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INTEGRATED MANAGEMENT SYSTEMISO 9001 + ISO 14001 + OHSAS 18001SHERQ Management Framework
Risk based Integrated Management System of:ISO 9001:2008ISO 14001:2004 &OHSAS 18001:2007
Implementing PAS 99
General Requirements (PAS 99)
1.0 General requirements
1.1 The organization shall document the scope of the management
system and the management system standards/specifications to which
it subscribes (ISO 9001/ISO 14001/OHSAS 18001).
1.2 The organization shall establish, document, implement, maintain
and continually improve the management system in accordance with
the requirements of this integrated management system
standards/specifications to which it subscribes. (ISO 9001/ISO
14001/OHSAS 18001)
General Requirements (SHERQ)
1.3 In order to meet its declared policies and objectives, the organization shall:
a) Determine the processes needed for the implementation, operation and
maintenance
b) Determine the sequence and interaction of these processes
c) Determine methods needed to ensure that both the operation and control of
these processes are effective;
d) ensure the availability of resources and information necessary
e) monitor, measure and analyse these processes, and implement actions
necessary to achieve planned results and continual improvement of the
organization’s overall performance.
POLICY REQUIREMENTS POLICY REQUIREMENTS
Policy Requirements (PAS 99)
Demonstrates formal commitment of top management towards good QHSE MS.
Basis for establishing and reviewing objectives Commitment to comply with
- Customer requirements- applicable legal requirements- Prevention of pollution- Prevention of injuries and ill health- Continual improvement
Communication to all interested parties and Reviewed periodically
Planning02
Hazard Identification and Risk AssessmentIdentification of Environmental AspectsObjectives & Targets Management Programs
Hazard Identification & Risk Assessment
Hazard Identification: process of recognizing that a hazard exists
and defining its characteristicsRisk Assessment:process of evaluating the risk(s) arising
from a hazard(s), taking into account the adequacy of any existing controls, and deciding whether or not the risk(s) is acceptable
Environmental Aspect and ImpactAspect Identification: process of recognizing element of an
organization's activities or products or services that can interact with the environment
Impact Assessment:process of evaluating change to the
environment, whether adverse or beneficial, wholly or partially resulting from an organization's environmental aspects, and deciding whether it is significant or not
Failure Mode Effect Analysis
Failure Modes: process of recognizing potential failure modes
of an organization's activities or products or services against the Product or Process characteristics
Effect Assessment:process of evaluating the defect arising on the
product or process due to failure, and deciding whether it is fit for use or not
RISKRISKRISKRISK
CONSEQUENCECONSEQUENCE(Consequence Analysis)(Consequence Analysis)CONSEQUENCECONSEQUENCE(Consequence Analysis)(Consequence Analysis)
FREQUENCYFREQUENCY(Frequency Analysis)(Frequency Analysis)FREQUENCYFREQUENCY(Frequency Analysis)(Frequency Analysis)
PROBABILITYPROBABILITYPROBABILITYPROBABILITYEXPOSUREEXPOSUREEXPOSUREEXPOSURE
Risk Based Approach
OBJECTIVES & TARGETS OBJECTIVES & TARGETS
OBJECTIVES & TARGETS
Objectives are goals in terms of QHSE performance that an organisation set itself to achieve.
Objectives are long term and more generic than targets
Target is a detailed QHSE performance requirement derived from objectives and are used to achieve these objectives.
Targets are intermediate steps and work done to achieve objectives
The IMPs are the “Action Plans” or
“Programs” for achieving the objectives &
targets
Including:
Personnel responsible for action
Time frames and target dates
Management Programs
IMPs - Example
Aspect / Risks
Objective Target Performance Indicator
Progress Responsibility
Time Frame
Gas/ Diesel Usage
Reduce Consumption of Fuel
10% Reduction in Fuel Consumption by 2010
Fuel Consumption Reports
Determine Usage of Diesel Gas for first 6 months of 2010
ABC July 2010
Plot study of Usage Patterns XYZ Aug 2010
Actions for Vehicle Usage Optimization
ASD Oct 2010
Formal Action for improving efficiency
ASD Dec 2010
Develop, Document and Train on Operating Procedure from Action Plan
XYZ Jan 2011
Tracking of Fuel Consumption after Action Plan implementation
ABC July 2011
Legal Requirements, Resources
03
Legal RequirementsIdentification of ResourcesRoles and Responsibilities
Legal & Other RequirementsIdentify all (Hazardous) processes and
environmental aspects in your work area Determine applicable legislation and specification
requirements applicable to your processes and make a legal register
(Evaluate current compliance – auditDo a gap analysis – What do we have, what do we
need.Involve legal advisors to assist with compliance
assessments.)Revise current procedures to include requirements.Review the requirements at defined frequency
RESOURCE MANAGEMENTRESOURCE MANAGEMENT
Resource Management
Determine required resources based on the requirements
Determine availability of required resources
Develop procedures for implementing, maintaining and improving current resources.
Make a preventive maintenance plan Generate a training needs analysis on
current human resources
ROLES, RESPONSIBILITIES, AUTHORITY AND
ACCOUNTABILITIES
ROLES, RESPONSIBILITIES, AUTHORITY AND
ACCOUNTABILITIES
Roles, Responsibilities, Accountability and Authorities
Roles, Responsibilities, Authority and Accountability shall be defined, documented and communicated in order to facilitate QHSE management system
Top management shall appoint in writing, persons (Management Representative) responsible for ensuring that EMS, OH&S and Quality systems are established and will also be responsible for communicating back to top management on the performance of these systems
Roles, Responsibilities, Accountability and Authorities – example (MR)
1. Coordinate with TM for Management reviews. GM, All DH Preparation of minutes
2. Establishing, implementing, & maintaining structure of QHSE management systems.
GM, All Change structure of OH&S management systems
3. Document control. GM, All Verify all documents in
4. Plan and implement Internal Audit. GM, All Conduct Internal audit
5. Corrective actions on system non-conformities. GM, All Follow-up of corrective action
6. Control of Records. GM, All Verify all records.
7. Liaison with Certification body / external body. GM, Certification body Co-ordinate
8. To identify training needs and Implement & verify training effectiveness.
GM, All DH Decide on training needs and provide
9. Identify Preventive Action. All Initiate preventive action
10. Monitoring of QHSE process performance. GM, All DH Reporting to GM about status
11. Internal Communication System. GM, All DH Establish and Monitor
12. Promotion of awareness of interested party requirements throughout the organization.
GM, All DH Conduct training programmes
13. I MS Planning. GM, All DH To assist GM
14. Control of applicable laws. GM To control
Sr. No
ROLES & RESPONSIBILITIES &ACCOUNTABILITY Interface With Authority
Communication & Training04
CommunicationConsultation & ParticipationTraining
Communication
As per standard Top management shall ensure that the : QHSE policy is communicated and understood within
the organization Roles, responsibilities, authorities & accountability Communication of OH&S Hazards, Significant aspects
and applicable Legal Requirements to Employees, Contractors, Visitors & interested parties with training on handling safely.
Customer Communication Communication of Purchasing information to the
Supplier. Communicating Work Instructions to Employees. Setting up Internal & External Communication
systems.
Participation & Consultation
The organization shall establish, implement and maintain a procedure(s) for:
the participation of workers by their: Consultation with contractors where there are
changes that affect their OH&S. The organization shall ensure that, when appropriate,
where relevant external interested parties are consulted about pertinent OH&S matters.
Appropriate involvement in hazard identification, risk assessments and determination of controls;
Appropriate involvement in incident investigation; Involvement in the development and review of OH&S
policies and objectives; Representation on OH&S matters.
Participation & Consultation
Employee Direct participation & consultation:
Daily Department meetings
QHSE Committee meeting
Suggestion schemes
Incident investigation
COMPETENCE, TRAINING AND AWARENESS
Every Employee can have a potential impacts on the QHSE
Competence of Every Employee is required for implementation of the QHSE Management System
Any Employee can have good ideas about how to improve QHSE management system for which the required Awareness is necessary.
Training is important for all the Employees for awareness regarding QHSE Management System and his roles and responsibilities and activities making significant impact.
Training is just one element in establishing competence, which is typically based on combination of education, experience, skills and training
COMPETENCE, TRAINING AND AWARENESS
Developing a Training Program
1. Assess training needs and requirements
2. Define training objectives
3. Select suitable methods and materials
4. Prepare training plan (who, what, when, where, how)
5. Conduct training
6. Track training (and maintain records)
7. Evaluate training effectiveness
8. Improve training program as needed
Documentation05
DocumentationControl of Documents
HIERARCHY OF DOCUMENTS
Level I
Level II
Level III
Level IV
DOCUMENTATION APPROACH
Q H S E
Documentation Approach
Documenting Work Procedure - for example machine
maintenance:
OH&S: Wear your PPE, Use the permit to work, isolate the machine
Product: Ensure machine is cleaned, set up for quality critical to quality parameters
Environmental: Don’t throw the oil down the drain etc.
Goal: One stop shop document for each process and task.
CONTROLLED DOCUMENT
A Document that is subjected to processes that provide for the positive control elements of content,
revision,
publication,
distribution,
availability and
retention.
Operational Control & Emergency
06
Operational ControlEmergency Preparedness and Response
OPERATIONAL CONTROLS
Means by which the organization prevents
product conformity, harmful events and
pollution and manage OH&S risks from
operations is known as OPERATIONAL
CONTROLS
OPERATIONAL CONTROL
The organization shall identify and plan those operations that are associated with
1.The identified significant environmental aspects consistent with its environmental policy, objectives and targets,
2.The identified hazard(s) where the implementation of controls is necessary to manage the OH&S risk(s)
3.quality objectives and requirements for the product realization;
4.controls related to purchased goods, equipment and services;
5.controls related to contractors and other visitors to the workplace;
OPERATIONAL CONTROL
In order to ensure that operational controls, as applicable to the activities;
• stipulating the operating criteria to control all the operations (monitoring and measurement, controls and maintenance)
• establishing, implementing and maintaining a documented procedure(s) to control situations where their absence could lead to deviations from the QHSE policy, objectives and targets,
• communicating applicable procedures and requirements to suppliers, contractors and visitors
OPERATIONAL CONTROLS
SUPPLIER / CONTRACTOR MANAGEMENT
Purchase and transfer of goods and services and use of
external resources
Approval to purchase or transfer hazardous chemicals,
material and substances
Availability of documentation for safe handling of machinery,
equipments, materials, or chemicals at time of purchase, or the
need to obtain such documentation
Evaluation, and periodic re-evaluation of the
performance/competence of Supplier
Approval of the design for any new plant or equipment
EMERGENCY PREPAREDNESS AND
RESPONSE
EMERGENCY PREPAREDNESS AND
RESPONSE
DEFINITION OF AN EMERGENCY
An emergency is an abnormal situation, which arises as a result of or during the course of working operations and demands a high level of activity to normalise the situation and control the loss severity.
ACTIONS TO TAKE DURING AN EMERGENCY
Raise the alarm. Stay calm. Assess the situation. Follow instructions. Ensure your fellow workers are also aware of the
emergency. Proceed to a place of safety, which could be a
predetermined assembly point, or if underground, a refuge bay.
Help fellow workers in need. Ensure the supervisor or an official is aware of the
situation. Don’t simply go home. Await roll call. Render whatever help and assistance you can if required
or instructed.
Goal: To reduce losses due to emergency by quicker response
TYPES OF EMERGENCY TEAMS
Fire and rescue teams First Aid Team Search and rescue teams HAZMAT Team Security teams Communication Team
Monitoring & Measurement
Monitoring and Measurement1. Identify key characteristics and develop
process for tracking to show Process performance and operational controls.
2. Develop method for monitoring conformance with operational controls.
3. Develop method for tracking progress towards achievement of objectives and targets.
4. Develop method for Calibration and Maintenance
NON-CONFORMANCE CORRECTIVE AND
PREVENTIVE ACTION
NON-CONFORMANCE CORRECTIVE AND
PREVENTIVE ACTION
Non conformance
Non Conformance: Non-fulfilment of a requirement
NOTE A nonconformity can be any deviation from:
relevant work standards, practices, procedures, legal requirements, etc.
QHSE management system requirements.
47
Non-Conformance
Identify Non-conformance through routine inspection, monitoring, audit findings, trend analysis, complaint, employee comments, experience
48
A deficiency that seriously impairs the effectiveness of the IMS
Examples:An element of IMS not implementedProcedures not developed or not implementedFailure to take corrective or preventive actionSeveral minor non-conformances
What is major Non-conformance ?
49
What is a Minor Non-Conformance?
A minor deficiency that does not seriously impair the effectiveness
of the IMS
Examples: One or a few individuals (out of many) do
not use a procedure correctly Procedure needs minor changes to be
effective One or a few records incomplete
50
Non-Conformance Investigation
Use the investigation procedure to investigate the cause of the problem.
The goal of the analysis is to determine the root as well as contributing causes.
This process involves: Collecting relevant data. Investigating all possible causes, and Using the information available to
determine the cause of the problem.
51
What are Correctiveand Preventive Actions?
Corrective action fixes action to eliminate the causes of nonconformities in order to prevent recurrence. (e.g., repair a leaking valve)
Preventive action is designed to eliminate the causes of potential nonconformities in order to prevent their occurrence. (e.g., improved maintenance procedures)
Effective corrective and preventive actions are a key to CONTINUAL CONTINUAL IMPROVEMENTIMPROVEMENT
Audit & Management Review
08
Internal AuditManagement Review
Audit:A systematic, independent and documented process for obtaining objective evidence and evaluating it to determine the extent to which audit criteria are fulfilled.
Audit Evidence: Records, statements of fact or other information, relevant to the audit criteria and which are verifiable.
Audit Criteria: Set of policies, procedures or requirements used as a reference.
Audit Scope: Extent and boundaries of an audit.
Audit Findings: Result(s) of the evaluation of the collected audit evidence against audit findings.
Internal Audit
What to Check?
SHERQ management Methods & techniques
• Policy, Objectives and Management Programs
• Legal compliance
• Hazard identification techniques & Methodologies for risk
assessment
• Technologies for reduction and elimination of risk
• Process performance evaluation
• Monitoring & measurement techniques
• Communication, participation & consultation methods
• Monitoring of Ill-health and toxicological data
Internal Audit
Documentation:
Documented Procedure for Internal Audit
List of certified internal auditor
Internal OH&S MS Audit Plan
Internal Audit notice
Internal Audit schedule
Internal Audit Report
Checklist
Internal Audit NCRs
Internal Audit
MANAGEMENT REVIEW MANAGEMENT REVIEW
4.6 MANAGEMENT REVIEWMINUTES OF MANAGEMENT REVIEW MEETING
MRM No.:
Date:
ATTENDEES Venue:
AGENDA INPUT Point of Discussions Action Plan Responsibility Target Date
Follow-up actions from previous management reviews;
Results of Internal Audits & evaluations of Compliance with legal & other requirements, Responsible care etc.
Results of participation and consultation
Communication from interested external parties including complaints.
Customer feedback (including customer satisfaction measurement data and customer complaints);
Environmental, OH&S & QMS performance of the organization
Process performance and product conformity;
The extent to which the objectives and targets have been met
Status of incident investigations, corrective and preventive actions;
Changing circumstances, including developments in legal and other requirements related to its environmental aspects and OH&S.
Changes that would affect the Quality management systems.
Evaluation of suitability of EHS policy and need for changes if any with respect to: -Changes in the legal and other E, OH&S requirements - Investigation reports on OH&S incident - Changes in statutory requirements - Any external communication received including complaints
Recommendations for improvements
Successful approach to the audit
• Establish suitable climate
• Put auditee at ease
• Use proper questioning technique
• Use open questions and sparingly closed questions
• Ask clarifying questions
• Avoid leading questions
• Don’t ask antagonizing questions
• Use body language
• Be friendly & diplomatic
Responsibility of auditor
• Collecting and analyzing evidence necessary to assess the compliance of the QHSE management system to the audit criteria.
• Recording the audit observations.
• Remaining alert to all situations where assessing compliance requires further investigation.
• Reporting the results of the audit observations both orally & in writing.
• Verifying the effectiveness of corrective actions taken as a result of the audit , if required to do so by the auditee.
THE ENDWHEN YOU ARE SERIOUS ABOUT MANAGING RISK