviews and information reviewed. In summary: > More observations have been identified than non-conformities, supporting the belief our maturity is developing. > The support and collaboration from all involved in the assessment was excellent. It was recognized that the assessors are there to gain feedback for improvement and share ideas whilst identifying particular compliance issues.


> The main findings identified are related to the linkage between top down strategy and the tactical execution, 3rd Party Providers evaluations and OHS & Environmental awareness in our core business processes.

“During the assessment particular focus was placed upon the Sales and Delivery Processes. This was reviewed by following a Customer Project through the life-cycle to assess the end-to-end workings of these key Ericsson Business Process (EBP). Customer Projects were selected based upon their execution status, scope of work and Customer Unit. CU TIM and CU Telefonica were in scope in this assessment.�

REGION LATIN AMERICA Internal Org Units

People

Customer

Ericsson Business Processes


Health CHECK > Look forwards, not backwards Internal Assessments are performed regularly to check the health of our Management System. The assessment is intended to be a preventative activity to avoid non-conformities and customer issues whilst uncovering future potential and opportunity. It is not the intention to look backwards and agonize over how we got to where we are. > Treat feedback positively Interviewees have provided input openly and honestly.The assessment team and output reflects the information received. Consumers of the assessment report should treat the findings in the spirit it was offered i.e. to help Ericsson move forwards.


Basic assessment data The Internal Assessment was conducted following a proven surveillance methodology and based upon the RLAM Directive: RLAM Internal Assessments of Ericsson Group Management System. The Internal Assessment team’s competence was reviewed and approved as adequate to perform the assessment by the Ericsson Global Management System Responsible.

Location

Compañía ERICSSON SACI (CEA) Av. Gral. Güemes 676 PB (B1638CJF) Vte. Lopez, Buenos Aires, Argentina.

Telephone

+54 114 319 5500

Company President

Sergio Quiroga da Cunha

Assessment Date

From 24th June to 12th July 2013 (w26 – 28)

Report Issued

12th July 2013

Lead Assessor

Christian Murillo

Assessment Team

Carmen Stella Gomez Aurora Zepeda Rebeca Montenegro Claudio Kiwowicz (PROPS-C expertise)

Assessment Criteria

Ericsson Group Management System (EGMS) including: › ISO 9001:2008 › ISO 14001:2004 › OHSAS 18001:2007 › Corporate Responsibility (CR) › Business Continuity Management. › PROPS-C Adherence

Assessment Basis

EGMS including process descriptions, policies, directives, instructions, guidelines, results etc.


EGMS assessment CEA 2013 PROJECTS CUSTOMER UNITS CU TELEFONICA

SBE 2012 (CU TELEFONICA) CORE TP 2012 (CU TIM)

CU TIM

INTERNAL UNIT/FUNCTIONS

Compañía ERICSSON SACI (ARGENTINA)

STRATEGY & MARKETING COMMERCIAL MANAGEMENT OPERATIONS (Local Delivery, Supply) FINANCE (REFM, Security) HR (Learning & CD, OHS) COMMUNICATIONS * CMTF

PROCESSES STRATEGY MARKETING SALES SERVICE DELIVERY SUPPLY SOURCING HUMAN RESOURCE MGMT *ECOLOGY MANAGEMENT


EGMS Findings report Cea 2013


Summary of findings BCM 3 NCs + 2 Obs

Environmental Mgmt. 3 Obs + 3 best practices

Props-c adherence (CORE TP 2012 - TIM): 91% STRETCHED

Props-c adherence (SBE 2012 - Telefonica): 88% COMMITMENT

Non conformities (NCs) = Issues = Corrective Action Observations (Obs) = Risks = Preventive Action Improvement = Recommendations = Suggested Action Positive Indicators = Best Practices = Share!


Our processes

EGMS Assessments CEA 2013


Our processes Strategy › Issues (Non Conformities): 0 › Risks (Observations): 1) Quality: The interface between the strategy process and sales process in regards to the establishment of objectives and targets and execution its not clearly defined., interrelating the Growth Plans and the targets established within the sales organizations .(Responsible: Bengt Rosengren) 2) Quality: A mechanism to monitor, measure and analyze the performance of the strategy process is not defined. (Responsible: Bengt Rosengren) › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Our processes marketing › Issues (Non Conformities): 1) Quality: The follow of Marketing Plan 2013 is not developed in order to review the status and take the actions required to achieve the objectives defined. (Responsible: Hector de Tommaso) 2) Quality: Records of the marketing process are not controlled. The Marketing Plan 2013 is not archived in a Ericsson repository and approved by the Head of S&M (EriDoc) (Responsible: Hector de Tommaso) 3) Quality: The version of the Marketing Plan 2013 presented during the audit not is complete. (Responsible: Hector de Tommaso) › Risks (Observations): 1) Quality: The current marketing process version (Rev B) in EBP doesn't reflect a regional approach and it needs to be aligned with Cross Functions. e.g. it doesn't describe engagement practices interfaces (Responsible: GF) › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Our processes Project: SBE 2012 (Telefonica) sales › Issues (Non Conformities): 0 › Risks (Observations): 0 › Recommendations (Improvements): 0 › Best practices (to be shared): 1) The consideration of environmental and OHS risks during the Risk Analysis framework within the Sales process


Our processes Project: SBE 2012 (Telefonica) Service delivery › Issues (Non Conformities): 1) OHS: Fall protection equipment was not complete (only harness and one sling were found in the site), evidence of work on heights above 1.8 meters was confirmed (use of ladder for installation of cables). SETEL Supplier. (Responsible: Victor Salgado) 2) OHS: ASP personnel is using the room of elevator machines as temporary storage area, poles of the elevator has no guards, no signage or restriction to this area has been implemented in order to avoid incidents. SETEL Supplier (Responsible: Victor Salgado) 3) OHS: ASP personnel is using the room of elevator machines as temporary storage area, electrical installations are in this area, in the room was found a cylinder with no identification and confirmed by the personnel that contains propane, frequently used for the civil work being performed for site installation. SETEL Supplier (Responsible: Victor Salgado) › Risks (Observations): 1) OHS: A lifting device was implemented by the supplier SETEL; the device has no evidence of being tested to ensure the weight capability and has an anchorage point to a metallic tube. The device is being used to lift cabinets from the street to the rooftop (10 - 15 meters height approximately). (Responsible: Victor Salgado) › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Our processes Project: CORE TP 2012 (TIM) SaLES › Issues (Non Conformities): Risks (Observations): 1) Quality: Given that the opportunity under review did pertain to a Frame Contract, hence Full Track by definition, it was not documented the decision related with not develop the risk assessment in minirisk required before SDP1 (Responsible: Jose Plasenzotti) ›Recommendations (Improvements): ›Best practices (to be shared): 1) The consideration of environmental and OHS risks during the Risk Analysis framework within the Sales process.

It tools – crm 360 › Issues (Non Conformities): 1) Quality: The records of the sales process in CRM 360 tool have some issues related with the roles of approvals, exist two version of the SDB 2 one like Fast Track and other like Full Track, caused by the migration of the tool. (Responsible: Ramon Galey)


Our processes Project: CORE TP 2012 (TIM) Service delivery › Issues (Non Conformities): 1) OHS: ASP personnel from RODA, confirmed that was not informed from Ericsson on how to proceed and how to communicate in case of incidents. (Responsible: G. Cufre) 2) Quality: Quality auditors were not included within the resources plan of the project assessed. (Responsible: G. Cufre) 3) Quality: For the project Core TP 2012 was not found the evidence of the QASIS Audits defined in the project specification. (Responsible: G. Cufre) › Risks (Observations): 1) OHS: The project's OHS risk assessment was not related to operative activities, but related to administrative activities. Objective Evidence: Project Specification for CORE TP 2012, CRM ID 182556 Chapter 4 (Responsible: G. Cufre) 2) OHS: ASP personnel from RODA, did not receive any induction on how to proceed in case of evacuation or how to request support in case of a fire, during the execution of the activity in the customer facilities. (Responsible: G. Cufre) 3) OHS: There were fire extinguishers missing in the customer site. (Responsible: G. Cufre) 4) OHS: All the lights from the stairs and main corridor to the


Our processes Project: CORE TP 2012 (TIM) Service delivery installation area were off, when personnel from the customer were asked about this situation no one could explained the reason. The visibility in these passage areas was significantly jeopardized. (Responsible: G. Cufre) 5) Quality: During the assessment evidence of a quality plan was identified, however there are no clear guidelines within RLAM PMO about the basic or minimum content for a project quality plan and KPI definitions. (Responsible: G. Cufre) › Recommendations (Improvements): › Best practices (to be shared): 1) Management organization and documentation required complete and available in “Chronos” .


Our processes HUMAN resource mgmt › Issues (Non Conformities): 1) The Growth Plan 2012 was not an input for the planning of competence development master plan process 2013 of Operations. (Responsible: João Mendes) › Risks (Observations): 1) Quality: The current process included an annual planning however the dates for the trainings are confirmed by the each SPOCS during the year. During the assessment of the execution of Local Delivery competence plan there was not clear alignment between the competence requested and the calendar proposed for the year period. (Responsible: João Mendes) 2) Quality: The dashboard defined to measure the advance of the plan agreed with the areas is not aligned with the Target Specification of Competence Availability defined. (Responsible: João Mendes) 3) Quality: Within of Calendar of trainings of Operations are not included the trainings of ASP certification group for 2013 requested by LD in the CDMP and required to ensure the competence of the Quality Auditors like Dario Ayala who is in process of training. (Responsible: Maria Guadalupe Rodriguez) › Recommendations (Improvements): 0 › Best practices (to be shared): 1) Current process to develop and monitoring of the CDMP of Operations established by the TP&OD area.


Our processes sourcing › Issues (Non Conformities): 1) Quality: The current process to evaluate the performance of the suppliers not ensure the evaluation of suppliers critical for the quality of the services delivery for Ericsson, taking into account that the criteria to select the suppliers evaluated in CoC, Internal performance and ASP Regional Governance (Supplier Management framework) process not included the criteria of impact in the quality of the products and services. (Responsible: Ricardo Foyedo) › Risks (Observations): 0 › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Our internal units

EGMS Assessments CEA 2013


Our units in rlam Strategy & marketing (regional LEVEL) › IIssues (Non Conformities): 0 › IRisks (Observations): 0 › IRecommendations (Improvements): 0 › IBest practices (to be shared): 0 1) Implementation of Management Review process in the UNIT and the following of the KPI of the BSC.


Our units in rlam Cu telefonica (regional LEVEL) › Issues (Non Conformities): 1) Quality: Although BSC is established and monitored regularly in the unit, some KPIs were reported as "robust" in Q1, 2013 and the corrective actions were not documented in the "Performance report sheet" template. (Responsible: Georgia Sbrana) › Risks (Observations): 1) Quality: Records of management review are not aligned with the regional instruction, evidence and actions taken are not clearly described on the management review template. (Responsible: Georgia Sbrana) › Recommendations (Improvements): 0 › Best practices (to be shared): 0

Cu tim (regional LEVEL)

› Issues (Non Conformities): 1) Quality: Within the CSI process in the region is necessary include the evidence of the action plans in the site of CSI and for the action of CU TIM "Investigate in very detailed level thru RCA and site visits why it takes 15 days to execute a SWAP at Telecom Personal" not was included the evidence required to close this action. (Responsible: Mariano Limongi) › Risks (Observations): 0 › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Our units in rlam communications (REGIONAL LEVEL) › Issues (Non Conformities): 0 › Risks (Observations): 1) Quality: The OE Champion interviewed didn't had the access to the CPI Database to complete the follow up required to the findings and generate the report for Management Review. (Responsible: Connie Burgos) 2) Quality: BSC and KPI follow up of Communications with the "Performance Report Sheet Template" is not implemented as defined within Ericsson's Target setting process. (Responsible: Connie Burgos) › Recommendations (Improvements): 0 › Best practices (to be shared): 0

COMMERCIAL MGMT. (REGIONAL LEVEL) › Issues (Non Conformities): 0 › Risks (Observations): 0 › Recommendations (Improvements): 0 › Best practices (to be shared): 0 1) The UNIT Management Review is a best practice in the region, include a systematic process to align the targets in the different level of the UNIT until individual level and the tool created to monitor de results of the KPI and action plan defined.


Our units in cea Local delivery (country LEVEL)

› Issues (Non Conformities): 0 › Risks (Observations): 1) Quality: During the assessment, it was identified that the QASIS audits are conducted by ASP resources in Argentina. The agreement with corporate to validate this model was not evidenced. (Responsible: Victor Salgado) 2) Environmental: There was no objective evidence of an control established to ensure that the NRO ASPs comply with Ericsson's process to return electronic material from customer sites. It was not confirmed during the assessment that this process is contractually established with the ASPs. The current WoW implies that the ASP consolidates all WEEE material in their own WHs before notifying Ericsson. (Responsible: Victor Salgado) › Recommendations (Improvements): 0 › Best practices (to be shared): 1) The consideration of environmental factors during the execution of customer project's site inspections. 2) The process defined with Local Delivery to evaluate the performance of the ASP that included criteria to evaluate: QASIS, Risk Prevention (OHS - Environment) and ASP Model. Although this process currently is being developed currently.


Our units in cea Supply (country LEVEL)

› Issues (Non Conformities): 0 › Risks (Observations): 0 1) OHS: During the walk through for assessment of housekeeping related to manual handling and lifting, were found two pallets in the second floor of the rack with serious damage to the boxes causing instability to the pallet. (Responsible: Cecilia Li Rosi) 2) OHS: During the walk through for assessment of OHS requirements in the new facilities for the warehouse, was found a forklift operator driving a high speed. (Responsible: Cecilia Li Rosi) 3) OHS: During interview with the OHS Responsible person from the supplier, was confirmed that he has not received any notification about Ericsson OHS Supplier Requirements. (Responsible: Cecilia Li Rosi) 4) Environmental: The process established to return electronic material (excess material and/or malfunctioning) could be improved. The current process establishes 2 different templates to be used/filled by ASPs and there was no objective evidence of an work instruction describing how the process should work neither a systematic method to communicate this instruction to the delivery organizations. (Responsible: Cecilia Li Rosi) 5) Environmental: WEEE categorization (internal/external) needs to be improved. Criteria for this categorization is not clear and misinterpretations in this sense directly affects the regional Take Back target for 2013. (Responsible: GF Ecology Mgmt.) › Recommendations (Improvements): 1) Quality: In the new warehouse is pending the field identification of the product/risk areas required. This is an ongoing activity that needs to be followed. (Responsible: Cecilia Li Rosi) › Best practices (to be shared): 0


Our units in cea REFM (country LEVEL) › Issues (Non Conformities): 0 › IRisks (Observations): 1) OHS: During the walk through for assessment of operational controls related to fire prevention, were found two fire extinguishers blocked by boxes (parking area) and coats (third floor) (Responsible: Miriam Garcia) 2) OHS: The reports of the maintenance of the system for fire prevention from the landlord show that in the two inspections made on 2013 all the valves of firefighters pipes are missing, no actions have been taken to close the gap.. (Responsible: Miriam Garcia) 3) OHS: During the walk through for assessment of housekeeping related to fire prevention, were found an area with an overload of boxes and non identified material belonging to Operations in the fourth floor. This is a high risk of accumulating flammable material in excess. (Responsible: Victor Salgado) › IRecommendations (Improvements): 0 › IBest practices (to be shared): 0


Our units in CEA HR OHS (COUNTRY LEVEL) › Issues (Non Conformities): 0 › Risks (Observations): 1) OHS: Reports for HIPO incidents have not been completed according to the definition of 3 days for phase 1 and 10 days for complete report. Took 5 months to complete both phases according to the report CEA-13:000565 and information in report CEA-13:00569 has not been included. (Responsible: Dario Ayala) 2) OHS: Report for HIPO incident CEA-13:0005 shows that the contributing factor was related to human factor and in the action plan no actions were taken for substandard actions (direct related to human factors) only for substandard conditions. (Responsible: Dario Ayala) 3) OHS: No standardized process have been communicated for the communication, participation and consultation in terms of OHS within Customers, Suppliers and Internal Processes affecting OHS. (Responsible: Rebeca Montenegro) 4) OHS: Legal identification process have shown a risk of missing information, due the high dependence on human factors (communication, evaluation, interpretation). (Responsible: GF OHS) › Recommendations (Improvements): 1) OHS: Reports for HIPO incidents have not been completed according to the definition of 3 days for phase 1 and 10 days for complete report. Took 5 months to complete both phases according to the report CEA-13:000565 and information in report CEA-13:00569 has not been included. (Responsible: Gabriela Aquino) › Best practices (to be shared): 0


Our units in CEA security (country LEVEL) › Issues (Non Conformities): 0 › Risks (Observations): 1) OHS: Procedures for handling emergencies related to bomb threat, violence in the work place and other criminal activities have not been validated by security, have been only developed under OHS expertise. (Responsible: Selma Coutinho) 2 )Quality: In general, awareness of BCM roles & responsibilities for the CMTF Lead needs additional attention. The communication of this information needs to be reinforced (i.e., availability of instructions in Ericoll site) › Recommendations (Improvements): 1) Quality: Criteria about OHS participation in the CMTF Team could be evaluated, this person can support and act proactively during crisis situation to avoid any incident related to the subject matter (Responsible: Selma Coutinho) › Best practices (to be shared): 0


Business continuity mgmt CMTF - uruguay › Issues (Non Conformities): 1) BCAP document from CCU is approved by the Administration Manager and according to RLAM instructions this should be approved by CMTF Lead (Responsible: Luis Lopez) ›Risks (Observations): 1) A systematic process to follow up corrective actions raised during the exercises is not completely established. Actions don't include a timeframe for completion. (Responsible: Selma Coutinho) ›Recommendations (Improvements): 0 ›Best practices (to be shared): 0

CMTF - colombia › Issues (Non Conformities): 1) BCM documents for EDC are approved by the Security Manager and according to RLAM instructions this should be approved by CMTF Lead (Responsible: Joaquin Isaza) 2) BCAP document for EDC needs to be updated (i.e., 5 Emergency contacts, Natalia Vargas) and all the CTMF members must have an appointed backup person (Responsible: Joaquin Isaza) › Risks (Observations): 0 › Recommendations (Improvements): 0 › Best practices (to be shared): 0


Next steps

EGMS Assessments CEA 2013


Finding’s handling W28

Responsible: PM&OE

Finding Identification

Assessment Execution

Report Sending

CPI Database Input

Full Workflow

Compliance Establishment

Responsible: AUDITEES

Assessment Planning

W41

90 calendar days

Root Cause Analysis

Action Plan Setting

Actions Closure

Gathering of Effectiveness Evidences

Correction Verification of Efectiveness

Efectiveness Assurance

Responsible: PM&OE

Assessment Planning & Execution

W26 / W27 Responsible: PM&OE

SME Support

CPI DATABASE (PROGRESSION)

Action Status: Open – Not Started

Action Status: Open – Ongoing

Action Status: Closed


references Group Policy: Quality and Management System Group Directive: Ericsson Group Management System (EGMS) Group Instruction: Internal Assessment of the Management System Group Instruction: Process Management at Ericsson Regional Instruction: RLAM Internal Assessments of Ericsson Group Management System RLAM Instruction: Corrective, Preventive and Improvement Actions Handling in RLAM RLAM EGMS Requirements › EGMS Assessment CEA 2013 (Supporting information): CEA Assessment agenda. Internal Assessment program for 2013


Q&A

CONTACT US: Process Mgmt. & Operational Excellence (ERICOLL)


C P I D a t a b a se

C a t e gor y of

C ompa ny

ID

t he f i ndi ng

Tr i gr a m

1159

Improvement

CEA

EGMS Internal Assessment

1160

Observation

CEA

EGMS Internal Assessment

1161

Observation

CEA

EGMS Internal Assessment

1162

Observation

CEA

EGMS Internal Assessment

1163

Observation

CEA

EGMS Internal Assessment

1164

Observation

CEA

EGMS Internal Assessment

1165

Observation

CEA

EGMS Internal Assessment

1166

Observation

CEA

EGMS Internal Assessment

1167

Observation

CEA

EGMS Internal Assessment

1168

Observation

CEA

EGMS Internal Assessment

1169

Observation

CEA

EGMS Internal Assessment

A sse ssm e n t T y p e

D e sc r i p t i o n o f t h e f i n d i n g

A medical and ergonomic service exist at the office due legal requirement; both services have not developed a work program aligned with the regional initiatives regarding Health Campaign. Applicable requirement: Target: Health Campaign 2013 EDP -13:000005 (4.3.3 OHSAS 18001:2007). Objective Evidence: Health Campaign 2013 EDP-13:000005 (Ergonomics and Tabaquism as special focus), and EDP-13:000011 OHS BSC 2013 no evidence of local activities supported by any of the medical or ergonomic services. Legal identification process have shown a risk of missing information, due the high dependence on human factors (communication, evaluation, interpretation). Applicable requirement: OHS Legal Management LME-10:003407 (4.3.2 OHSAS 18001:2007). Objective Evidence: Interview with OHS SME for Argentina confirmed that two weeks ago was identified that legislation was not included in the local legal matrix EDB-11:009055, although evidence was shown that the update is in process and a new tool is being launched among the region. Reports for HIPO incidents have not been completed according to the definition of 3 days for phase 1 and 10 days for complete report. Took 5 months to complete both phases according to the report CEA-13:000565 and information in report CEA-13:00569 has not been included. Applicable requirement: OHS Incidents Management EDP -13:000511 (4.5.3 OHSAS 18001:2007). Objective Evidence: Report of HIPO incident with date 02 February 2013 happened to a HC. CEA -13:000565 Report of HIPO incident with date 18 February 2013 happened to a HC. CEA-13:000569. Report for HIPO incident CEA-13:0005 shows that the contributing factor was related to human factor and in the action plan no actions were taken for subestándard actions (direct related to human factors) only for subestándard conditions. Applicable requirement: OHS Incidents Management EDP-13:000511 (4.5.3 OHSAS 18001:2007). Objective Evidence: Report of HIPO incident with date 02 February 2013 happened to a HC. CEA-13:000565 During the walk through for assessment of operational controls related to fire prevention, were found two fire extinguishers blocked by boxes (parking area) and coats (third floor). Applicable requirement: Plan de Respuesta ante Emergencias CEA 2013 CEA -13:000082 (4.4.7 OHSAS 18001:2007). Objective Evidence: Photo of fire extinguisher in the parking lot during walk through of July 1 st (witnesses Dario Ayala and Rebeca Montenegro) The reports of the maintenance of the system for fire prevention from the landlord show that in the two inspections made on 2013 all the valves of firefighters pipes are missing, no actions have been taken to close the gap. Applicable requirement: Plan de Respuesta ante Emergencias CEA 2013 CEA-13:000082 (4.4.7 OHSAS 18001:2007). Objective Evidence: Reports of maintenance of the system for fire prevention. During the walk through for assessment of housekeeping related to fire prevention, were found an area with an overload of boxes and non identified material belonging to Operations in the flourth floor. This is a high risk of accumulating flammable material in excess. Applicable requirement: Plan de Respuesta ante Emergencias CEA 2013 CEA -13:000082 (4.4.7 OHSAS 18001:2007). Objective Evidence: Witnesses Dario Ayala and Rebeca Montenegro No standardized process have been communicated for the communication, participation and consultation in terms of OHS within Customers, Suppliers and Internal Processes affecting OH S. Applicable requirement: OHS Internal Communication LME -11:001302, OHS Participation and Consultation LME-11:000716. Objective Evidence: Interview with KAM, ACR & CPMs for the projects - SBE 2012 Telefonica - CORE TP 2012 TIM The project's OHS risk assessment was not related to operative activities, but related to administrative activities. Applicable requirement: Safety Plan, Projects LME-11:004600. Objective Evidence: Project Specification for CORE TP 2012, CRM ID 182556 (Chapter 4). During the walk through for assessment of housekeeping related to manual handling and lifting, were found two pallets in the second floor of the rack with serious damage to the boxes causing inestability to the pallet. Applicable requirement: The Ericsson General Supplier OHS Standards LME-12:000342 The Ericsson Specific Supplier OHS Standards LME -12:000343. Objective Evidence: Walkthrough the warehouse, witnesses audit team During the walk through for assessment of OHS requirements in the new facilities for the warehouse, was found a forklift operator driving a high speed. Applicable requirement: Driver and vehicle safety LME- 12:001902. Objective Evidence: Walkthrough the warehouse, witnesses audit team

R LA M U ni t

A ppl i c a bl e S t a nda r d

R e por t e d by

R e sp o n si b l e

HR&O

OHSAS 18001

Rebeca Montenegro

Gabriela Aquino

HR&O

OHSAS 18001

Rebeca Montenegro

Rebeca Montenegro

OPS - LD

OHSAS 18001

Rebeca Montenegro

Dario Ayala

OPS - LD

OHSAS 18001

Rebeca Montenegro

Dario Ayala

FIN - REFM

OHSAS 18001

Rebeca Montenegro

Miriam Garcia

FIN - REFM

OHSAS 18001

Rebeca Montenegro

Miriam Garcia

OPS - LD

OHSAS 18001

Rebeca Montenegro

Victor Salgado

HR&O

OHSAS 18001

Rebeca Montenegro

Rebeca Montenegro

OPS - PMO

OHSAS 18001

Rebeca Montenegro

Guillermo Cufre

OPS - Supply

OHSAS 18001

Rebeca Montenegro

Cecilia Li Rosi XX

OPS - Supply

OHSAS 18001

Rebeca Montenegro

Cecilia Li Rosi XX

OPS - Supply

OHSAS 18001

Rebeca Montenegro

Cecilia Li Rosi XX

1170

Observation

CEA

EGMS Internal Assessment

During interview with the OHS Responsible person from the supplier, was confirmed that he has not received any notification about Ericsson OHS Supplier Requirements. Applicable requirement: Code of Conduct The Ericsson General Supplier OHS Standards LME -12:000342 The Ericsson Specific Supplier OHS Standards LME-12:000343. Objective Evidence: Interview with OHS Responsible for Supplier.

1171

Observation

CEA

EGMS Internal Assessment

A lifting device was implemented by the supplier SETEL; the device has no evidence of being tested to ensure the weight capability and has an anchorage point to a metalic tube. The device is being used to lift cabinets from the street to the rooftop (10 - 15 meters height approximately). Applicable requirement: Manual Handling LME -12:001907. Objective Evidence: Interviewee confirmed that there is no test performed and no legal requirement for this. Interviewee said that the weigh does not exceed 80 kg.

OPS - LD

OHSAS 18001

Rebeca Montenegro

Victor Salgado

1172

Observation

CEA

EGMS Internal Assessment

ASP personnel from RODA, did not receive any induction on how to proceed in case of evacuation or how to request support in case of a fire, during the execution of the activity in the customer facilities. Applicable requirement:OHS Participation and Consultation LME -11:000716. Objective Evidence: Interviewee Cristobal Acuña DNI 9499876 and supervisor Omar.

OPS - PMO

OHSAS 18001

Rebeca Montenegro

Guillermo Cufre

EGMS Internal Assessment

There were two fire extinguishers missing in the customer site. Applicable requirement: OHS Participation and Consultation LME-11:000716. Objective Evidence: Photographs

OPS - PMO

OHSAS 18001

Rebeca Montenegro

Guillermo Cufre

OPS - PMO

OHSAS 18001

Rebeca Montenegro

Guillermo Cufre

1173

Observation

CEA

1174

Observation

CEA

EGMS Internal Assessment

All the lights from the stairs and main corridor to the installation area were off, when personnel from the customer were asked about this situation no one could explained the reason. The visibility in these passage areas was significantly jeopardized. Applicable requirement: OHS Participation and Consultation LME-11:000716. Objective Evidence: Walkthrough the customer site, witnesses audit team.

1175

Observation

CEA

EGMS Internal Assessment

Procedures for handling emergencies related to bomb threath, violence in the work place and other criminal activities have not been validated by security, have been only developed under OHS expertise. Applicable requirement: Plan de Respuesta ante Emergencias CEA 201 3 CEA-13:000082 (4.4.7 OHSAS 18001:2007). Objective Evidence: Interviewee Security Manager

FIN - Security

OHSAS 18001

Rebeca Montenegro

SELMA COUTINHO C

1176

Nonconformity

CEA

EGMS Internal Assessment

Fall protection equipment was not complete (only harness and one sling were found in the site), evidence of work on heights above 1.8 meters was confirmed (use of ladder for installation of cables). SETEL Supplier. Applicable requirement: Climbing and working at heights Instruction LME 10:002804. Objective Evidence: Photograph

OPS - LD

OHSAS 18001

Rebeca Montenegro

Victor Salgado

1177

Nonconformity

CEA

EGMS Internal Assessment

ASP personnel is using the room of elevator machines as temporary storage area, poles of the elevator has no guards, no signage or restriction to this area has been implemented in order to avoid incidents. SETEL Supplier. Applicable requirement: The Ericsson General Supplier OHS Standards LME-12:000342 The Ericsson Specific Supplier OHS Standards LME-12:000343. Objective Evidence: Photograph

OPS - LD

OHSAS 18001

Rebeca Montenegro

Victor Salgado

1178

Nonconformity

CEA

EGMS Internal Assessment

ASP personnel is using the room of elevator machines as temporary storage area, electrical installations are in this area, in the room was found a cilinder with no identification and confirmed by the personnel that contains propane, frequently used for the civil work being performed for sit e installation. SETEL Supplier. Applicable requirement: Chemicals Handling LME -12:001899 Fire Prevention LME-12:001905. Objective Evidence: Photograph

OPS - LD

OHSAS 18001

Rebeca Montenegro

Victor Salgado

1179

Nonconformity

CEA

EGMS Internal Assessment

ASP personnel from RODA, confirmed that was not informed from Ericsson on how to proceed and how to communicate in case of incidents. Applicable requirement: The Ericsson General Supplier OHS Standards LME-12:000342 The Ericsson Specific Supplier OHS Standards LME -12:000343. Objective Evidence: Interviewee Cristobal Acuña DNI 9499876 and supervisor Omar

OPS - PMO

OHSAS 18001

Rebeca Montenegro

Guillermo Cufre

1180

Improvement

CEA

EGMS Internal Assessment

Criteria about OHS participation in the CMTF Team could be evaluated, this person can support and act proactively during acrisis situation to avoid any incident related to the subject matter. Applicable requirement: Globla instru ction: Local Security and Crisis Management Governance, LME-08:001056 Uen. Objective Evidence: Interviewee Security Manager

FIN - Security

OHSAS 18001 / BCM

Rebeca Montenegro

SELMA COUTINHO C

EGMS Internal Assessment

Records of management review are not aligned with the regional instruction, evidence and actions taken are not clearly described on the management review template. Applicable requirement: Local instruction: RLAM Management Review, EDC-10:000924 Uen (5.6.3 ISO 9001:2008). Objective Evidence: RLAM Management Review Report Template, CU telefonica - Q2.

CU Telefonica

ISO 9001

Aurora Zepeda

Georgia Sbrana

EGMS Internal Assessment

In general, awareness of BCM roles & responsibilities for the CMTF Lead needs additional attention. The communication of this information needs to be reinforced (i.e., availability of instructions in Ericoll site). Applicable requirement:Globla instruction: Local Security and Crisis Management Governance, LME-08:001056 Uen. Objective Evidence: Interviewee back up of the CMTF Lead CCU, CMTF Lead EDC, CMTF Lead CEV

FIN - Security

ISO 9001 / BCM

Aurora Zepeda

SELMA COUTINHO C

1181

1182

Observation

Observation

CEA

CEA


C P I D a t a b a se

C a t e gor y of

C ompa ny

ID

t he f i ndi ng

Tr i gr a m

A sse ssm e n t T y p e

D e sc r i p t i o n o f t h e f i n d i n g

R LA M U ni t

A ppl i c a bl e S t a nda r d

R e por t e d by

R e sp o n si b l e

1183

Observation

CEA

EGMS Internal Assessment

The current marketing process version (Rev B) in EBP doesn't reflect a regional approach and it needs to be aligned with Cross Functions. e.g. it doesn't describe engagement practices interfaces. Applicable requirement: 4.2.3 ISO 9001:2008. Objective Evidence: Process specification: EBP Marketing Process, 130 11-FEA 203 701 Uen Rev B (4.2.4 ISO 9001:2008)

S&M

ISO 9001

Aurora Zepeda

Aurora Zepeda

1184

Observation

CEA

EGMS Internal Assessment

During the assessment, it was identified that the QASIS audits are conducted by ASP resources in Argentina. The agreement with corporate to validate this model was not evidenced. Applicable requirement:Quality Audit System, 1551 -FDG 103 44 Uen Rev S . Objective Evidence: Interviewee Service Delivery Line Manager and Technician

OPS - LD

ISO 9001

Aurora Zepeda

Victor Salgado

1185

Observation

CEA

EGMS Internal Assessment

A systematic process to follow up corrective actions raised during the excercises is not completely established. Actions don't include a timeframe for completion. Applicable requirement: Exercise management guideline, LME-08:003681 Uen Rev B . Objective Evidence: Exercise performed in CCU on 2012-08-31;

FIN - Security

ISO 9001 / BCM

Aurora Zepeda

SELMA COUTINHO C

EGMS Internal Assessment

Although BSC is established and monitory regulary in the unit, some KPIs were reported as "robust" in Q1, 2013 and the corrective actions were not documented in the "Performance report sheet" template. Applicable requirement: Target Setting Terminology & Templates, EAB -06:033696 Uen Rev X, slide 8. Objective Evidence: LT Meeting presentation - Q1 2013, EDB-13:004515

CU Telefonica

ISO 9001

Aurora Zepeda

Georgia Sbrana

EGMS Internal Assessment

BCAP document from CCU is approved by the Administration Manager and according to RLAM instructions this should be approved by CMTF Lead. Applicable requirement: RLAM BCM Requierements (4.2.3 ISO 9001:2008). Objective Evidence: Business Continuity Action Plan Uruguay Minimum Requirements, CCU-12:000156 Uen, Rev C

FIN - Security

ISO 9001 / BCM

Aurora Zepeda

Luis Lopez

FIN - Security

ISO 9001 / BCM

Aurora Zepeda

Joaquin Isaza

1186

1187

Nonconformity

Nonconformity

CEA

CEA

1188

Nonconformity

CEA

EGMS Internal Assessment

BCM documents for EDC are approved by the Security Manager and according to RLAM instructions this should be approved by CMTF Lead. Applicable requirement: RLAM BCM Requierements (4.2.3 ISO 9001:2008). Objective Evidence: CMTF Chart, EDC -10:000701 Uen Rev H; Business Continuity Action Plan (BC AP) Colombia Minimum requirements, EDC-12:000345 Uen Rev A.

1189

Nonconformity

CEA

EGMS Internal Assessment

BCAP document for EDC needs to be updated (i.e., 5 Emergency contacts, Natalia Vargas) and all the CTMF members must have an appointed backup person. Applicable requirement:Globla instruction: Local Security and Crisis Management Governance, LME -08:001056 Uen . Objective Evidence: Business Continuity Action Plan (BCAP) Colombia Minimum requirements, EDC 12:000345 Uen Rev A

FIN - Security

ISO 9001 / BCM

Aurora Zepeda

Joaquin Isaza

1190

Nonconformity

CEA

EGMS Internal Assessment

Records of the marketing process are not controlled. The Maketing Plan 2013 is not archived in a Ericsson repository and approved by the Head of S&M (EriDoc). Applicable requirement: Process specification: EBP Marketing Process, 130 11-FEA 203 701 Uen Rev B (4.2.4 ISO 9001:2008). Objective Evidence: Marketing Tactical Plan 2013, s/n

S&M

ISO 9001

Aurora Zepeda

Hector De Tommaso

1191

Observation

CEA

EGMS Internal Assessment

The interface between the strategy process and sales process in regards to the establisment of objectives and targets its not clearly defined. Applicable requirement: ISO 9001 / 4.1 General requirements b)Determine the sequence and interaction of the processes . Objective Evidence: According with the information of the strategy process driver is not defined the interelation between the Growth Plan and the targets of sales process.

S&M

ISO 9001

Carmen Stella Gomez

Bengt Rosengren B

1192

Observation

CEA

EGMS Internal Assessment

A mechanism to monitor, measure and analyse the performance of the strategy process is not defined. Applicable requirement:ISO 9001 / 4.1 General requirements e) Monitor, measure where applicable, and analyse these processes. Objective Evidence: According with the information of the strategy process driver is not defined a mechanish to measure the performance of strategy process.

S&M

ISO 9001

Carmen Stella Gomez

Bengt Rosengren B

1193

Observation

CEA

EGMS Internal Assessment

The OE Champion interviwed didn't had the access to the CPI Database to complete the follow up required to the findings and generate the report for Management Review. Applicable requirement: TEM-10:003847 Uen Corrective, Preventive and Improvement actions Handling in RLAM. Objective Evidence: During the internal assessment the OE Champion had not the access required to the CPI Database.

Communications

ISO 9001

Carmen Stella Gomez

Connie Burgos

1194

Observation

CEA

EGMS Internal Assessment

The current process included an annual planning however the dates for the trainings are confirmed by the each SPOCS during the year. During the assessment of the execution of Local Delivery competence plan there was not clear alignment between the competence requested and the calendar proposed for the year period. Applicable requirement: ISO 9001 / 6.2.2 Competence, awareness and training. Objective Evidence: RLAM Learning plan 2013 Calendar Operations / LD CDMP 2013 Trainings of QASIS, ASP Certifier and Mentors

HR&O

ISO 9001

Carmen Stella Gomez

JOAO MENDES

1195

Observation

CEA

EGMS Internal Assessment

The dashboard defined to measure the advance of the plan agreed with the areas is not aligned with the Target Specification of Competence Availability defined. Applicable requirement: EDC 13:000027 Uen RLAM L&CD Target Specification - Competence Availability for B. Needs. Objective Evidence: Dashboard June 2013, target level of Leadership and support areas.

HR&O

ISO 9001

Carmen Stella Gomez

JOAO MENDES

EGMS Internal Assessment

Within of Calendar of trainings of Operations are not included the trainings of ASP certification group for 2013 requested by LD in the CDMP and required to ensure the competence of the Quality Auditors like Dario Ayala who is in process of training. Applicable requirement: EAB 11:066067 Uen Job Role Description Workmanship Quality Auditor. Objective Evidence: Calendar Operations 2013

HR&O

ISO 9001

Carmen Stella Gomez

Maria Guadalupe Gutierrez

EGMS Internal Assessment

During the assessment evidence of a quality plan was identified, however there are no clear guidelines within RLAM PMO about the basic or minimum content for a project quality plan and KPI definitions. Applicable requirement: EAB/G -03:000118 Uen Project Specification template. Objective Evidence: Project Specification of Core TP 2012

OPS - PMO

ISO 9001

Carmen Stella Gomez

Guillermo Cufre

EGMS Internal Assessment

In the new warehouse is pending the identification of the areas required. This is na ongoing activity that needs to be followed. Applicable requirement: ISO 9001 / 6.3 Infrastructure. Objective Evidence: Visit to the DHL warehouse

OPS - Supply

ISO 9001

Carmen Stella Gomez

Cecilia Li Rosi XX

Communications

ISO 9001

Carmen Stella Gomez

Connie Burgos

1196

1197

1198

Observation

Observation

Improvement

CEA

CEA

CEA

1199

Observation

CEA

EGMS Internal Assessment

BSC and KPI followup of Communications with the "Performance Report Sheet Template" is not implemented as defined within Ericsson's Target setting process. Applicable requirement: EAB06:033696 Uen Target Setting Terminology & Templates. Objective Evidence: The RLAM Communication BSC 2013 include only the front page and the target level is "Not status" because the frecuency of measurement is annual.

1200

Nonconformity

CEA

EGMS Internal Assessment

The Growth Plan 2012 was not an input for the planning of competence development master plan process 2013 of Operations. Applicable requirement: LME -12:003786 Uen Region Growth Plan (2012-2015) Instruction 4.9 Competence and resource gaps . Objective Evidence: Current process of definition of CDMP Operations.

HR&O

ISO 9001

Carmen Stella Gomez

JOAO MENDES

1201

Nonconformity

CEA

EGMS Internal Assessment

Whitin the CSI process in the region is necessary include the evidence of the action plans in the site of CSI and for the action of CU TIM "Investigate in very detailed level thru RCA and site vi sits why it takes 15 days to execute a SWAP at Telecom Personal" not was included the evidence required to close this action. Applicable requirement: CSI RLAM Process defined by CSI driver. Evidence defined within Action List Status CU TIM defined for 201 3. Objective Evidence: CSI Intranet page.

CU TIM

ISO 9001

Carmen Stella Gomez

Mariano Limongi

1202

Nonconformity

CEA

EGMS Internal Assessment

The records of the sales process in CRM 360 tool have some issues related with the roles of approvals, exist two version of the SDB 2 one like Fast Track and other like Full Track, caused by the migration of the tool. Applicable requirement: Sales Directive 034 02 -3096 Uen. Objective Evidence: Records of sales process in CRM 360 of opportunity ID 182556 Core TP 2012

CM

ISO 9001

Carmen Stella Gomez

Ramon Galey

1203

Observation

CEA

EGMS Internal Assessment

Given that the opportunity under review did pertain to a Frame Contract, hence Full Track by definition, it was not documented the decision related with not develop the risk assessment in minirisk required before SDP1. Applicable requirement: 3/00021 -FEA 204 701 Uen Global Instruction for Sales Process - Risk Management. Objective Evidence: Records of sales process in CRM 360 of Core TP CU TIM ID 182556

CU TIM

ISO 9001

Carmen Stella Gomez

Jose Plasenzotti

1204

Nonconformity

CEA

EGMS Internal Assessment

Quality auditors were not included within the resources plan of the project assessed. Applicable requirement: OSDP Process . Objective Evidence: Resorces Plan Core TP 2012

OPS - PMO

ISO 9001

Carmen Stella Gomez

Guillermo Cufre

1205

Nonconformity

CEA

EGMS Internal Assessment

The version of the Marketing Plan 2013 presented during the audit not is complete. Applicable requirement: Marketing process EBP. Objective Evidence: Marketing Plan 2013 preliminary version.

S&M

ISO 9001

Carmen Stella Gomez

Hector De Tommaso


C P I D a t a b a se

C a t e gor y of

C ompa ny

ID

t he f i ndi ng

Tr i gr a m

1206

Nonconformity

CEA

R LA M U ni t

A ppl i c a bl e

R e por t e d by

R e sp o n si b l e

A sse ssm e n t T y p e

D e sc r i p t i o n o f t h e f i n d i n g

EGMS Internal Assessment

The follow of Marketing Plan 2013 is not developed in order to review the status and take the actions required to achieve the objectives defined. Applicable requirement:Marketing process EBP. Objective Evidence: Marketing Plan 2013 preliminary version.

S&M

ISO 9001

Carmen Stella Gomez

Hector De Tommaso

OPS - LD

ISO 9001

Carmen Stella Gomez

Victor Salgado

S t a nda r d

1207

Nonconformity

CEA

EGMS Internal Assessment

For the project Core TP 2012 was not found the evidence of the QASIS Audits defined in the project specification. Applicable requirement: 1551-FDG 103 44 Uen Rev K Description of the ASP Quality Assurance System QASIS . Objective Evidence: Project Specification Core TP 2012

1208

Nonconformity

CEA

EGMS Internal Assessment

The current process to evaluate the performance of the suppliers not ensure the evaluation of suppliers critical for the quality of the services delivery for Ericsson, taking into account that the criterias to select the suppliers evaluated in CoC, Internal performance and Governance (Suppli er Managment framework) process not included the criteria of impact in the quality of the products and services. Applicable requirement: ISO 9001 / 7.4.1 Purchasing process. Objective Evidence: S CoC process, Governance RLAM process and Internal performanc e process.

Sourcing

ISO 9001

Carmen Stella Gomez

Ricardo Foyedo

1209

Observation

CEA

EGMS Internal Assessment

WEEE categorization (internal/external) needs to be improved. Criterias for this catherization are not clear and missinterpretations in this sense directly affects the regional Take Back target for 2013. Applicable requirement: GF Directive Ecology Management and Product Take Back (034 02 10/FEA 101 570 Uen). . Objective Evidence: CEA Take Back data in EBW.

FIN - PM&OE

ISO 14001

CHRISTIAN MURILLO

CHRISTIAN MURILLO

OPS - Supply

ISO 14001

CHRISTIAN MURILLO

Cecilia Li Rosi XX

OPS - LD

ISO 14001

CHRISTIAN MURILLO

Victor Salgado

1210

Observation

CEA

EGMS Internal Assessment

The process established to return electronic material (excess material and/or malfunctioning) could be improved. The current process establishes 2 different templates to be used/filled by ASPs and there was no objective evidence of an work instruction describing how the process should work neither a sistematic method to communicate this instruction to the delivery organizations. Applicable requirement: ISO 14001 (4.6.6 Operational Control).

1211

Observation

CEA

EGMS Internal Assessment

There was no objective evidence of an control established to ensure that the NRO ASPs comply with Ericsson's process to return electronic material from customer sites. It was not confirmed during the assessment that this process is contractually established with the ASPs. The current WoW implies that the ASP consolidates all WEEE material in their own WHs before notifiyng Ericsson. Applicable requirement: ISO 14001 (4.6.6 Operational Control)

N.A.

Best Practice

CEA

EGMS Internal Assessment

Implementation of Management Review process in the UNIT and the following of the KPI of the BSC.

S&M

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The process of develop and monitoring of the CDMP of Operations established by the TP&OD area.

HR&O

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

Management organization and documentation required complete and available in “Chronos”.

OPS - PMO

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The UNIT Management Review is a best practice in the region, include a sistematic process to align the targets in the different level of the UNIT until individual level and the tool created to monitor de results of the KPI and action plan defined.

CM

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The process defined with Local Delivery to evaluate the performance of the ASP that included criterios to evaluate: QASIS, Risk Prevention (OHS - Environment) and ASP Model, this process currently not is developed.

Sourcing

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The consideration of environmental factors during the execution of customer project's site inspections.

OPS - Supply

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The consideration of environmental and OHS risks during the Risk Analysis framework within the Sales process.

CU TIM

N.A.

N.A.

N.A.

N.A.

Best Practice

CEA

EGMS Internal Assessment

The consideration of environmental and OHS risks during the Risk Analysis framework within the Sales process.

CU Telefonica

N.A.

N.A.

N.A.



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