In this premiere issue of management service E-essential, we focus on: • The Application and Benefits of a Customer-Focused Audit Strategy • Using Insight Auditing® SWOT Analysis to Foster Business Excellence • TÜV SÜD America Profile: Gurdeep S. Mahal • Insight Auditing® SWOT Analysis: A Case Study • Management Service Webinars from TÜV SÜD America

1. TÜV SÜD | Vol. 1 May 2013
E-ssentials
Management Service | Technical industry e-news updates essential to your operations
http://www.tuv-sud-america.com
The Application and Benefits of a Customer-Focused Audit
Strategy
02
Using Insight Auditing®
SWOT Analysis to Foster Business
Excellence
04
TÜV SÜD America Profile: Gurdeep S. Mahal Case Study 06
Driving Business Excellence with Insight Auditing®
SWOT
Analysis: A Case Study 08
Management Service Webinars from TÜV SÜD America 09
Contents:

2. TÜV SÜD E-ssentials
Vol. 1 May 2013
Page 2
Editorial The Application and Benefits of a Customer-Focused
Audit StrategyDear Reader,
Welcome to the premiere issue of Management Service
E-ssentials, the e-newsletter from the management
systems professionals at TÜV SÜD America!
As ISO 9001 and other sector certifications become
a requirement for many global supply chain entities,
the best way for organizations to meet customers’
expectations is to implement a customer-focused audit
(CFA) strategy. The CFA approach addresses the specific
needs of individual customers whose products are
produced at multiple production sites around the world
and can significantly reduce the auditing burden. In our
article, “Optimizing Excellence with a Customer-Focused
Auditing Strategy,” we discuss the characteristics and
benefits of a CFA approach.
At the same time, Insight Auditing®
SWOT Analysis
is an essential part of TÜV SÜD America’s reporting
and communication of management system audit data.
Insight Auditing SWOT analysis presents clear audit
findings, and connects them with both specific areas
of business significance and recommended follow-up
actions, resulting in a more effective management
system. Our article, “Using Insight Auditing SWOT
Analysis to Drive Business Excellence,” discusses TÜV
SÜD America’s use of this exciting new tool.
In a separate article, “Driving Business Excellence
with Insight Auditing SWOT Analysis: A Case Study,”
we present actual results from the application of this
technique in a multi-million dollar manufacturing
organization employing more than 80,000 people in 20
countries around the world.
The task of implementing and maintaining a certified
quality management program can be daunting. In this
issue’s Profile piece, we speak with Gurdeep S. Mahal,
TÜV SÜD America’s ISO 9001 Technical Product Manager
and lead auditor. Based on his decades of experience,
Mahal shares his perspective on the benefits of effective
quality management programs, the challenges in
maintaining certified status, and some recommended
methods for streamlining compliance activities.
We hope that you enjoy this first issue of Management
Service E-ssentials. If you have ideas for topics you’d
like to see us cover in future issues, please let us know.
We look forward to hearing from you!
Craig Casillas
Vice President, Management Service
TÜV SÜD America
To support today’s increasing global demand
for goods and services, manufacturers have
established operations around the world in order
to take advantage of production economies and
to supply customers as efficiently and as cost-
effectively as possible. However, quality-conscious
customers expect the same level of product quality
and service, regardless of where that product is
manufactured. As such, manufacturers face a
challenging task in achieving and maintaining
quality standards required by their demanding
customers.
For years, maintaining a single quality
management system (QMS), such as those
certified to the ISO 9001 quality standard, has
been sufficient to demonstrate a manufacturer’s
commitment to producing products of consistent
quality. However, there has been an expansion
in the number and type of sector-specific QMS
certifications, as well as the introduction of
other types of certifications, such as those for
environmental management systems (EMS) and
social accountability (SA). In addition, many
major corporations have introduced their own
specific quality and environmental management
requirements for their supply chain.
Whether driven by industry sector expectations
or customer demands, the proliferation of system
certification requirements means a direct increase
in the number of independent audits needed to
demonstrate compliance with those requirements.
For example, a typical manufacturer can carry as
many as five separate ISO and/or sector-specific
certifications, each of which require at least
annual audits of each facility. For some global
entities, this can mean dozens, or even hundreds,
of audits annually, directly resulting in business
interruptions, lost productivity, and increased
operating costs.
As ISO and/or sector certifications have become
an absolute requirement for a typical global supply
chain entity, the main customer concern remains
the ability of its supply chain to fulfill customer-
specific requirements. Hence, the best way for
organizations to meet customers’ expectations
is to implement a Customer-Focused Audit (CFA)
strategy that addresses the specific needs of
individual customers whose products are produced
at multiple production sites around the world. This
integrated approach can significantly reduce the
auditing burden, with its attendant impact on
production and operating costs, while reassuring
customers that the products they buy will meet
the same standards regardless of where they are
produced.
In this article, we’ll discuss the characteristics
and benefits of a CFA strategy, and review the
experience of one global company who adopted a
CFA strategy with distinctive results.
HOW DO CFAs DIFFER FROM TYPICAL
ISO 9001 AUDITS?
CFAs and ISO 9001 audits both assess a facility’s
compliance with the standards requirements of
ISO 9001 and other QMS certification programs.
But the similarity between the two approaches
ends there. Because CFAs are directly focused
on addressing the needs and expectations of the
targeted focused customer, it is the customer’s
requirements that determine the selection of the
auditors, and the production sites selected for
auditing.
Further, CFAs pay particular attention to specific
quality requirements as detailed in the contract
between the manufacturer and the selected
customer. In a typical ISO 9001 audit, it is not
uncommon for auditors to be unaware of these
requirements and other customer concerns.
However, the scope of a CFA can be expanded
beyond typical quality concerns to include these
important considerations, as well as internal
processes, procedures, management policies and

3. Vol. 1 May 2013
Page 3TÜV SÜD E-ssentials
priorities, and regulatory requirements.
Finally, CFAs focus on leading, instead of lagging,
indicators of quality. As such, CFAs evaluate a
variety of quality indicators, such as compliance
with the manufacturer’s own internal processes
and procedures, compliance with the customer’s
requirements, customer loyalty, and even the
engagement and satisfaction of the manufacturer’s
own employees. In this way, CFAs can provide the
manufacturer with advance notice of quality issues,
providing the opportunity for risk mitigation and
corrective action before the customer’s perceived
satisfaction is affected.
CFA ENGAGEMENT—CASE STUDY
The subject manufacturing company provides
design, manufacturing, customer support, and
management services to a wide range of industry
sectors, including aerospace, automotive, consumer
products, defense, electronics, industrial, medical
and telecommunications. The manufacturer also
provides customers with after-market service
offerings, such as warranty services and product
repairs. This multi-billion dollar organization
operates more than 50 facilities in more than 20
countries around the world, employing more than
80,000 employees worldwide.
The manufacturer maintains numerous ISO and
sector-specific QMS and EMS certifications,
including AS9100, BABT, ESD 20.20, ISO 9001, ISO
13485, ISO 14001, OHSAS 18001, TL 9000, and
others. On average, a single manufacturing site
carries between three and five sector-specific
certifications to meet the needs of customers
representing different industry segments.
In this engagement, the manufacturer and global
key account manager from TÜV SÜD America
identified specific sites for the application of a
CFA strategy, including facilities in North America,
Europe, and Asia. The goal of the engagement
was to assess the impact of a CFA strategy on
improving customer satisfaction, audit-related
business interruptions, audit process effectiveness,
and the manufacturer’s internal integrated
management system. Data was collected for a
three-year period, from 2008 through 2010.
AREAS OF AUDIT FOCUS
The engagement design involved auditing the
following management and functional areas:
• Management Responsibilities: Governance
- Top management commitment, engagement,
and leadership
- Customer-specific management review
- Customer-specific internal audits CAPA
- Monitoring, measurement, analysis, and
review
- Periodic business reviews: action tracking and
closure
• Strategy and Policy: Formulation, deployment,
and communication
- Vision, strategy, planning, and implementation
alignment
- Organization structure and alignment with
customer
• Contractual Requirements: Review and
compliance
- Customer contract review and execution—
corporate
- Customer contract review and execution—
site level
- Conformance to customer contractual
requirements
• Conformance to ISO 9001 and Company’s Own
QMS Requirements
RESULTS OF THE ENGAGEMENT
During the three-year engagement period, the most
significant result was the reduction in the number
of noncompliance items found at production
sites utilizing the CFA strategy. Specifically, the
number of minor noncompliance issues identified
per audit day declined by 20% over the three-year
engagement period, from 1.0 to 0.80 findings. Even
more significant is the decrease in the number of
major noncompliance issues identified at CFA sites,
down 60% from an average of 0.50 per audit day in
2008 to just 0.20 per audit day in 2010.
Significant improvement was also observed in
audit effectiveness. For example, the number of
audit findings per audit day was 63% higher than
the typical ISO 9001 audit, and the number of non-
conformances per audit day was 129% higher.
The manufacturer also benefited from steady
reduction in the number of auditors involved.
From 24 auditors in 2008, TÜV SÜD America
used only 15 auditors in 2010. But fewer auditors
conducting more efficient audits are only part
of the story, since the reduction in the number
of auditors actually resulted in improved auditor
consistency, even while maintaining local auditor
representation for specific language and cultures
wherever possible.
These improvements clearly demonstrate the
effectiveness of a CFA strategy. In addition to
improving quality management system audit
effectiveness and reducing business interruptions
attributable to audits, the use of CFAs significantly
improved overall quality and compliance with audit
standards, as reflected in the reduced number of
noncompliance issues identified. More than just
a mechanism for assessing compliance, CFAs can
actually help drive sustainable improvements in
business processes and systems, contributing
to overall customer satisfaction and confidence
in the organization’s ability to meet customer
requirements
By design, CFAs typically require the involvement
of participants from multiple organizational
levels, from senior management and business
development to manufacturing site-level
personnel and other internal support professionals.
This multi-level involvement fosters greater
communication throughout the organization, an
improved understanding of the importance of the
audit process, and a greater commitment to the
quality goals of the customer. It also ensures a
prompt response to quality issues that require
remedial actions.
CONCLUSION
While results may vary from organization to
organization, CFAs can strengthen an organization’s
quality management system, reduce audit time,
minimize business interruption, and increase
the overall value of the auditing process. These
benefits can directly result in significant quality
improvements, and help to ensure compliance
with customer-specific requirements. In the
never-ending effort to win and maintain customer
satisfaction and loyalty, adopting a CFA strategy

4. TÜV SÜD E-ssentials
Vol. 1 May 2013
Page 4
Using Insight Auditing®
SWOT Analysis to Foster Business Excellence
Even in the best circumstance, the auditing of
an organization’s management system can be
disruptive, time-consuming, and an expensive
process for the organization involved. Internal
resources must be made available to deal with
Certification Body requirements and attention
is diverted from business-critical tasks. Beyond
these issues are the inevitable questions about
how to justify the time and expense involved in
the context of the larger business objectives of the
organization.
For years, organizations have successfully
used analytical tools such as SWOT (strengths,
weaknesses, opportunities, and threats) analyses
as a basis for the formulation of strategies and
objectives, and also to fully investigate and
evaluate the merits of specific initiatives. Now,
TÜV SÜD America has applied the mechanism
of the Insight Auditing®
SWOT analysis to the
auditing of a wide range of management systems.
The result is a robust auditing process that also
provides data to drive continuous business
improvement.
Insight Auditing® SWOT Analysis is an essential
part of TÜV SÜD America’s reporting and
communication of management system auditing
data. Provided with the standard report at the
conclusion of an audit, the Insight Auditing®
SWOT analysis presents in clear, understandable
terms the audit findings, and directly connects
them with specific areas of business significance
and risks. The Insight Auditing® SWOT Analysis
outlines a summary for follow-up actions that focus
future activity in those areas of greatest priority.
Over time, use of the Insight Auditing® SWOT
not only results in a more effective management
system but helps to connect such improvements
with the larger goals of the organization.
In this article, we discuss TÜV SÜD America’s
• Strengths: Characteristics of the organization or
business that give it an advantage over others;
• Weaknesses: Characteristics of the organization
or business that place it at a disadvantage
relative to others;
• Opportunities: Circumstances that provide an
opportunity to improve performance or increase
the likelihood of success;
• Threats: Circumstances that could hamper
success or endanger the organization or business.
Insight Auditing® SWOT analysis, and its
application in the reporting and communication of
management system auditing data.
WHAT IS A SWOT ANALYSIS?
A SWOT analysis is a tool that is typically used
in strategic planning to identify and evaluate the
various factors that may affect the efforts of an
organization or business to be successful. The
acronym SWOT stands for four separate aspects of
an organization’s characteristics or circumstances,
as follows:
can provide organizations with an important
competitive advantage.
TÜV SÜD America is an internationally recognized
testing, inspection, and certification organization,
with more than 750 experts operating in the
United States, Canada, and Mexico. This extensive
network makes TÜV SÜD America an effective
single source for organizations seeking expertise
in the certification and auditing of management
systems of all types. For additional information on
CFAs or other certification and auditing solutions,
visit www.tuvamerica.com/qmservices, or contact
TÜV SÜD Management Service at
info@tuvam.com. n
Figure 1: The Structure of a SWOT Analysis

5. Vol. 1 May 2013
Page 5TÜV SÜD E-ssentials
In strategic planning, a SWOT analysis can
either be used as a starting point for developing
an organization’s goals and objectives, or as
a mechanism for assessing the likelihood of
achieving goals and objectives. Additionally, in
the auditing of a quality management system
(QMS) or an environmental management system
(EMS), a SWOT analysis can be used to interpret
the significance and impact of audit findings on
the business as well as a tool to drive continuous
improvement.
HOW DOES INSIGHT AUDITING® SWOT
ANALYSIS DIFFER FROM ISO 9001
AUDITING?
ISO 9001 audits assess an organization’s
compliance with the standard requirements of ISO
9001 and other certification programs. All third-
party accredited registrars are required to comply
with the provisions of ISO 17021 when reporting
audit results. However, the similarity between
ISO 9001 reports and TÜV SÜD America Insight
Auditing® SWOT reporting ends there.
A typical audit report includes all audit findings,
including nonconformities and improvement
opportunities. Nonconformities are typically
written in standard ISO language, which may
impede full comprehension by personnel who work
outside of quality or environmental management
functions. The audit report is given to the
company’s “management representative,” who is
then responsible for addressing and closing out
nonconformities. Formal actions in connection with
improvement opportunities are seldom addressed.
By comparison, the TÜV SÜD America Standard
Audit Report (SAR) is designed to include five
different audit findings, as follows:
1. Best Practices
2. Positive Comments
3. Opportunities for Improvement
4. Minor Nonconformities
5. Major Nonconformities
Then, TÜV SÜD America also provides clients with
a Value Assurance Insight Auditing® SWOT report
at the time of closing meeting. This SWOT report
supports and enhances the value of the SAR in the
following ways:
• The SWOT report is a one-page, high-level
summary that translates the audit findings into
business focus items (BFIs);
• The report goes beyond a typical audit report to
include information that has potential business
impact and consequences, including:
- Strengths: Characteristics of the organization’s
QMS/EMS that give it an advantage over
others
- Weaknesses: Characteristics that place the
organization at a competitive disadvantage
- Opportunities: Areas where performance (e.g.
revenues, profits, operation excellence) can
be improved
- Threats: Areas within the QMS/EMS
environment that could place the operation
at risk
• The SWOT report is addressed to the client’s
senior management, and is written in non-
technical language to increase comprehension
and understanding.
With the additional information provided by
the Insight Auditing®
SWOT assessment, an
organization’s key decision makers have better
intelligence regarding the organization’s priorities,
and can make more informed decisions regarding
the allocation of resources required to improve
the overall business performance and minimize
potential risks. The Insight Auditing®
SWOT
assessment translates the audit findings from
the language of the standard into the language
of senior management, and identifies how the
findings affect the bottom line.
HOW CAN MULTI-SITE GLOBAL
ORGANIZATIONS USE INSIGHT
AUDITING®
SWOT ANALYSIS FOR
BUSINESS IMPROVEMENT?
To support today’s global demand for goods
and services, manufacturers have established
operations around the world to take advantage
of production economies and to supply customers
as efficiently and as cost-effectively as possible.
At the same time, quality-conscious customers
require a uniform level of product quality and
service, regardless of where a product is actually
produced. As such, manufacturers face a
significant challenge in achieving and maintaining
quality and consistency standards expected by
their customers.
The Value Assurance Insight Auditing®
SWOT
analysis is easily adaptable for use by global
companies with multiple locations. Results from
multiple locations within the scope of a single
registration can be consolidated into a single
SWOT report for an organization-wide assessment.
In addition to offering a platform for improvements
in an organization’s QMS/EMS, Insight Auditing®
SWOT reports can be integrated into an
organization’s overall strategic and business
planning effort. Because a SWOT report provides
a high-level view of an organization’s strengths,
weaknesses, opportunities, and threats, it offers
a powerful tool to improve not only quality and
environmental management systems but to drive
organizational excellence across the board.
CONCLUSION
While results will vary from organization to
organization, the use of an Insight Auditing®
SWOT analysis can strengthen an organization’s
quality and environment management systems,
and provide important data and support for
an organization’s overall strategic planning
effort. These benefits may include both process
improvements as well as the achievement of
a company’s financial and business goals and
objectives. In the never-ending effort to win and
enhance customer satisfaction and loyalty, the
adoption of an Insight Auditing®
SWOT strategy
can provide organizations with an important
competitive advantage.
TÜV SÜD is an internationally recognized testing,
inspection, and certification organization with
more than 17,000 experts operating in over 600
locations globally. This extensive network makes
TÜV SÜD America an effective single source for
organizations seeking expertise in the certification
and auditing of management systems of all types.
For additional information on TÜV SÜD America’s
Insight Auditing®
SWOT approach or other
certification and auditing solutions, visit www.
tuvamerica.com/qmservices, or contact TÜV SÜD
Management Service at info@tuvam.com. n

6. TÜV SÜD E-ssentials
Vol. 1 May 2013
Page 6
TÜV SÜD America Profile: Gurdeep S. Mahal
A 2012 study conducted by the U.K.’s Centre for
Economics and Business Research found that,
when evaluated against a broad array of metrics,
an effective quality management system directly
contributes to the success of an enterprise.
Further, according to the study, one dollar invested
in quality management typically yields a six-fold
return in revenues and 16-fold reduction in
expenses. Given such promise, it’s easy to see
why companies and corporations around the world
are embracing the science of quality management
and implementing programs that focus on
continuous improvement.
But while the benefits of a quality management
system are clear, the actual task of implementing
and maintaining a certified quality management
program can be challenging. The implementation
process is rigorous and time-consuming. In
addition, addressing the auditing requirements of
ISO 9001 along with those of other management
systems, such as environmental (ISO 14001)
and energy management (ISO 50001), without a
strategic approach can result in duplicate activity.
TÜV SÜD America is a premier service provider
of auditing and inspection services addressing
a range of management systems. As ISO 9001
Technical Product Manager and certified lead
auditor, Gurdeep Mahal knows from first-hand
experience the benefits of ISO 9001 certification,
as well as the challenges facing companies
seeking to improve the quality of their products
and processes.
Mahal recently spoke with Management Service
E-ssentials about the benefits of effective
quality management programs, methods of
streamlining compliance activities, and the quality
management systems auditing and inspection
services that TÜV SÜD America provides to
industry.
(Management Service E-ssentials): The
evidence clearly indicates that an effective
quality management system (QMS) can provide
companies with lasting improvements and a
real return on investment. Share with us your
views about the benefits of implementing and
maintaining a quality management system.
(Gurdeep Mahal): An ISO 9001-based QMS
provides a number of benefits. First, it increases
the value of an organization’s activities by
evaluating critical processes for effectiveness and
identifying potential improvements. Second, a
QMS fosters a culture of continuous improvement
and supports an organization’s effort to meet
the needs and expectations of its customers.
And, finally, a well structured QMS provides
an operational framework that supports the
achievement of targeted business objectives and
results.
(MSE): Aside from the potential financial return,
what are some of the other benefits?
(GM): A QMS also provides a common platform
on which an organization’s senior management
team can effectively communicate their strategies,
values, and priorities to employees, so that
resources are allocated in the most cost-effective
and efficient manner possible.
(MSE): Most of us assume that only
manufacturing companies can benefit from
implementing a quality management system. Can
you tell us about non-manufacturing settings
where companies have successfully implemented
quality management systems?
(GM): Successful service businesses require the
same dedication to quality as hardware product
certified companies. Some of the world’s largest
service industries have instituted ISO 9001-based
QMS systems in a variety of specific service-
related business, including product development,
engineering, translation, transportation and
delivery, customer service, human resource
management, and education and training, to
name just a few. In every case, the goal is finding
an approach that improves quality and increases
value for the customer.
(MSE): How does a company’s size and number
of locations affect the decision to implement a
quality management system?
(GM): Actually, the best approach for any
company is to design, develop, and implement a
QMS that most closely matches their business,
the activities in which they are involved, and the
complexity of those activities. Some of the issues
to consider include:
• The number of employees
• The company’s structure (a single division or
multiple divisions)
• Geographic locations (a single site or many
sites in different locations)
• The nature of the company’s products or
services
• The complexity of the production and
distribution processes used
• The extent to which QMS principles are
already in place
(MSE): From your perspective, what are the key
stumbling blocks encountered by companies
seeking to implement an ISO 9001-based quality
management system? What steps can companies
take to ease the implementation process?
(GM): Companies typically encounter problems
around the following issues: 1) inadequate
resources; 2) lack of clarity around the
“ownership” of the QMS and specific aspects of

7. Vol. 1 May 2013
Page 7TÜV SÜD E-ssentials
its implementation and management; 3) lack of
management engagement; and 4) building a QMS
that’s more complicated than it needs to be.
Overcoming these challenges requires
the full engagement of an organization’s
senior management in the development and
implementation process, sufficient resources to
complete the implementation and maintain the
program, clarity and transparency about who is
responsible for what, and a primary focus on what
tasks, activities, and metrics will be most directly
useful in achieving the objectives of the QMS
program.
(MSE): The compliance audit is probably the most
anticipated challenge for companies with an ISO
9001-compliant quality management system. In
your experience, what are the most common
mistakes that companies make in preparing for an
audit?
(GM): Most often, companies preparing for an
audit will generate reams of documentation
instead of addressing root-cause issues for the
nonconformities that may have been identified by
auditors in the past. In my experience, companies
with the best QMSs require little or no special
preparation in advance of an internal or external
audit. Their QMS programs should be working as a
normal part of day-to-day operations for the benefit
of the company, and not to satisfy auditors.
(MSE): What are some of the key best practices in
preparing for a compliance audit?
(GM): As I’ve already mentioned, I believe that the
best approach is to develop a QMS that becomes
an integral part of a company’s day-to-day
business. QMS management reviews and internal
audits should be routinely conducted, and action
items should be addressed promptly. Making QMS
adherence part of the daily routine will minimize
audit preparation, and speed the audit process.
(MSE): What synergies, if any, are available
to those companies that maintain multiple
management systems (i.e., quality, environmental,
energy, etc.) in a single environment?
(GM): International standards organizations
have made a significant progress in recent years
to align the governing framework and technical
requirements for different management systems
standards, including those covering quality, the
environment, energy use, safety and social
responsibility. Common elements now include
management policy, objectives, documentation,
record-keeping requirements, process controls,
and auditing protocols. This alignment allows
organizations to integrate various management
systems activities into a single, all-encompassing
program that reduces duplicate efforts and
streamlines the implementation, monitoring, and
auditing processes.
(MSE): How is TÜV SÜD America uniquely
positioned to provide information that companies
can use to implement and maintain an effective
quality management system?
(GM): We know that successful organizations
seek management system certification to help
them fulfill essential business needs. Our Insight
Auditing®
SWOT analysis is a unique, business-
centric approach to auditing and an essential
value-added component of our services. Our
Insight Auditing®
SWOT analysis presents audit
findings in clear, understandable terms, identifies
specific areas of business risk, and proposes
specific activities to address priority risks. This
information not only results in a more effective
management system but also directly connects
system improvements with the business goals of
the organization.
(MSE): Why should companies choose TÜV SÜD
America as their quality management system
partner?
(GM): TÜV SÜD has a global presence, with
operations in more than 30 countries around the
world. We also have extensive experience in every
aspect of system and product certification in a
diverse range of industries. Our global presence
along with our broad expertise positions us as a
single resource for certified companies, regardless
of their size.
For additional information on TÜV SÜD America’s
Insight Auditing®
SWOT approach or other
certification and auditing solutions, visit www.
tuvamerica.com/qmservices, or contact TÜV SÜD
Management Service at info@tuvam.com. n
“The contribution of quality management to the UK economy,”
Report for the Chartered Quality Institute and Chartered
Management Institute, prepared by the Centre for Economics
and Business Research, June 2012.
Accessed 16 March 2013, http://www.managers.org.uk/
sites/default/files/u54973/Quality_Management_CQI_CMI_
June2012_0.pdf.
“OUR INSIGHT AUDITING®
SWOT ANALYSIS IS A UNIQUE, BUSINESS-CENTRIC APPROACH TO AUDITING
AND AN ESSENTIAL VALUE-ADDED COMPONENT OF OUR SERVICES.”

8. TÜV SÜD E-ssentials
Vol. 1 May 2013
Page 8
Using the Plan-Do-Check-Act for effective
management system implementation makes
good business sense. The challenge that many
companies face is how to minimize their overhead
while maximizing their bottom line. The profits
come from the doing, but the planning, checking,
and, acting also consume the resources of an
organization.
The TÜV SÜD Insight Auditing®
SWOT Analysis
approach brings a value-based, balanced methodology
to the audit process. We take the traditional SWOT
(strengths, weaknesses, opportunities, and threats),
and through its use and presentation, compliment
traditional audit reporting. Further, through the
use of the SWOT, we are able to report the audit
results in a familiar and beneficial summary to
executive management, translating audit findings
from “ISO speak” into the language of your
business.
THE METHODOLOGY
Expanding the focus from the findings, the SWOT
analysis offers a gradient summary of the holistic
performance of the management system. Through
the incorporation of the quadrants, there is a
clearer representation of the bigger picture and the
potential impact to your organization. Those items
that may have narrowly escaped the actual findings
are presented as either Opportunities or potential
Threats. There may also be cases where the actual
requirements are satisfied, however there is a
perceived weakness that warrants the attention of
the organization.
The SWOT analysis is a complimentary communication
tool for your organization to use while reviewing
the performance of the management system for
targeting future goals and objectives, and as a
baseline measure for continual improvement
initiatives.
THE CHALLENGE
The subject manufacturer provides design,
Driving Business Excellence with Insight Auditing®
SWOT Analysis: A Case Study
manufacturing, customer support, and management
services to companies in a range of industry
sectors, including aerospace, automotive,
consumer products, defense, electronics, industrial,
medical, and telecommunications. This multi-billion
dollar organization operates more than 50 facilities
in more than 20 countries, employing more than
80,000 people worldwide.
In this engagement, the objective was to conduct
an Insight Auditing®
SWOT analysis for each
audited site. Once these facility-focused SWOTs
were completed, they were consolidated into a
single, corporate-level SWOT, which was then
reviewed at the manufacturer’s senior management
annual meeting as part of its global planning
efforts.
The engagement involved auditing and reporting on
key management and functional areas. Data was
collected for four years, from 2008 through 2011.
During this period, progress in the four aspects
of SWOT was tracked for both the manufacturer’s
QMS (ISO 9001) and its EMS (ISO 14001).
THE OUTCOME
The use of the Insight Auditing®
SWOT analysis,
combined with TÜV SÜD America’s Customer Focus
Auditing (CFA) strategy, resulted in significant
improvements in all targeted areas. Equally
important, the Insight Auditing®
SWOT analysis
methodology enabled the manufacturer to track
key SWOT findings over time, and to measure
improvement in strategic areas of the business.
This approach led to the achievement of a number
of significant accomplishments, as follows:
• A significant shift in senior management
engagement, from simple “commitment” to
actual “active engagement;”
• A restructuring of the manufacturer’s global
quality organization, with a new global QA
organization now in place;
• Development and implementation of processes
to enhance customer satisfaction and build
customer loyalty; results demonstrated clear
improvement;
• Improved operational excellence, with hard
and soft cost-savings validated by corporate
accounting;
• Major improvements in customer contract
review at local and corporate levels;
• An overhaul of local and global internal audits
process, with effectiveness verified by third-
party audits.
These improvements clearly demonstrate the
effectiveness of an Insight Auditing®
SWOT
analysis in the reporting of QMS/EMS results. In
addition to improving QMS system audit reporting
and the effectiveness of communications around
audit results, the use of an Insight Auditing®
SWOT significantly improved overall quality and
compliance with audit standards, as reflected in the
reduced number of noncompliance issues identified.
THE BENEFITS
More than just a mechanism for reporting and
communication of audit results, Insight Auditing®
SWOT can drive sustainable improvements in
business processes and systems, contributing
to overall customer satisfaction and confidence
in an organization’s ability to meet customer
requirements. Another benefit is that it reaches a
broader audience by appealing to the language of
senior management, addressing systemic behaviors
that affect the bottom line.
While results vary from organization to organization,
an Insight Auditing®
SWOT analysis strengthens
an organization’s quality and environment
management systems while also, supporting an
organization’s overall strategic planning effort. The
benefits can include both process improvements
and the achievement of a company’s financial and
business goals and objectives. Finally, adopting
an Insight Auditing®
SWOT strategy can provide
organizations with an important competitive
advantage.
TÜV SÜD America is an internationally recognized
testing, inspection and certification organization
with more than 17,000 experts operating in over
600 locations globally. This extensive network
makes TÜV SÜD America an effective single
source for organizations seeking expertise in the
certification and auditing of management systems
of all types. For additional information on TÜV
SÜD America’s Insight Auditing®
SWOT approach
or other certification and auditing solutions, visit
www.tuvamerica.com/qmservices, or contact TÜV
SÜD Management Service at info@tuvam.com. n

9. Vol. 1 May 2013
Page 9TÜV SÜD E-ssentials
DISCLAIMER
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the information in this newsletter is not intended to constitute consulting or professional advice or services. If you are seeking advice on any matters relating to information in
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Inc.
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Management Service Webinars from TÜV SÜD America
AUDITING FOR THE SUSTAINED SUCCESS OF AN ORGANIZATION
This webinar provides a general understanding of how the auditing process can be used to ensure compliance with quality management and environmental
management systems standards, and to maintain the “sustained success of an organization,” as defined in ISO 9004:2009. The webinar will also discuss ISO
19011 standard for conducting internal and external audits.
SWOT CONCEPTS, VALUES, AND PROCESS
Businesses and other organizations frequently apply the principles of SWOT (strengths, weaknesses, opportunities, and threats) analysis in developing
strategies and goals. This webinar discusses the use of the SWOT analysis in the auditing of management systems, and how SWOT can lead to the
development of actions that complement the long-term strategy of the business.
EFFECTIVE ROOT-CAUSE ANALYSIS, CORRECTIVE AND PREVENTATIVE ACTIONS
This webinar offers an in-depth review of the essential elements of an effective Corrective and Preventative Actions (CAPA) process, including root-cause
analysis techniques. Participants will also learn effective problem-solving techniques and how to address audit “nonconformities.”
ISO 9001: 2008 AND ISO FAMILY STANDARDS—FREQUENTLY ASKED QUESTIONS
This webinar provides a general understanding of ISO 9001, ISO 9004, and other ISO family standards through an easy-to-follow “frequently asked questions”
format. Questions presented in the webinar have been collected by ISO Technical Committees, and clear and concise answers have been developed by experts
and users of the ISO 9000 series of standards.
ISO 9001: 2008 OVERVIEW—THE ESSENTIAL CHANGES YOU NEED TO KNOW
In this webinar, participants will receive an overview of ISO 9001, as well as specific information related to the changes introduced in ISO 9001: 2008. The
webinar is intended for professionals involved in the implementation, maintenance, and auditing of an ISO 9001-compliant quality management system.
UNDERSTANDING, KNOWLEDGE, AND AWARENESS OF ISO 9004: 2009
ISO 9004 provides guidance on how an organization can use a management system approach to achieve sustained business success. This webinar will discuss
the concept of “sustained success” and how ISO 9004 can be applied to achieve a balanced approach in improving business processes, and in meeting the
needs and expectations of customers.
As leaders in management systems certification and auditing, TÜV SÜD America offers a wide range of technical and educational resources for managers and
other industry professionals. In addition to our Management Service E-ssentials eNewsletter, we offer a number of on-demand webinars, which are listed below
or available at our website at www.tuvam.com/tuvnews/webinars.cfm.