Policy is now evaluated and documented with a risk based approach. This essentially means that no irrelevant, cumbersome or bureaucratic policy can be approved and distributed through the organisation without proper authority. RUBI supports a full life cycle change management process.
Effective and aligned risk focused business management must be conducted at the correct risk owner level. The implementation process of RUBI ensures an effective organisational change management process, on the correct gradient basis so that ownership of risk and compliance becomes an natural part of daily business management versus a annoying tag on with little meaningful business relevance. If one fails in this vital implementation step you get quality and risk management and compliance management being driven by the few and so you get poor return on your investment. It is only when each employee takes ownership of risk, company ethics and values and drives compliance do you truly start to see outstanding ROI from your system implementation. Implementation of your RUBI with our experienced project team ensures your ROI.
Lack of alignment between strategic initiatives and organisation strategy. Lack of a unified view of risk and compliance that limits management’s decision making ability.Duplication of activities and overlapping efforts that increase cost & risk.Emerging and future risk and business scenarios take organization's by surprise.Multiple RegulationsVertical Industry Regulations - (e.g. Banking: Basel II)Horizontal Regulations (e.g. SOX)Internal Corporate GovernanceInternational RegulationsRegional RegulationsLocal RegulationsDifferent projects with different scopesOperational RiskInternal AuditFinancial ControlIT GovernanceAnti-Fraud ManagementBusiness Continuity Planning Information Security RiskDifferent Methodologies and Diverging WorkflowsConsultant house methodologiesInternal business processesMultiple business unitsDifferent Information and Data Architecture RequirementsDiverse ParticipantsBusiness ExecutivesRisk & Compliance OfficersBusiness Unit and Process ManagersEmployeesContractorsConsultantsBusiness Partners
If any organisation wants to get this right, the starting point is at board and executive management levels. It begins with the “Tone at the Top”.An effective technology solution can be used to establish and align the activities inherent in the organisation and correctly help steer the decision making process with regards to new ventures and opportunities.What an effective integrated business management governance, risk and compliance tool could enable:Integrated enterprise approachTransparency and genuine clear visibilityCommon, understood dialogue across the organization – everyone on the same pageIntegration of:TechnologyProcessesBusiness objectivesBusiness strategyEfficient and effective use of all resourcesEffective robust securityLower costsHigher productivityIncreased profitsImproved performance
Real Solutions for Enterprise Governance, Risk and ComplianceThe next generation Business Management Solution
Oversight Collaboration Cost Team Central Improved Saving Work Reporting Efficiency SMME Business Viability and Sustainability Initiative
Initiative Purpose• To build capacity and create growth and sustainability in the SMME market for improvement in total Supply Chain Management
Creating a sound foundation withinternational best practice for businessQuality• ISO 9001 Certification Funded Management • Provision of a pre-populated ISO 9001 certified & endorsed management tool • Provision of consulting services to make use of the tool for implementation of an ISO 9001 Quality Management system for each identified SMME • Quality Assurance of Implementation • ISO 9001 / 2008 certification • Post certification sustainability assurance • On-going Support and Maintenance
The Process Supplier Verification. SMME Quality Support Services for Pre-Selection Process. each SMME within the Initiative for technology and business support a Customer Support a Administration of an on-line SMME qualifying process for the entry to the ProgrammeContinuous monitoring of Administration and reportingSMME’s ensuring on-going use of Sponsored Funding forand application of the Quality a a MICROSOFT CORPORATION SMME ISO 9001 / 2008Management system on a day to Real Time Continuous Progress & Quality Management Systemday basis using RUBI system Monitor impact, Statistical Monitoring & Reporting Finance Implementation andISO 9001 Endorsed Management outcomes To Funding Sponsors for each SMME Certification Registered to the initiative Full service support for each SMME a a on implementation of their ISO 9001 Risk, Quality Quality Management System. Assurance Customer Service Including mentoring and skills development Quality assurance over the implementation of the system by world leading Certifications Body, DQS
The Process Advisory, consulting, Direct Involvement • ISO 9001 / 2008 Policy / Procedure thought with SMME: /Compliance Docs categorized and structured leadership for conformity and standardization for each SMME SMME Content Evaluated and Modified Initiative Registered against:- SMME’s are loaded to the • Leading / best practice QSE & Oversight Risk Quality & RUBI system by Industry Governance Compliance & Compliance • Single source access (RUBI Platform) to Staff all policy across the Group by Job Business Function ensuring entrenched Quality Management Management System. • Ease-of use, RUBI user only has accessManufacturing Distribution Sales, Etc. to relevant documents based on Job Expert hands Executives & Function and Role. Simple for the SMME to administer through automated workflow on advisory Management • Full management of Leavers and Joiners Team for compliance continuity & skillsEach SMME is development. Checked and verified • Integration of Risk Assessment, Loss ISO Management and Compliance Audit. Supervisors 9001 • Automated Compliance workflows against and their Management defined targets and objectives ensuring staff System skills transfer from consultants to SMME thereby creating sustainability for excellence in business management. • Compliance Content Library, kept Assisted Management of relevant, current & up to date Compliance and Content • 24 / 7 / 365 State of Audit / Certification updating Readiness for each SMME • Significant Reduction in Audit day Relevant RUBI has been pre-loaded with all the content involvement of Management and Line that will be required for each SMME to Facilitators – Leading to increase time function and achieve compliance to the Standard & drive a available to manage core business & grow best practice approach to overall business revenue. Employees quality management
Phase 1 ProcessRUBI Compliance SMME’s are guided through and Policy & implementation of bestProcedure Module practice Policy, Processes, SMME Documentation Progress & SMME Issues /Configured for Best Procedures Reviewed by expert incidents & Findings & Practice Process Compliance Guidelines, which advisory, Recommendations ReportAutomation driving aligned to each SMME job Gaps in any Processes submitted to Initiative Funding quality function and business defined & Sponsors. management objectives to meeting client Recommendations & through the requirements Action Plans loaded to organisation as a RUBI Compliance for Gapwhole, its staff and closure its products and services Analyze Improve Derive Analyze Document Documents to Review Outcomes: Review & Compliance to “various " To best include Standard Documents Improve standards” practice “Best requirements & compliance" Practice” best practice
Approach• The Process will focus on the following aspects. Definition of SMME Goals and Objectives Assistance in definition of an achievable business strategy Review of the documents, if any, in the current management system: Check compliance to ISO 9001, ISO 14001, OHSACT, labour and any other critical legislation and regulations; Optimise the policy and procedure to “best practice” thereby providing a sound foundation for conformity in good business management. Site visits, where required to observe the SMME in operation and the functional performance of the on-site process – Verification reports submitted; Rationalisation of improvement of processes to international best practice; driving skills enhancement & development; Provide to the site process owners (e.g. Line Management) a deliverable in an easily viewed form (RUBI) the impact of non-compliance and business management and supply continuity related issues per operational performance; Ensure all documentation and process is managed in a centralised environment through the full application of the RUBI system, which is ISO 9001 / 2008 compliant and endorsed as such by DQS.
Phase 2 Process Monitoring & Continuous Improvement,Daily application of & Policy, Processes, Documentation & Findings & driven within thesystem functionality Procedures operational activity Recommendations system. Expert review. Compliance reviewed, Report submitted advisory oversight.Quality assurance & Guidelines, & Gaps in Process defined Target dates set Full escalation and CAPA process Skills Development Recommendations & Action and Action Alerts Management Review Plans loaded to RUBI Ownership defined Compliance PLAN ACT DO CHECK Draft Report Identify Draft Implement Road Identify on GAPS & Measure Recommendati Map & monitor GAP’s in assign Compliance to Improve corrective & ons for performance Defined Objectives Actual Improvement taking corrective ments preventative Practice Road Map action as needed action
Alignment of Objectives and Compliance for allInitiative StakeholdersProvision of Transparencyon the initiative Full Stakeholder reporting Against: Risks are identified that may impede Objectives Strategy andSet Strategy, Goals, Objectives Performance Targets. Compliance is managed on a continuous & Performance Targets basis – Top Down and Bottom Up. Sponsor Funding Allocation Management Industry Industry Sector SectorOperational Activity of SMMEengagement, is aligned, with Risk Management andCompliance Requirements for SMME SMME Monitored and Managed ROI Sponsor Organisation
24 / 7 / 365 State of Compliance Monitoring on Attainment ofObjectives– Audit and Certification Readiness for each SMME All relevant Stakeholders equipped and held accountable to Manage Risk, drive Governance and monitor • Strategic Risk Compliance in line with agreed Strategy for the initiative. • New markets Work load is reduced for compliance management, more • Competitors time available for Core business Management for both • Strategic New Directions Sponsor organisation & participating SMME’s • Operational Risk • Finance • Security • Fraud • Health & Safety • Quality • Service Deliver & Customer Satisfaction • Environmental • Products and Services • Legal • Governance • Compliance • IT • HR • Skills Development
Initiative Outcomes Moving each SMME From any of this? to…… Acknowledgments to OCEG for the Graphic
To all of this!SMME CapacityBuilding &SustainabilityInitiative Acknowledgments to OCEG for the Graphic
The SMME On-Boarding Process SMME Growth & Development Initiative ISIS RUBIQ High Level Process Procurer provides current Procurer provides current Triggers Triggers Data is loaded to the Supplier Supplier SMME contacts SMME contacts Data is loaded to the Notifications Notifications Supplier system Verification Verification Supplier system to SMME with to SMME with Services Services marketing // endorsement marketing endorsement completed for completed for letter letter each SMME each SMME Triggers engagement Triggers engagement with Qualified with Qualified Finance Support Qualifying Criteria SMME SMME & Phase 1 is & Phase 1 is Procurer Supplier Criticality Assessment initiated initiated SMME Loan SMME Loan Year 1 Year 1 SMME Setup and Year 2 – Year 2 – Repayments Repayments SMME Setup and deferred in Gap review Gap review deferred in ISO 9001 Maturity Assessment Configuration Configuration accordance with SMME Funding // Loan & CAPA & CAPA accordance with SMME Funding Loan Loan Agreements Setup Loan Agreements Setup agreements Fraud & Forgery Checks and Verification Year 3 – Year 3 – agreements Certification Certification Initiative Readiness Readiness Initiative General Business Maturity Assessment Marketing Marketing Campaign Campaign Whats in it for the SMME Whats in it for the SMME Access to specialised financing Access to specialised financing Year 4 – Year 4 – Improved business operations Improved business operations Audit & Audit & SMME SMME Improved opportunity for Improved opportunity for Certification Certification business growing business growing business growth business growth Managed sustainability Managed sustainability Integrated Supplier Intelligence Solutions Procurer Financial Institution Certification Body PVS PVS Guideline Guideline DQS DQS Provides identified Provides financing Provides initial Provides technology Provides Consulting Provides SMME Audits & SMME’s solutions for each of the verification checks on hosting & supplier services to SMME;s for Certification Provides an endorsement phases. each supplier loaded to intelligence services ISO 9001readiness & support letter for Provides financing products the database Provides management Provides training and distribution to the SMME to the SMME base of SMME Marketing business support database Campaign Provides ED support / Provides SMME underlying guarantees technology Support Provides Social Collaboration Platform for access to experts to solve business problems
CLOUD SERVICE SMME GROWTH & DEVELOPMENT INITIATIVECorporate FINANCIAL INSTITUTE / PROCURER SPONSOR EXECUTIVE REPORTINGBuyer real STAKEHOLDER & SMME COLLABORATION PLATFORMbusiness Shared portal for communications collaboration between sponsors, service Servers Servers providers and SMME’sintelligence, ISIS – INTEGRATED SUPPLIER INTELLIGENCE SYSTEM Datacontrol and SMME Business Servers Servers SMME Integratedoversight of verification Interruption & Data Risk Plan SMME data reporting Crisis Management RUBI SMME ISO 9001 SYSTEM DATA & MANAGEMENT ACCOUNTS REPORTINGentire supply Segment Specific Client Security Virtual RUBI Internet Segment Specific Segment Specific Segment Specific Client Security Virtual RUBIchain Client Security Client Security Virtual RUBI Virtual RUBI SMME SMME SMME SMME