Procedure Quarterly Reviews

By: Andrea Nelson

What is it?

• There are four quarters in a calendar year at EMC.1st quarter: January – March2nd quarter: April – June3rd quarter: July – September4th quarter: October – December

• Every year all procedures listed on the Policy and Procedure Website are up for review according to the quarter they were either reviewed/implemented in the previous year.

• The purpose of this is to keep all procedures up to date and get rid of those that are no longer needed.

The basics

• A basic and quick outline of how this process works:– Send out emails to the individuals responsible for the review

of the procedure.– Wait for their feedback.– Send weekly updates to the individual responsible for the

upkeep of the procedures as you are provided the proper feedback.

– Send out emails reminding people that they have a procedure up for review every two weeks until you hear back from them.• After three notifications have been sent out and have gone without

response, the notifications will escalate (see slide 8 for an example).

Reports• In order to send out messages you will need a spreadsheet report with all of the

procedures that are up for review that quarter.

• These reports can be located in DCS (Document Control System). If you do not have access to this you will be provided with the report.

• The report will be broken down into two sections when you receive it. The first section is the NON GMO procedures and the second section is the GMO procedures.

• GMO and NON GMO Procedures must be separated because they follow different guidelines. Specific people are responsible for making the proper updates as the reports come back (for example, while one person is responsible for creating ECOs to reflect the updates made to GMO procedures, another person is responsible for creating the ECOs for the NON GMO procedures).

On the spreadsheet• The spreadsheet that you will be provided with will have five specific categories. These

categories are needed for sending out the emails to those responsible for the review of the procedures:– Doc Name– Doc Title– Last Reviewed– Func. Owner– Contact

*Note: Spreadsheet is set up alphabetically according to the contact

Sending out e-mails• Your next step will be to send out e-mail messages to the contacts that are given with each

procedure.• To do this you will need to copy and paste from the excel spreadsheet:

– The gray column at the very top of the spreadsheet that says “Doc Name/ Doc Title/ Last Reviewed/ Functional Owner/ Contact”

– As well as all of the information that is given with each contact.• For example:

• You will want to copy and paste the gray bar along with the row that has all of Boris Shusterman’s procedure information and paste it into a blank email.

Sending out e-mails cont.• The emails will be sent out in two separate formats. Someone will be responsible for the upkeep of

the GMO procedures and another person will be responsible for the NON GMO procedures.

• In the emails you send out, following the section that is pasted from the Excel spreadsheet will be the following message:

As required by Sarbanes Oxley, and/or corporate policy # 151, all procedures are to be reviewed annually. According to our records, you are responsible for one or more of these procedures. Attached is a list of all the procedures due for review this quarter. Please review the list.

•

• - If the document is still correct, you must reply to (PERSON RESPONSIBLE) via e-mail, so the new review date is recorded. You are not • required to revise the document as a result of a review, but the review must be recorded. • - If the document is no longer your responsibility, or needs to be scrapped, notify (YOUR NAME/PERSON RESPONSIBLE)• - If the document needs to be revised, you have this quarter to revise it and send the updated document to (YOUR • NAME/PERSON RESPONSIBLE) for processing.• • Please kindly respond to us in two weeks, we appreciate your prompt attention to this issue.(If the procedure needs updates, just let me know this

information, then you have the whole quarter to modify it) • • • You could find your procedure through the link below:• http://www.cq.isus.emc.com/apm/policyappendix.cfm• • Thank you!• (YOUR NAME/PERSON RESPONSIBLE)

• NOTE: For “your name/person responsible” you will provide the name of the individual from Softtek that is sending out the messages.

Sending out e-mails cont.• After sending three notifications to an individual and not receiving a response the

notification will read the following:

• Hi - (PERSON(S) RESPONSIBLE) have/has sent several messages to you regarding the status of the following policies/procedures, you have not responded. We require your input by (DATE).

• - If the document is still correct, you must reply to me via e-mail, so the new review date is recorded. You are not • required to revise the document as a result of a review, but the review must be recorded. • - If the document is no longer your responsibility, or needs to be scrapped, notify (YOUR NAME/PERSON RESPONSIBLE)• - If the document needs to be revised, you have this quarter to revise it and send the updated document to (YOUR • NAME/PERSON RESPONSIBLE) for processing. • • You could find your procedure through the link below:• http://www.cq.isus.emc.com/apm/policyappendix.cfm• • I appreciate your prompt attention to this issue.

• Thank you,• (YOUR NAME/PERSON RESPONSIBLE)

• NOTE: The subject line of the email should read: Need your response by (DATE). • Also, you should mark the email “Urgent”

Examples of e-mails• Here is an example of what the e-mail

message will look like:

• Here is an example of what the e-mail message will look like after three messages have gone unanswered:

After e-mails are sent

• Once you’ve gone through the entire report and have sent out emails to all of the contacts on the spreadsheet you will need to wait for people’s feedback.

• You will find that people will respond with the following:

1) The document is still correct and fine as is.2) The document is no longer their responsibility3) The document can be scrapped4) The documents needs to be revised / updated.

Responses• As you get responses from people you will need to keep an organized version of

the reports on a spreadsheet and send it to the person responsible for updating DCS every Wednesday.

• You should break the spreadsheet down into the four different response categories (The document is still correct and fine as is; The document is no longer their responsibility; The document can be scrapped; The documents needs to be revised / updated)

• You can do this by separating each with a different color. For example, all that are fine as is could be highlight blue, all that can be scrapped can be highlighted green, all that need an update can be highlighted red and so on.

• *Note: Dates must reflect response date of the individual functional owner.• Please see next slide for a picture example of organizing these by color

Organization of responses

How to handle responses

• For each of the four different response categories (document is correct, document is no longer their responsibility, the document can be scrapped, or the documents needs to be revised / updated), once you have received the proper response and you have separated them by color (as mentioned in the previous slide), you will send the spreadsheet, along with the email responses, to the person responsible for the upkeep of the procedures.

• Please see the following slides for guidance.

How to handle responses continued• When someone responds to your email you will need to update the

spreadsheet to show that you have received their response.– You should then attach the email you received saying the document is

fine into the spreadsheet next to the line of their procedure information.• To add an email into a spreadsheet:

– You need to save the email (file, save as Rich Text Format; .rtf)– Open the spreadsheet and go to the “Insert tab”– Find the “Object” tab, this will say “Insert Object” when you hover

your mouse over it

How to handle responses continued• You then must click on the “create from file” tab • Select “browse” and click on the email you would like to add• Click on the box that says “Display as icon” and then hit “Ok”

• You will see the icon appear on the spreadsheet. You can change the size of the icon to fit in the spreadsheet area

When the document is fine as is

• When someone responds to your email saying that the procedure is fine and requires no changes:– You need to update the spreadsheet to show that

you received the response (sort by color as mentioned in slide 9)

– Save the email response and insert it into the spreadsheet (as mentioned in previous slide)

Not their responsibility

• When someone responds saying that the procedure is no longer their responsibility you should reply asking them to suggest who the new contact is.

• You should also document this in the spreadsheet (sort by color and attach email)

• Once they give you the name of the new contact you should send an email to that person asking them to review the procedure and get back to you with the current status of the procedure

The document can be scrapped (NON GMO)

• If someone responded to your email saying that the document is no longer required and can be scrapped/is obsolete if the procedure is a NON GMO:

• You should update the spreadsheet (sort by color and attach email).

• The person responsible for upkeep from here will take care of creating the ECO to scrap the procedure.

The document can be scrapped (GMO)• If the functional owner of the procedure responded to your email saying that the document

is no longer required and can be scrapped/is obsolete if the procedure is a GMO:• You should update the spreadsheet (sort by color and attach email).• You need to respond to their email by sending them a blank Pre-Windchill Approval Form

(which is attached below). They need to fill out this form and get the proper approvals as the procedure is GLOBAL.

• Please do NOT send the spreadsheet to the person responsible for the upkeep until you have received the completed Pre-Windchill Approval Form.

• When you receive the completed form you should attach it to the spreadsheet (just like you would for an email response).

• The person responsible for the upkeep will take care of the procedure from here; they will create an ECO to scrap the procedure.

• For the background on the Pre-Windchill Approval Form please see the attached document “GMO-MQA012”

• Pre-Windchill Approval Form: GMO-MQA012:

Microsoft Office Word 97 - 2003 Document

Microsoft Office Word 97 - 2003 Document

The document needs updates (NON GMO)

• Very similar to the process followed for scrapping a NON GMO procedures:

• You should update the spreadsheet (sort by color and attach email).

• The person responsible for upkeep from here will take care of creating the ECO to scrap the procedure.

The document needs updates (GMO)• If someone responded to your email saying that the document is in need of

updates and if the procedure is a GMO:• You should update the spreadsheet (sort by color and attach email).• You need to respond to their email by sending them a blank Pre-Windchill

Approval Form (which is attached below). They need to fill out this form and get the proper approvals as the procedure is GLOBAL.

• Please do NOT send the spreadsheet to the person responsible for the upkeep until you have received the completed Pre-Windchill Approval Form.

• When you receive the completed form you should attach it to the spreadsheet (just like you would for an email response).

• The person responsible for the upkeep will take care of the procedure from here; they will create an ECO to scrap the procedure.

• For the background on the Pre-Windchill Approval Form please see the attached document “GMO-MQA012”

• Pre-Windchill Approval Form: GMO-MQA012:Microsoft Office

Word 97 - 2003 DocumentMicrosoft Office

Word 97 - 2003 Document