Complementary Study Material Guidance Manual for Facilitators

Guidance Manual for Facilitatorson

G P d ti itGreen Productivity and

Integrated Management System

Asian Productivity Organization

2010

Guidance Manual for Facilitators on Green Productivity and Integrated Management System

Copyright © 2009 by Asian Productivity Organisation. All rights reserved.

The opinion expressed in this publication do not reflect the official view of the APO. For reproduction of

contents in part or full , the APO’s prior permission is required.

Acknowledgements

The Guidance Manual for Facilitators on Green Productivity and Integrated Management System and its companion manual Guidance Manual for Implementers on Green Productivity and Integrated Management System (IMS) are part of the y g g y ( ) ppackage for the E‐learning course on Green Productivity (GP) and Integrated Management System (IMS). These have been developed by Environmental Management Centre (EMC), India. The project was managed by Shantanu Roy and guided by Dr Prasad Modak.

The team consisted of Mahazareen Dastur, Rahul Datar and Dilip Bera who contributed to the content The implementation was supported by Sharlene Chichgarcontributed to the content. The implementation was supported by Sharlene Chichgar and Senthil Thyagarajan.

K D Bhardwaj, Program Officer of APO provided overall guidance.

Asian Productivity Organization would like to record its grateful appreciation to all individuals and institutions who have directly or indirectly contributed in the development and finalization of the package for the E learning coursedevelopment and finalization of the package for the E‐learning course.

Objective of the Manual

As the title suggests, the Guidance Manual on Green Productivity (GP) and

Integrated Management System (IMS) for Facilitators is designed specifically to aid

the user / the Facilitator, towards helping individuals / groups / organizations

(henceforth referred to as “Implementers” with reference to this Manual) to

establish, implement and maintain an IMS at their place of work.

The Facilitator wears multiple hats; he/she would:

• Contribute structure and process to interactions so that Implementers are able to

function effectively and make high‐quality decisions

• Support Implementers as they strive to achieve a particular standard of

performance

• Be a neutral party, who by not taking sides or expressing or advocating a point of

view, can advocate for fair, open, and inclusive procedures to accomplish the

Implementers’ work

• Encourage full participation, promote mutual understanding and cultivate sharedg p p , p g

responsibility. By supporting everyone to do their best, the Facilitator will enable

Implementers to search for inclusive solutions, build feasible and effective plans,

and follow through on them

Thus, the Facilitator need not necessarily be a subject matter expert; rather, he / she

must attempt to draw on existing knowledge of Implementers, and then facilitatemust attempt to draw on existing knowledge of Implementers, and then facilitate

access to training where gaps in knowledge are identified. Of course, having an

understanding of IMS‐related concepts and requirements will serve as an added

advantage to the Facilitator.

4APO Guidance Manual on GP and IMS for Facilitators

Intent of the ManualIt must be noted that this Manual and its companion Manual: Guidance Manual onIt must be noted that this Manual and its companion Manual: Guidance Manual on

Green Productivity (GP) and Integrated Management System (IMS) for

Implementers, are designed to act as introductory material on the topic of IMS. The

material in the Manuals will help users to establish, operate and maintain an IMS at

their organization. In no case is this Manual intended to serve as a training guide for

internal auditors or lead auditors, or any such “higher” aspect. The Manual is , y g p

designed specifically to support face‐to‐face training using the various resources

provided therein.

The Manual incorporates various tips which the Facilitator may use depending on

the situation at hand.

F th th t “IMS” ld f t th i t ti f i t ( litFurther, the term “IMS” could refer to the integration of various types (e.g. quality‐

environment‐food safety or quality‐energy etc.), and numbers (two or more) of

management standards.

However, by “IMS” this Manual (and its companion Manual) refers to the

integration of the following standards:

• ISO 9001:2008 for Quality Management Systems

• ISO 14001:2004 for Environmental Management Systems

• OHSAS 18001: 2007 for Occupational Health and Safety (OH&S)

The topic of focus for both Manuals is IMS and not GP. Nevertheless, both Manuals

include an introduction to the GP concept as well. Indeed, the Manual relies heavily

on the use of GP tools, which may be used in the design, implementation and

review of the IMS of an organization.

As a secondary use, this Manual also serves as a ready reckoner for the e‐learning

course on Green Productivity and Integrated Management System (IMS) available

on the APO e‐learning website (http://www.apo‐elearning.org).

Note that in providing examples from various sources, this Manual does not endorse

any of the cited web sites or books.


Icons Used in this Manual

The following icons have been used to draw attention to certain parts of the text

where they are positioned.

Tips present useful additional information in the form ofTips present useful additional information in the form of

shortcuts to certain actions for greater effectiveness, some

hints of likely barriers that may be faced, and other

supplementary material aimed at greater efficiency in

performing a task.

Tip

This icon indicates a toolbox and has been used in the text

wherever a connection between the IMS and GP tools are

is described.Tools

This icon indicates notes that are important to remember.IMPORTANT

This icon indicates an example.Example

Contents of the Manual

General Instructions for Facilitators

Suggested Timelines for Face‐to‐Face Training and E‐learning Sessions

Part 1: Manual Overview

Ch 1 GP d IMSChapter 1 – GP and IMS

Chapter 2 – Policy for the IMS

Chapter 3 – Planning for the IMS

Chapter 4 – Implementing the IMS

Chapter 5 Monitoring and Management Review of the IMSChapter 5 – Monitoring and Management Review of the IMS

Chapter 6 – GP Tools to Facilitate the IMS

Chapter 7 – Overview on Equivalence of Clauses Among the QSHE Standards

Chapter 8 – Overcoming Barriers in the Context of the IMS

Chapter 9 – Certification of the Organization’s IMS

Part 2: Case Study Overview

Part 3: Annexures


General Instructions for FacilitatorsFacilitators

PrerequisitesGiven the stringent guidelines on copyright issues, this Manual does not and cannot

quote the various clauses of the IMS and associated standards ad verbatim As aquote the various clauses of the IMS and associated standards ad verbatim. As a

result, both Facilitators and Implementers must have official (i.e. not pirated) copies

of the latest versions of the required standards. To obtain official copies of the ISO

9000:2008 and the ISO 14001:2004 standards, please visit http://www.iso.org/. To

obtain official copies of the copies of the OHSAS 18001:2007 standard, please visit

http://www.bsi‐global.com/.http://www.bsi global.com/.

It is expected that the users of this Manual are familiar with at least one of the

aforementioned standards. A basic understanding of GP tools and techniques is also

expected.

The materials available in the e‐learning course are designed for professionals who

have a vast range of responsibilities in their personal and professional lives. They

can dedicate a relatively small amount of focused time to master all materials

necessary for this topic. The modules of the e‐learning course are designed to be

focused, intensive experiences of a few hours and are designed to maximize

interaction and professional growth within a short period of time.

Getting Started• The user must go through the Guidance Manual on Green Productivity (GP) and

Integrated Management System (IMS) for Implementers. He must make

himself/herself familiar with the materials in the Manual for Implementers.

• Once the user feels comfortable with the material, he/she should cast himself /

herself as a Facilitator using both companion Manuals. The user must then

become familiar with the materials in this Manual (for Facilitators).

• As a Facilitator the user must make sure that he / she understands the method of• As a Facilitator, the user must make sure that he / she understands the method of

delivery of the key messages as indicated for each chapter / module.


• Initially, the user may employ the tips and examples given in the Manual for

Implementers to reinforce learning points.

• When the user feels he/she can confidently deliver the chapter / module, key

messages, tips and examples, they may optionally substitute their own stories

and examples for those given, to create even more credibility, depth, and style.

• The suggested words and transitions to the next slide are guides and apart fromThe suggested words and transitions to the next slide are guides and, apart from

the key messages, the user may change, improve or replace the wording

suggested to better fit his/her particular presentation style.

• At the beginning of each day, the user should spend about 15 minutes with the

participants to review the previous day’s materials using the following format:

– What was the most striking idea that you heard or you experienced yesterday?

Why is it striking to you? (Note: Give them some 2 to 3 minutes to think about

this individually)

– Are there things you heard in the previous sessions that you might consider

useful in your work? What are these? How can you use them?

– Then, ask for volunteers to share

– Summarize the sharing

Dos and Don’tsDos and Don tsProper preparation is a must: It is essential that the Facilitator know what the goals

of Implementer groups are, keep them going in the right direction and help them

meet intended goals. In order to do this, the Facilitator must not only be well‐versed

in the subject content of the Manual (i.e. IMS and GP), but must also undertake

i h b t ti i ti i di id l / d / i tisome prior research about participating individuals / groups and / or organizations,

by spending time talking to them and interviewing them to get a feeling for the

overall situation.


Follow a timeline, but be flexible: The job of the Facilitator is to move the group

toward solutions, so it is wise to draw up a timeline for the ways to accomplish this.

Some element of control is a necessity, so that things move smoothly (say, Chapters

1 and 2 must be completed by the end of week 1, Chapter 3 may take an additional

week, and so on). At the same time, it is imperative that the Facilitator also be

flexible and be prepared to modify certain aspects as and when found necessary

(say, the majority of the Implementers are requesting an extended time limit to

complete a particularly complex assignment. In such a case, the Facilitator may take

a call and decide to extend the timeline for that particular assignment).

Ask challenging questions: By asking questions that encourage deep thinking andg g q y g q g p g

lively discussion, the Facilitator will help Implementers to explore areas they may

not have discussed before or even considered earlier (much like the GP tool

“brainstorming”) .It just might get the Implementers started with a whole new

generation of ideas and ultimately help their learning process.

Add variety by initiating different interaction techniques: It is up to the Facilitator

to get the Implementers to relax and perform to the best of their ability. Employing

an LCD projector, easel charts, chat rooms, whiteboards, discussion forums (the last

three are available on the e‐learning platform) is one way to do this. Developing

small but simple learning games is another way Check the table on the followingsmall but simple learning games is another way. Check the table on the following

page for more facilitation tools.

Include formative as well as summative evaluations: There are two kinds of

evaluation that the Facilitator will find useful: formative and summative. Formative

evaluation often is intuitive; it can consist of mid‐session written or verbal feedback,

interviews, discussions in large or small groups, or group interviews at end of the

day. Formative evaluations are used to help the Facilitator revise the rest of the

workshop or the next half day or any other training unit. Formative evaluations ask

questions like ”How does this group interact? Am I talking too fast? Is today’s

ifi i i A i t b ff ti b k d f t ’specific exercise in group A going to be an effective background for tomorrow’s

exercise in group B?”


Summative evaluations ask questions like: ”How well did this work? Did we reach

our goals? If we did this again how would we do it differently?” Summativeour goals? If we did this again, how would we do it differently? Summative

evaluations allow officers with programmatic responsibility to evaluate and compare

a series of workshops and make decisions about future offerings, future directions,

future involvement of individual trainers.

Achieve a multiplier effect: The style of facilitation can help Implementers become

multipliers of this information within their organizations. For example, the Facilitator

might invite a team from one organization to work together during the training, as

opposed to inviting one person from each organization. A group of people working

as an intact team in an organization to plan, establish and implement the IMS would

h d t d i th t i i th h l i th t i k ihave an advantage during the training through peer learning, that is, knowing

enough about the institutional context to be able to help one another with

application of the learning. Post‐training, this team could provide support for one

another in the application of their training, and help to pass the message to a larger

group once they complete their training and are back to work in their organizations.


Objective Facilitation tool (*: to be used on the e‐learning platform)

Share individual’s ideas • Organized plenary discussionShare individual s ideas in the group

• Organized plenary discussion• Small group work and reporting• Brainstorming with flipcharts• Conversation hub (multi‐staged, sequential sharing around a table)

• Discussion forums*• Whiteboards*• Chat room*

Get individual input on a number of things within a short time

• Parallel, separate‐task, discussion groups followed by plenary reporting

• Carousel technique (timed rotation of small groups period between stations with different topics)

• Whiteboards*

Prioritization of ideas • Voting on a list of ideas• Voting by clustering cards and re‐labelling clusters• Whiteboards*• Discussion forums*• Discussion forums*

Gathering feedback • Mid‐session survey questionnaires (available for * also)

• Closing survey questionnaires (available for * also)• Oral reporting to plenary

Capturing group ideas / • Photo reports (photographing flipcharts)Capturing group ideas / feedback

• Photo reports (photographing flipcharts)• Real time note‐taking on flip charts• Worksheets • Templates on PowerPoint or transparencies• Assigning a rapporteur• Oral reporting to plenary using visual aids• Discussion forums*• Whiteboards*• Chat room*


Suggested Timeline for Face‐to‐Face Training and E‐learning SessionsTraining and E learning Sessions

Material to cover Face‐to‐face training*

E‐learning**

Chapter 1: Green Productivity and Integrated Management Systems

Day 1 Day 1‐3g y

Chapter 2: Policy for the Integrated Management Systems

Day 2 Day 4‐6

Chapter 3: Planning for the Integrated Management Systems

Day 3‐4 Day 7‐10

Chapter 4: Implementation of the Integrated Day 5‐6 Day 11‐14Chapter 4: Implementation of the Integrated Management Systems

Day 5‐6 Day 11‐14

Chapter 5: Monitoring and Management Review of the Integrated Management Systems

Day 7‐8 Day 15‐17

Chapter 6: Green Productivity Tools to Facilitate the Integrated Management Systems

Day 9 Day 18‐21g g y

Chapter 7: Overview on Equivalence of Clauses Among the Quality, Health and Safety and Environmental (QSHE) Standards

Day 10 Day 22

Chapter 8: Overcoming Barriers in the Context of IMS

Day 10 Day 23‐24

Chapter 9: Certification of the Organization’s IMS

Day 10 Day 25

Case Study / Group Work Day 11 Day 26‐29

Discussions / Quiz Day 12 Day 30

* Assuming 3 hours of face‐to‐face training sessions per day

** The learner sets his / her own pace. However, it is recommended that the learner spends at least an hour per day on the assigned module


Part 1: Manual Overview CHAPTER 1

Chapter 1

Intent of this chapter:

Thi h t dd th t f G P d ti it (GP) d I t t dThis chapter addresses the concepts of Green Productivity (GP) and Integrated

Management System (IMS).

Facilitator notes:

• Introduce yourselfIntroduce yourself.

• Explain the concepts of GP and IMS. Explain that according to this Manual, the

IMS refers to the following three standards:

1. ISO 9001:2008 for Quality Management Systems

2. ISO 14001:2004 for Environmental Management Systemsg y

3. OHSAS 18001: 2007 for Occupational Health and Safety (OH&S)

• Explain the core of the chapter as follows:

The core of this chapter is to understand how GP and IMS can complement one

another. Both concepts are tremendously useful in their own right, but each

suffers from some shortfalls.



For example, GP is not like a “formal” Management System Standard audited and

certified by an external third party, and which is recognized and accepted globally.

For this reason, the benefits accrued to the organizations practicing the GP

methodology are not always communicated and recognized.

On the other hand, the benefits of the IMS include an improved business focus, aOn the other hand, the benefits of the IMS include an improved business focus, amore holistic approach to managing business risks and so on (see slide below).However, the IMS also falls short in some aspects. For example, it is mostly acomprehensive listing of requirements alone. It lacks in providing a methodology tomeet those requirements. It does not consider a life cycle impacts. It is essentially“business oriented” (i.e. it cannot be applied easily to other subjects requiringenvironmental and social considerations, such as communities).

This is where the GP concept can help IMS and in turn, be helped by IMS.

Transition to the next chapter (i.e. Chapter 2):

• Add some emphasis to the PDCA cycle (see slide below) since it forms the

backbone of the IMS establishment, implementation and review process.



• Explain that the first stage of the cycle (i.e. the planning stage) concerns planning

first and foremost for the IMS Policy.

• End by introducing the next chapter on “Policy for the IMS”.



Chapter 2


Thi h t di i t f th P li f th IMS It l i h thThis chapter discusses requirements for the Policy for the IMS. It explains how the

organization may establish (draft), implement and maintain the Policy.

Facilitator notes:

• Start by outlining the applicable clauses from the relevant standards (see slideStart by outlining the applicable clauses from the relevant standards (see slide

below).




The development of the Policy is the first step in establishing the IMS.

1. While formulating quality, occupational health and safety, and

environmental, or QSHE Policy the following key questions need to be

dd daddressed:

2. Are there existing goals and objectives that address the needs of the

organization’s customers and stakeholders?

3. How do these goals and objectives relate to the organization’s existing

management system?

The Policy should demonstrate the organization’s commitment to meeting therequirements related to the management system. It should establish an overallsense of direction and principles of action. It should provide a framework for settingobjectives.objectives.

The organization may decide to have separate Policies for each discipline (quality,occupational health and safety and environment; see the example for Quality Policyrequirements in the slide below) or an integrated Policy provided that it covers therequirements of each of the individual standardsrequirements of each of the individual standards.



Highlight tips, important definitions and examples:

The organization must ensure that its employees understand the IMS Policy.

Options for communicating the Policy internally include posting it around work sites

(e.g., in departments, site offices, work floors, lunchrooms etc.), incorporating the

Policy into awareness and training classes and materials, and referring to the PolicyPolicy into awareness and training classes and materials, and referring to the Policy

at staff or all‐hands meetings. It is also a good idea to test awareness and

understanding from time‐to‐time by asking employees what the Policy means to

them and how it affects their work. Communication of the IMS Policy to contractors

can be in the forms of rules, directives and procedures.

Introduce Implementers to the IMS Policy Worksheet:

• Once you have finished explaining the chapter, draw the attention of the

Implementers to the IMS Policy Worksheet in the hard copy of their

Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).

Alternatively, if you are facilitating during the e‐learning course, ask the

Implementers to click on the Attachments tab in the top right hand corner of the

screen and download the Worksheet.

• Using the facilitation tools provided in this Manual as guidance, group the

Implementers appropriately and guide the groups as to how to fill in their

Worksheets within a suitable timeframe. Instruct the groups to attach additional

pages as required.

• At the end of the allotted time, discuss, compare and evaluate how various

groups filled in their Worksheets.


• Explain that the elements of planning (i.e. setting objectives and targets) are

closely related to Policy formulation.

• Thus, once the IMS Policy has been formulated, the organization should start, y , g

planning for its IMS.

• End by saying that the next chapter in this Manual will thus concentrate on all

elements related to planning for the IMS.



Chapter 3


Thi h t di l t l t d t l i f th IMS th P li hThis chapter discusses elements related to planning for the IMS once the Policy has

been established. They are as follows:

• Selecting the IMS Champion and Implementation Team

• Conducting the preliminary review which includes the following:

– Identification and evaluation of product / service quality requirements (in lineIdentification and evaluation of product / service quality requirements (in line

with requirements from ISO 9001:2008)

– Identification and evaluation of environmental aspects and impacts (in line

with requirements from ISO 14001:2004)

– Identification and evaluation of hazards and risks (in line with requirements

from OHSAS 18001: 2007)

– Legal requirements related to the IMS (in line with requirements from all

three standards)

• Developing objectives and targets and tracking mechanisms

Each of these elements forms a part and parcel of the planning process for the IMSEach of these elements forms a part and parcel of the planning process for the IMS.



Facilitator notes:

• Start by outlining the applicable clauses from the relevant standards (see slide

below).


How to plan for the IMS at this stage once the Policy has been established:

While there is no fixed process to implement an IMS, a generic process that can

be adopted is depicted in the slide below. Points #1 and 2 have already been

covered in the previous chapter Points #3 and #4 are of particular note when itcovered in the previous chapter. Points #3 and #4 are of particular note when it

comes to planning for the IMS; i.e. selection of an IMS Champion and building an

Implementation Team.



About the IMS Champion and Implementation Team:

It is important that the IMS Champion should have the necessary authority, anunderstanding of the organization, as well as project management skills. He / sheshould:

–Be a “systems thinker” (any experience related to management systemsBe a systems thinker (any experience related to management systemsstandards is a plus‐point)

–Should have the time to commit to the IMS building process and

–Must have the support of the top management and be vested with sufficientauthority

The Implementation Team should assist the IMS Champion. The ImplementationTeam with representatives from key management functions (such as engineering,finance, human resources, production, quality and service) should identify andassess issues, opportunities, and existing processes. As explained in theImplementers’ Manual, where appropriate, the organization must considerincluding contractors, suppliers or other external parties as part of the team.

About the Preliminary Review:

While conducting the preliminary review the IMS Champion and theWhile conducting the preliminary review, the IMS Champion and the

Implementation Team should focus on the identification and evaluation of

product‐cum‐service quality requirements, significant environmental aspects and

impacts, and unacceptable hazards and risks.

The table on the following page provides a brief outline of important tips,

definitions and/or examples to highlight for this chapter.




For preliminary review for product‐cum‐service quality requirements

In some situations, such as internet sales, a formal review is

impractical for each order. Instead the review can cover relevant

product information such as catalogues or advertising material.

Post‐delivery activities could include actions under warranty

provisions, contractual obligations such as maintenance services,

Tip

and supplementary services such as recycling and final disposal,

etc.

Don’t forget to abide by statutory and regulatory requirements

applicable to the product or service.

IMPORTANT

IMPORTANT pp p

In cases where the customer provides no documented statement

of requirement, requirements should nevertheless be confirmed by

the organization before acceptance. In cases where product

requirements are changed the relevant documents should be

IMPORTANT

requirements are changed, the relevant documents should be

amended and relevant personnel must be made aware of the

changed requirements.

Be sure to maintain records of the results of the review and actions

i i f th li i i

IMPORTANT

arising from the preliminary review.



Introduce Implementers to the Product Quality Requirements Worksheet:


Implementers to the Product Quality Requirements Worksheet in the hard copy

of their Implementers’ Manual (provided in the Annexures in this Facilitator’s

Manual).Manual).

• Alternatively, if you are facilitating during the e‐learning course, ask the






pages as required.






For preliminary review for significant environmental aspects and impacts

Identification of environmental aspects and impacts must take into

account not only aspects which the organization can control but

also those that it can influence.

There is no single approach for identifying environmental aspects

and impacts and determining significance that will suit all

IMPORTANT

and impacts, and determining significance that will suit all

organizations. However, steps to be taken in this regard are broadly

explained in this section. Each organization should thus choose an

approach that is appropriate to its scope, nature and scale and that

meets its needs in terms of detail, complexity, time, cost and

availability of reliable data.

IMPORTANT

Do not overlook potential environmental impacts arising from “off‐

site” activities.Tip

Do not address all of impacts at once. Prioritize depending on cost,

availability of technology or scientific uncertainty etc. Also, once

this identification is completed, use this information in setting

objectives and targets.

Tip

GP tools such as Eco‐mapping, Process Flow Diagrams, Material /

Energy Balances, etc. can be used to identify environmental

aspects and impacts. They are covered in detail in Chapter 6 of the

Guidance Manual for Implementers.Tools



Introduce Implementers to the Environmental Aspects Worksheet:


Implementers to the Environmental Aspects Worksheet in the hard copy of their


Alt ti l if f ilit ti d i th l i k th• Alternatively, if you are facilitating during the e‐learning course, ask the






pages as required.






For preliminary review for significant hazard identification and risk assessment

Ensure you include routine as well as non‐routine activities (such

as spillages and breakdowns) as part of the reviewas spillages and breakdowns) as part of the review.

Risk assessment methodologies need to be appropriate for the

hazards identified. For example, an assessment of long‐term

exposure to chemicals may need a different method than that

t k f i t f t f i ffi k t ti

IMPORTANT

Exampletaken for equipment safety or for assessing an office work station.

Human factors should be considered whenever there is a human

interface and take into account issues such as ease of use,

potential for operational errors, operator stress and user fatigue.IMPORTANT

Using the Risk Rating Matrix can be very helpful for prioritizing

risks. It is suitable for very many assessments but particularly lends

itself to more complex situations. However, it does require a fair

degree of expertise and experience to judge the likelihood of harmIMPORTANT

accurately. Getting it wrong could result in applying unnecessary

controls or failing to initiate important ones.

The description of measures to monitor and control risks can be

included within operational control procedures of thei

included within operational control procedures of the

organization’s MS. The determination of competency requirements

can be included within training procedures.

GP tools such as Failure Mode Effect Analysis (FMEA), Hazard and

Operability Analysis (HAZOP) work place inspections etc can be

Tip


Operability Analysis (HAZOP), work place inspections etc. can be

used to identify hazards. They are covered in detail in Chapter 6 of

the Guidance Manual for Implementers.Tools


Introduce Implementers to the Hazard Identification and Risk Assessment

Worksheet:


Implementers to the Hazard Identification and Risk Assessment Worksheet in the

hard copy of their Implementers’ Manual (provided in the Annexures in thishard copy of their Implementers Manual (provided in the Annexures in this

Facilitator’s Manual).







pages as required.



About Legal and Other Requirements (i.e. continue with the explanation aboutcore points in the chapter):

Provide the definition of the terms “legal requirements” and “otherProvide the definition of the terms legal requirements and otherrequirements”. Stress that for the IMS, legal requirements refer broadly to anyrequirement related to:

– The organization’s product quality (for e.g. requirements specified by the

customer, and statutory and regulatory requirements applicable to the

product)product)

– Environmental aspects (i.e. applicable legal requirements and other

requirements to which the organization subscribes related to environmental

aspects)

– Occupational health and safety (i.e. applicable legal requirements and other

requirements the organization subscribes to and related to occupational health

and safety )



Explain that legal compliance is a minimum standard and does not necessarilyprovide a risk free environment. Also, legal requirements may get quite complex(see slide below).

Introduce Implementers to the Legal and Other Requirements Worksheet:


Implementers to the Legal and Other Requirements Worksheet in the hard copy

of their Implementers’ Manual (provided in the Annexures in this Facilitator’s

M l)Manual).







pages as required.


groups filled in their Worksheets.g p



About developing objectives, targets, programs and tracking mechanism (i.e.continue with the explanation about core points in the chapter):

Provide the definition of the terms “objectives”, “targets”, “programs” and“tracking mechanisms”. You can accomplish this quite easily using examples (seeslides below).

Introduce Implementers to the Objectives and Targets Worksheet and Management

Programs Worksheet:


Implementers to the Objectives and Targets Worksheet and Management

Programs Worksheet in the hard copy of their Implementers’ Manual (provided in

the Annexures in this Facilitator’s Manual).30APO Guidance Manual on GP and IMS for Facilitators




screen and download the Worksheets.


Implementers appropriately and guide the groups as to how to fill in theirImplementers appropriately and guide the groups as to how to fill in their


pages as required.




• Explain that going by the Plan‐Do‐Check‐Act cycle, planning for the IMS will be

followed by implementation of the IMS.

• Thus once the planning elements are in place the organization should look to• Thus, once the planning elements are in place, the organization should look to

implementing its IMS.

• End by saying that the next chapter will concentrate on all elements related to

implementing the IMS.



Chapter 4


Thi h t di l t l t d t th i l t ti f th IMS ThThis chapter discusses elements related to the implementation of the IMS. The

elements covered here are as follows:

• Structure and responsibility

• Resource requirements

• Training awareness and competencyTraining, awareness and competency

• Communication

• Documentation and document control

• Operational controls

• Emergency preparedness and response• Emergency preparedness and response

• Non‐conforming products

Facilitator notes:

Start by outlining the applicable clauses from the relevant standards (see slideStart by outlining the applicable clauses from the relevant standards (see slide

below).




Basic structure requirements for the IMS

The implementation of the IMS should be like a well‐oiled machine. In order to

keep it running smoothly, there is a need to have a capable person dedicated to

overseeing the IMS. This person is known in IMS parlance as the “Management

Representative” or M.R. the M.R. will report to the top management. The basic

structure requirements for an IMS must facilitate two‐way communication and

interaction among all players responsible for making IMS implementation a

success (see slide below).




Resource requirements for the IMS

The top management must ensure that it provides the M.R. with all the necessary

resources for carrying out the functions assigned to him or her. Typical resource

i t i l d it hrequirements include items such as:

– Infrastructure

– Human resources

– Technology

l– Financial resources

In cases where gathering resources could be problematic (such as for smaller

sized organizations), it becomes crucial to generate ideas on how organizations

with limited resources can implement an IMS successfully (see slide below).

Introduce Implementers to the Structure and Responsibility Worksheet:


Implementers to the Structure and Responsibility Worksheet in the hard copy of

their Implementers’ Manual (provided in the Annexures in this Facilitator’s

l)Manual).







Implementers appropriately and guide the groups as to how to fill in theirImplementers appropriately and guide the groups as to how to fill in their


pages as required.



About Training, Awareness and Competency (i.e. continue with the explanation

about core points in the chapter):

The standards mandate that personnel who have interactions with processes or

activities which affect conformity of product, or cause significant impact ory p , g p

impact on the OH&S in the workplace shall be competent. Generally, this

competence is ensured and imparted through training. However, training is just

one element of establishing competence, which is typically based on a

combination of education, skills, and experience. Developing a training program

for the IMS should contain certain specific steps (see slide below).



A sample IMS Training Log helps clarify the documentation requirements for this

element of the IMS (see slide below).


For training, awareness and competency

The organization should consider the training it conducts already,

for compliance with environmental and health and safety

regulations and other purposes It may find that existing training

Tip

regulations and other purposes. It may find that existing training

efforts go a long way

towards satisfying the competence‐building requirements for the

IMS.

If th i ti t t t k it tIMPORTANT

If the organization uses temporary or contract workers, it must

assess their training needs as well.

Consider developing an IMS training package for new employee

orientation .

Tip


Remember to consider the qualifications and training needs of

your IMS managers and trainers as well.

IMPORTANT

Part 1: Manual OverviewIntroduce Implementers to the Training Awareness and Competency Worksheet:

CHAPTER 4

Introduce Implementers to the Training, Awareness and Competency Worksheet:


Implementers to the Training, Awareness and Competency Worksheet in the hard

copy of their Implementers’ Manual (provided in the Annexures in this








pages as required.



About Communication (i.e. continue with the explanation about core points in

the chapter):

Communication forms an important part and parcel of the IMS. It needs to be

internal (within the organization) as well as external (outside the organization; i.e.

with customers neighbours regulators and other stakeholders) Appropriatewith customers, neighbours, regulators and other stakeholders). Appropriate

communication methods might vary from stakeholder to stakeholder. It is

essential to devise and implement a Communication Program for the IMS (see

slide below).




For communication

Effective communications will help the organization:

• Motivate its employees

• Gain acceptance for its plans and efforts• Explain the IMS Policy and system and how they relate to the

overall organizational vision

• Ensure understanding of roles and expectations• Demonstrate management commitment to the IMS

IMPORTANT

• Demonstrate management commitment to the IMS

• Identify potential system improvements

• Create goodwill among external stakeholders such as the

surrounding community / public

Note that the OHSAS 18001 standard also mandates participation

of employees and consultation with them and the same

communicated to the interested parties.

Managing responses to external inquiries does not have to be

IMPORTANT

burdensome. Use a simple method, such as stapling an inquiry to

its written response and then filing them together. The key is to be

able to demonstrate that the organization has a process for

gathering and responding to external inquiries.

Tip

The organization should also consider ways to get specific advice

from external stakeholders when developing critical elements of

the IMS such as setting objectives and targets. Involving these

parties, however, does not mean that it should cede control of its

IMS to them, but rather use their input to make the IMS more

Tip


responsive to community concerns. Doing so will usually provide

long‐term benefits to the organization.


Introduce Implementers to the Communication Worksheet:


Implementers to the Communication Worksheet in the hard copy of their








pages as required.



About Documentation (i.e. continue with the explanation about core points in the

chapter):

To ensure that the IMS is well‐understood and operating as designed, the

organization must provide adequate information to its employees on how the

k i t b d Th l b t l ti h t twork is to be done. There also may be external parties who may want to

understand how the IMS is designed and implemented, such as customers,

regulators, lending institutions, registrars and the public. For these reasons, the

various processes that make up the organization’s IMS should be documented. It

is important to note the hierarchy of documentation for an IMS (see slide below).

Documentation may be made available in hard copy (paper based) or in the softDocumentation may be made available in hard copy (paper based) or in the soft

form in electronic medium (web or computer based).



It also follows that without a mechanism to manage these IMS documents, the

organization cannot be sure that people are working with the right tools.

Therefore, to ensure that everyone is working with the relevant IMS documents,

the organization should have a procedure that describes how such documentsthe organization should have a procedure that describes how such documents

are controlled. Such a procedure is normally referred to as the “Procedure for

Document Control”.

Documents can be effectively controlled by:

• Developing an appropriate document format that includes unique titles,

numbers, dates, revisions, revision history and authority

• Assigning the review and approval of documents to individuals with sufficient

technical capability and organizational authority

M i t i i ff ti d t di t ib ti t ( b th M R• Maintaining an effective document distribution system (overseen by the M.R.

of the IMS)

Refer to the Sample Procedure for Document Control provided in the Annexures

in this Facilitator’s Manual.




For documentation and document control

The extent of the IMS documentation can differ from one

organization to another due to:

• Size of organization and type of activities• Integration of the IMS documentation with other organizational

documentation (e.g. human resource plans, etc.)

• Complexity of processes and their interactions

f l

IMPORTANT

• Competence of its personnel

Smaller organizations often favor employee experience over

written procedures and documented systems. However, personnel

turnover without documented systems can stall progress. HavingTip

an IMS can thus facilitate a smooth transfer of responsibilities.

There may be some advantages to maintaining documents

electronically, such as ease of updating, controlling access, and

ensuring that all readers are using the most up‐to‐date versions ofTip

g g p

documents.

During revision, highlight changes (by underlining, boldface, etc.) to

make it easier for readers to find the changes.

Tip

Prepare a document control index that shows all IMS documents

and revision histories. Include this index in the IMS Manual.

Tip



Introduce Implementers to the Documentation and Document Control Worksheets:


Implementers to the Documentation and Document Control Worksheets in the

hard copy of their Implementers’ Manual (provided in the Annexures in this

Facilitator’s Manual).Facilitator s Manual).







pages as required.





About Operational Controls (i.e. continue with the explanation about core points

in the chapter):

The organization will need operational controls in order to manage significant

aspects, unacceptable risks or comply with legal requirements, regardless of

whether it has established objectives and targets for each of them. Therefore, thewhether it has established objectives and targets for each of them. Therefore, the

organization should identify and plan operation controls consistent with its IMS

Policy, objectives and targets. Given below is a generic procedure which may be

used to identify operations requiring control (see slides below).



When identifying needs for operational controls the organization should consider

all of its operations, including those related to sales, marketing, contractors and

other visitors to the workplace, and so on.

O ti l t l t k i f h d kOperational controls can take various forms, such as procedures, work

instructions, physical controls, use of trained personnel or any combination of

these. The choice of the specific control methods depends on a number of

factors, such as the skills and experience of people carrying out the operation and

the complexity and the operation itself. A common approach to establishing

operational controls includes:operational controls includes:

• Choosing a method of control

• Selecting acceptable operating criteria (see slide below)

• Establishing procedures, as needed, that define how identified operations are

to be planned, carried out and controlledp ,

• Documenting these procedures, as needed, in the form of instructions, signs,

forms, videos, photos, etc.




For operational controls

Operational controls should be addressed in training those persons

involved in control functions to ensure that operational controls

are carried out as planned.

Decide on criteria for operational control and review them with the

people who will need to implement them. This will help to ensure

Tip

Tip

that the criteria are appropriate, realistic and practical.

GP tools such as flow charts or PFDs of crucial processes can

simplify the identification of the process steps where some type of

control might be

Introduce Implementers to the Operational Controls Worksheet:


g

appropriate. They are covered in detail in Chapter 6 of the

Guidance Manual for Implementers.

Tools

y p g p ,

Implementers to the Operational Controls Worksheet in the hard copy of their




screen and download the Worksheets.screen and download the Worksheets.




pages as required.

h d f h ll d d d l h• At the end of the allotted time, discuss, compare and evaluate how various




About Emergency Preparedness and Response (i.e. continue with the explanation

about core points in the chapter):

Despite an organization’s best efforts, the possibility of accidents and other

emergency situations still exists. During such emergency situations, the impacts

on the environment could be highly significant as well as the hazards arising fromon the environment could be highly significant as well as the hazards arising from

them unacceptable. However, effective preparation and response can reduce

injuries, prevent or minimize environmental impacts, protect employees and

neighbors, reduce asset losses and minimize downtime. This preparation comes

about in the form of an Emergency Preparedness and Response Program and is

mandated by the ISO 14001:2004 and OHSAS 18001:2007 standards.

Two components that many organizations overlook in this regard are how they

identify the potential for accidents and emergencies and how they mitigate the

impacts of such incidents. A cross‐functional team (with representatives from

engineering maintenance and OH&S for example) can identify most potentialengineering, maintenance and OH&S, for example) can identify most potential

emergencies by asking a series of “what if” questions.

Consistent with the focus on continual improvement, it is important for the

organization to review their emergency response performance after an incident

has occurred.


For emergency preparedness and response

Maintain and test emergency response equipment at documented

intervals.

Display critical contact names and phone numbers around the site,

ll h h h h di

Tip


especially in areas where high hazards exist.Tip

Part 1: Manual OverviewIntroduce Implementers to the Emergency Preparedness and Response Worksheet:

CHAPTER 4

Introduce Implementers to the Emergency Preparedness and Response Worksheet:


Implementers to the Emergency Preparedness and Response Worksheet in the

hard copy of their Implementers’ Manual (provided in the Annexures in this








pages as required.



About Non‐conforming Products (i.e. continue with the explanation about core

points in the chapter):

The ISO 9001:2008 standard mandates that the organization ensure that a

product which does not conform to product requirements be identified and

controlled to prevent its unintended use or delivery. A documented procedure

(see slide below) should therefore be established to define the controls and

related responsibilities and authorities for dealing with such products for each

stage of control.



Relevant employees must be provided adequate training to implement the

procedure correctly. Additionally, in keeping with the theme of continual

improvement, the entire activity must be connected to the corrective/preventive

action process.

As seen in the slide below, various actions may be taken to preclude or prevent

original intended use or application of non‐conforming products.

Consistent with the focus on continual improvement, it is important for thep , p

organization to review their emergency response performance after an incident

has occurred.




For non‐conforming products

In their procedures for controlling non‐conforming products, some

organizations stipulate time limits within which a disposition mustorganizations stipulate time limits within which a disposition must

be accomplished (e.g., “non‐conforming products must be

dispositioned within 30 days of being identified."). However,

common sense dictates that some dispositions may take longer to

arrive at than others. Time limits are rarely a good idea, and they

usually result in the organization violating its own procedures. If

Tip

y g g p

organizations want to reduce the amount of time between

identification and disposition, managers simply need to monitor

products in their non‐conforming areas, a responsibility that is

often ignored.

Sometimes the "effects" of the non‐conformity may require more

or less action than a returned goods or product recall process. For

wide‐ranging or potentially harmful non‐conformities, the

organization may institute a universal recall of all products sold

within a certain time period. For very small non‐conformities, the

IMPORTANT

Introduce Implementers to the Non‐conforming Products Worksheet:

p y ,

customer may simply receive an automatic credit and be asked to

discard the non‐conforming product. In any case, the organization

must consider the non‐conformity's effects and take action that

logically matches those effects.

t oduce p e e te s to t e o co o g oducts o s eet


Implementers to the Non‐conforming Products Worksheet in the hard copy of

their Implementers’ Manual (provided in the Annexures in this Facilitator’s

Manual).

Al i l if f ili i d i h l i k h• Alternatively, if you are facilitating during the e‐learning course, ask the








pages as required.

• At the end of the allotted time, discuss, compare and evaluate how variousAt the end of the allotted time, discuss, compare and evaluate how various



• Explain that going by the Plan‐Do‐Check‐Act cycle, implementing for the IMS will

be followed by the monitoring and review stage.

• End by saying that the next chapter will concentrate on all elements related to

monitoring and review of the IMS.



Chapter 5


Thi h t di l t l t d t th it i i f th IMSThis chapter discusses elements related to the monitoring‐cum‐review of the IMS.

The elements covered here are as follows:

• Monitoring and measurement

• Evaluation of compliance

• Non‐conformity corrective and preventive actionNon conformity, corrective and preventive action

• Records management

• Internal audit

• Management review

Facilitator notes:

Start by outlining the applicable clauses from the relevant standards (see slide

below).




Monitoring and measurement

Monitoring and measurement are key activities in an organization’s processes to

ensure conformity. There are various monitoring and measurement needs for an

organization, such as key process or product characteristics, regulatory

compliance needs, implementation of operational controls, progress made on

achieving objectives and targets, supplier performance and so on. All three

standards also mandate these needs in relation to monitoring and measurement.

Monitoring involves observing or supervising or keeping under review. It may

involve measuring as well. Measurement specifically relates to the determination

of a physical quantity, magnitude or dimension through the use of measuring

equipment. Measurements must be made to ensure that products meet

specifications. Based on the results of both items, it becomes necessary to

analyze the results obtained. This analysis helps the organization to appreciate

what may have gone wrong and correct it in the near future.



The ISO 9001:2008 standard focuses not just on the quality of the measurements

but also monitoring and measurement devices themselves. As a result,

monitoring and measurement devices must be capable, and their use must be

“controlled” (see slide below). It follows that monitoring and measurement must

also be carried out at appropriate stages of product realization process. In fact,

the ISO 9001:2008 standard mandates that the release of product and delivery of

service to the customer should not proceed unless a monitoring and

measurement system is in place and it verifies the suitability of the product for

release to the customer.

Another facet of monitoring and measurement involves information relating to

customer perception. The ISO 9001:2008 standard mandates that as one of the

measurements of the performance of the management system, the organization

should monitor information relating to customer perception (i.e. as to whether

the organization has met customer requirements ) The standard furtherthe organization has met customer requirements.) The standard further

mandates that the monitoring, measurement, analysis and improvement

processes so applied be used towards continual improvement of the effectiveness

of the overall management system.



As per ISO 14001:2004, the organization is required to monitor and measure, on a

regular basis, the key characteristics of its operations that can have significant

environmental impacts. The organization should further ensure that calibrated or

verified monitoring and measurement equipment is used and maintained and

should retain records associated with the exercise.

The slide below shows an illustration linking monitoring processes to operational

controls, a topic which was discussed in Chapter 4 of the Guidance Manual for

Implementers.

The OHSAS standard requires that the organization monitor and measure OH&S

performance on a regular basis. Indicators for such monitoring and measurement

may be both qualitative and quantitative appropriate to the needs of the

organization. Like the ISO 14001:2004 standard, this standard too requires

monitoring of the extent to which the organization’s OH&S objectives are met.

Other salient points to be kept in mind are:

• Monitoring the effectiveness of controls (for health as well as for safety)

• To include proactive as well as reactive measures of OH&S performance

• To record data and results of monitoring and measurement sufficient to

facilitate subsequent corrective action and preventive action analysis



It becomes evident that the organization would require to plan and implement a

formal Monitoring and Measurement Program (or equivalent) as part of the

system. The slide below provides an idea of the key steps to include for such a

program.


For monitoring and measurement

The organization must calibrate its measuring devices againstg g g

measurement standards traceable to national or international

measurement standards. If, however, there are no such standards

for what is being measured, the organization must maintain

records of the basis used for calibrating its devices.

IMPORTANT

Measure progress on achieving objectives and targets on a regular

basis and communicate the results of such measurement to the

top management. To measure progress in meeting objectives,

select appropriate performance indicators.

Tip



GP tools such as control charts is an important statistical technique

which helps towards monitoring and measurement, through an

analysis of characteristics and trends of processes and products,

including opportunities for preventive action. They are covered in

detail in Chapter 6 of the Guidance Manual for Implementers.Tools

Introduce Implementers to the Monitoring and Measurement Worksheet:


Implementers to the Monitoring and Measurement Worksheet in the hard copy

f h l ’ l ( d d h h l ’of their Implementers’ Manual (provided in the Annexures in this Facilitator’s

Manual).







pages as required.

• At the end of the allotted time, discuss, compare and evaluate how variousAt the end of the allotted time, discuss, compare and evaluate how various


About Evaluation of Compliance (i.e. continue with the explanation about core


From the viewpoint of the ISO 14001:2004 and OHSAS 18001:2007 standard, the

evaluation of compliance forms an important part of monitoring for an IMS. This

is because such requirements are not stagnant; they may change periodically and

/ or new legal requirements may be introduced which the organization has to

comply with. Thus, consistent with its commitment to compliance (as stated in

the IMS Policy of the organization), the organization should institute procedures

for periodically evaluating compliance with applicable legal requirements and

apply the same on a sustained basis (see slide below).




For evaluation of compliance

The frequency of periodic evaluation may vary for differing legal

and other requirements to which the organization subscribes. It is

up to the organization to choose this frequency.IMPORTANT

About Evaluation of Compliance (i.e. continue with the explanation about core


The previous chapter referred to non‐conforming products. It noted that the ISO

9001:2008 standard mandates that the organization ensure that a product which

d t f t d t i t b id tifi d d t ll d tdoes not conform to product requirements be identified and controlled to

prevent its unintended use or delivery. Beyond this, the standard also mandates

that the organization take action to eliminate the causes of such non‐conformities

in order to prevent their recurrence. Such actions – referred to as “corrective

action” – should be appropriate to the effects of the non‐conformities

encounteredencountered.



Moreover, besides corrective action, the organization should be proactive and

determine action to eliminate the causes of potential non‐conformities in order

to prevent their occurrence. Such actions are referred to as “preventive actions”.

Again, preventive actions should be appropriate to the effects of the potential

problems.

Note that the effectiveness of the corrective and/or preventive actions so taken

must also be reviewed. This is to ensure that the actions taken are right and

having the intended effect.

All three standards mandate corrective and preventive action. The slide below

shows the common types of corrective and/or preventive actions which may be

taken.




For corrective and preventive action

Once a problem is documented, the organization must be

committed to resolving it in a timely manner. Be sure that the

corrective and preventive action process specifies responsibilities

and schedules for completion. Review your progress regularly and

follow up to ensure that actions taken are effective.

IMPORTANT

Where the corrective and preventive action identifies new or

changed hazards or the need for new or changed controls, the

procedure shall require that the proposed actions shall be taken

through a risk assessment prior to implementation.IMPORTANT

While many corrective actions may be “common sense,” you need

to look beneath the surface to determine why problems occur.

Many organizations use the term “root cause” in their corrective

and preventive action processes. GP tools such as the fishboneTools p p

diagram can help here. They are covered in detail in Chapter 6 of

the Guidance Manual for Implementers.

Tools



Introduce Implementers to the Corrective and Preventive Action Worksheet:


Implementers to the Corrective and Preventive Action Worksheet in the hard

copy of their Implementers’ Manual (provided in the Annexures in this

Facilitator’s Manual).Facilitator s Manual).







pages as required.



About Records Management (i.e. continue with the explanation about core points

in the chapter):

The value of records management is fairly simple — the organization should be

bl t d t t th t it i t ll i l ti th IMS d i d Whilable to demonstrate that it is actually implementing the IMS as designed. While

records have value internally, over time the organization may need to provide

evidence of IMS implementation to external parties (such as customers, a

registrar or the public).

The basics of records management are straightforward: the organization needs to

decide what records it will maintain, how it will maintain them and for how long.

The organization should thus institute a Procedure for the identification, storage,

protection retrieval retention and disposal of records (as noted in the figureprotection, retrieval, retention and disposal of records (as noted in the figure

provided on this page) and ensure adherence to the same. The organization

should also ensure that it takes into account records retention requirements

specified in applicable environmental and / or OH&S regulations.



In determining the appropriate controls for records the organization should take

into account any applicable legal requirements, confidentiality issues (particularly

those relating to personnel), storage/ access/ disposal/ back‐up requirements,

and the use of electronic records. The slide below shows a sample IMS Records

Management Form.


For records management

Focus on records that add value — avoid bureaucracy. If records

have no value or are not specifically required, don’t collect them.

If your organization uses computers extensively, consider using an

electronic EMS records management system Maintaining records

Tip

Ti electronic EMS records management system. Maintaining records

electronically can provide an excellent means for rapid retrieval of

records as well as controlling access to sensitive records.

Examples of records: results of environmental aspects

id tifi ti j b d i ti d f l ti

Tip


identification, job descriptions and performance evaluations,

training records, communications with customers, suppliers,

sampling and monitoring data, etc.

Example


About Internal Audit (i.e. continue with the explanation about core points in the

chapter):

Once the organization has established its IMS, verifying the implementation of

the system will be critical. To identify and resolve IMS deficiencies it must actively

seek them out. This is achieved through the mechanism of internal audit.seek them out. This is achieved through the mechanism of internal audit.

While they can be time‐consuming, IMS audits are critical to IMS effectiveness.

Systematic identification and reporting of IMS deficiencies to management

provides a great opportunity to maintain management focus on important issues,

improve the IMS and its performance and ensure the cost‐effectiveness of the

system over time.

The slide below shows the elements of an IMS internal audit program while the

slide following this provides an approach for conducting an internal IMS Audit.g p pp g




For internal audit

An IMS audit is not an assessment of how well employees do theirAn IMS audit is not an assessment of how well employees do their

jobs. Audits should be judged on the quality of findings, rather

than on the number of findings.

Consider integrating the IMS and regulatory compliance audit

b t k i i d th t th dit h

IMPORTANT

processes, but keep in mind that these audit processes have

different purposes. While the organization might want to

communicate the results of IMS audits widely within the

organization, the results of compliance audits will likely need to be

communicated in a more limited fashion.

Tip

Audit procedures should describe:

• Audit planning

• Audit scope (areas and activities covered)

• Audit frequency

A dit th d

IMPORTANT


• Audit methods

• Key responsibilities

• Reporting mechanisms

• Record keeping


Introduce Implementers to the Internal Audit Worksheet:


Implementers to the Internal Audit Worksheet in the hard copy of their








pages as required.



About Management Review (i.e. continue with the explanation about core points

in the chapter):

The organization’s IMS must be reviewed periodically by top management to stay

“healthy”. Management reviews are a key to continual improvement and for

i th t th IMS ill ti t t i ti ’ d tiensuring that the IMS will continue to meet your organization’s needs over time.

Management reviews also offer a great opportunity to keep the IMS efficient and

cost‐effective. For example, some organizations have found that certain

procedures and processes initially put in place were not needed to achieve their

environmental objectives or to control key processes. If IMS procedures and other

activities do not add value, they may be eliminated.

The slide on the following page provides an idea of how to draft a Procedure for

Management ReviewManagement Review.



Typical questions to be asked during a management review meeting are:

• Whether the organization is achieving its objectives and targets? If not, why

not?

• Whether the IMS policy still relevant to what the organization does?

• What do the results of the internal audits reveal? Is corrective / preventive

action being taken where required?

• Is the organization applying its resources appropriately?

• Do changes in laws or regulations require the organization to change some of• Do changes in laws or regulations require the organization to change some of

its approaches?

• What other changes are coming in the near term? What impacts (if any) will

these have on the IMS?

• What stakeholder concerns have been raised since the last review? How are

concerns being addressed?




For management review

The organization must determine the management reviewg g

frequency that will work best for it. Some organizations combine

these reviews with other meetings (such as director meetings).

Other organizations hold stand‐alone reviews. At a minimum,

consider conducting management reviews at least once per year.

IMPORTANT

During management review meetings, make sure that someone

records what issues were discussed, what decisions were arrived

at, and what action items were selected. Results of management

reviews should also be documented.

Tip

Introduce Implementers to the Management Review Worksheet:


Implementers to the Management Review Worksheet in the hard copy of their








pages as required.






• Explain that monitoring and management review form the last link of the PDCA or

Plan‐Do‐Check‐Act cycle.

• Add that Chapters 2 to 5 of the Manual have made various references to the GP

t l hi h b d d ifi i ttools which may be used under specific circumstances.

• End by introducing the next chapter on “GP Tools to Facilitate the IMS”.



Chapter 6


Thi h t di th i GP t l li bl t th PDCA l d hThis chapter discusses the various GP tools applicable to the PDCA cycle and hence,

the various stages of the IMS.

Facilitator notes:

• Start by outlining the various GP tools and where they appear along the PDCAStart by outlining the various GP tools and where they appear along the PDCA

cycle.

• Explain that some GP tools may be used for multiple stages of the PDCA cycle. For

example, brainstorming may be used during the IMS Policy development stage

(i.e. at the “plan” stage), during implementation (i.e. at the “do” stage) as well as

for the monitoring cum review stage (i e at the “check” stage)for the monitoring –cum‐review stage (i.e. at the check stage).

• Emphasize that some GP tools may be used for multiple stages of the PDCA cycle.

For example, brainstorming may be used during the IMS Policy development

stage (i.e. at the “plan” stage), during implementation (i.e. at the “do” stage) as

well as for the monitoring –cum‐review stage (i.e. at the “check” stage).

• The slide and the table on the following page outline the various GP tools and

where they appear along the PDCA cycle.



Stage of the PDCA Cycle GP Tool (*: may be used at more than one stage)

Plan • Brainstorming

Do * BrainstormingDo * Brainstorming• Plant layout• Ecomaps• Concentration diagrams• Material balance• Pareto analysis• Hazard and Operability Study (HAZOP)Hazard and Operability Study (HAZOP)• Failure Modes and Effects Analysis (FMEA)

Check * Brainstorming, FMEA• Flow chart• Process Flow Diagram (PFD)• Check sheetsCheck sheets• Benchmarking• Control charts• Fishbone diagram• Cost Benefit Analysis (CBA)

Act * Brainstorming FMEA Ecomaps Pareto


Act Brainstorming, FMEA, Ecomaps, Pareto analysis, Benchmarking, Control charts, CBA • Spider web diagram


Facilitator notes (continued…):

• The table below provides a very brief recap about when to use specific GP tools.

• The theory behind the tool has been explained for each GP tool.

• An example has also provided for each GP tool. As the facilitator, you can and

should start substituting these examples with those from your own experiences.

GP Tool When to use this GP Tool

Brainstorming To generate ideas and check their feasibility.

l l l d d f hPlant layout To gain complete understanding of the process sequence and operations.

Material balance To identify the quantity of substance going in and out of an entire facility, process, or piece of equipment.

Pareto analysis To be used for decision making which involves the selection of a limited number of tasks that produceselection of a limited number of tasks that produce significant overall effect. It uses the Pareto principle –the principle that by doing 20% of work one can generate 80% of the advantage of doing the entire job. In terms of quality improvement, a large majority of problems (80%) are produced by a few key causes (20%). Pareto analysis is thus a useful technique where(20%). Pareto analysis is thus a useful technique where many possible courses of action are competing for attention, and a quick decision must be taken to determine which course of action to focus on first.Note however, that this tool can be limited by its exclusion of possibly important problems which may be small initially, but which grow with time. It should be combined with other analytical tools such as FMEA, for example.

HAZOP To be used for identifying and dealing with potential problems in industrial processes, particularly those which would create a hazardous situation or a severe impairment of the process. It is said to be the most


impairment of the process. It is said to be the most widely used method of hazard analysis in process industries, notably the chemical, petrochemical and nuclear industries.



Ecomaps To identify and visually represent environmental and productivity related problems.

Concentration diagrams

To provide information on the location of events or problems However these diagrams are used as one ofdiagrams problems. However, these diagrams are used as one of a number of tools to find out what is causing problems in the way of functioning, thereby assisting in identification of ways to solve them. Thus, this tool should not be used as the first diagnostic tool, or the only one.

b d i i f l i fFMEA To be used in operations management for analysis of potential failure modes within a system for classification by severity or determination of the effect of failures on the system. It is widely used in manufacturing industries in various phases of the product life cycle and is now increasingly finding use in the service industry Failure modes are any errors orthe service industry. Failure modes are any errors or defects in a process, design, or item, especially those that affect the customer, and can be potential or actual. Effects analysis refers to studying the consequences of those failures.

Flow chart To represent activities or decision processes. It l i i i ll h h k i d b li kiexplains pictorially how the work is done by linking

together all the steps taken in a process. By definition, a flow chart presents the sequence of activities as well as their function, e.g., information collection, analysis, operation, decision making and so on.

PFD To represent processes along with the material or energy flows for an operation. It is built using a Flow chart.

Check sheets To collect data over time to show trends and recurring patterns, which need to be understood and controlled. They help collect data manually in a reliable and


They help collect data manually in a reliable and organized way. Due to this, fewer mistakes are likely in the collection, transcription, understanding and storage of data.



Benchmarking To identify variations from norms. This can then be useful in filling gaps in performance by putting in place best practice, thereby establishing superior performance. Benchmarking is used as a point of reference for evaluating the performance of an industry against other industries in that particular sector. Benchmarks are usually based on product or intermediate product, but in some cases (such as for the petroleum industry) they may also be based on raw material.

Control charts To show deviations or variability of performance in a process from a benchmark.

Fishbone diagram To identify causes of problems in the issue identification task. It may also be used in the generation of controls or actions to avoid or eliminate the causes of the problemsthe causes of the problems.

CBA To ascertain whether an action (used to meet a target or support the achievement of an objective) is economically viable, and if so, how it may compare in financial terms to other actions.

Spider web diagram To display the performance metrics for an ongoing


• Explain that by now, it may be evident that some clauses among the three

Spider web diagram To display the performance metrics for an ongoing program.

p y , y g

standards are common and some unique to a particular standard alone. It is thus

important to have an overview on the equivalence of clauses among the three

standards.

• End by introducing the next chapter on “Overview on Equivalence of Clauses

Among QSHE Standards”.Among QSHE Standards .



Chapter 7


This chapter provides a short overview on equivalence or similarity among the

clauses in the three standards.

Facilitator notes:

• Start by reminding users that they must have official (i.e. not pirated) copies of

the standards.

• Emphasize that users must refer to the respective clauses as and when required

(reproduced on the next page).

• Recommend that users employ the related guides for each standard (noted

below) to help them understand the fundamentals and vocabulary of the

standards.

– ISO 9000: Describes fundamentals of quality management systems, which

form the subject of the ISO 9000 family, and defines related terms

– OHSAS 18002: Explains the requirements of the OHSAS 18001:2007 standard

and shows how to work toward implementation and registration

– ISO 14002: Provides guidance for, and detail of special considerations for,

small and medium sized enterprises seeking to implement the ISO 14001:2004

standard



Requirements ISO 9001:2008 Clause

ISO 14001:2004 Clause

OHSAS18001:2007 Clause

General Requirements

4.1 4.1 4.1

Management System Policy

5.1, 5.3, 8.5.1 4.2 4.2

Planning

Id tifi ti d 5 2 5 4 2 7 2 1 4 3 1 4 3 1Identification and Evaluation of Aspects, Impacts and Risks

5.2, 5.4.2, 7.2.1, 7.2.2

4.3.1 4.3.1

Emergency 8.3 4.4.7 4.4.7Preparedness and Response and Control of Non‐conforming Product

Objectives, Targets and Programs

5.4.1, 5.4.2, 8.5.1 4.3.3 4.3.3

Resources, Roles, Responsibility and Authority

5.1, 5.5.1, 5.5.2, 6.1, 6.3

4.4.1 4.4.1

Authority

Operational Control

7 4.4.6 4.4.6

Documentation 4.2.1 4.4.4 4.4.4


Document Control 4.2.3 4.4.5 4.4.5


Requirements ISO 9001:2008 Clause

ISO 14001:2004 Clause

OHSAS18001:2007 Clause

Communication 5.5.3, 7.2.3 4.4.3 4.4.3

Monitoring and Measurement

7.6, 8.1, 8.2.3, 8.2.4, 8.4

4.5.1 4.5.1

Evaluation of Compliance

8.2.3, 8.2.4 4.5.2 4.5.2

Internal Audit 8.2.2 4.5.5 4.5.5

Non‐conformities, Corrective Action and Preventive

8.3, 8.4, 8.5.2,8.5.3

4.5.3 4.5.3

Action

ManagementReview

5.1, 5.6, 5.6.1, 5.6.2,5.6.3, 8.5.1

4.6 4.6


• Explain that so far, the Manual has provided a comprehensive overview of how

to establish, implement and maintain an IMS. However, the reality is far from

ideal. There is a specific set of barriers in the context of the IMS, which quite

often is the rule rather than the exception. It is important to understand these

barriers and find ways to overcome them if the IMS is to be successfully

established, operated and maintained.

• End by introducing the next chapter on “Overcoming Barriers in the Context of

the IMS”.



Chapter 8


This chapter discusses barriers in the context of the IMS and how they can bep y

overcome.

Facilitator notes:

• Explain that although international management standards have been in

existence for quite some time, it is not unusual for an organization to face

barriers during the establishment, operation and/or maintenance of such

systems. This is irrespective of whether management systems are implemented

singly or in an integrated manner.

• Note that generally, smaller‐ and medium‐sized organizations (typically known as

SMEs) tend to face barriers related to resource issues.

• However, larger‐sized organizations are also not exempt from barriers; they may

face barriers of a slightly different type, in terms of attitudes of employees

reluctant to adopt a single or integrated management system.

• Explain the core of the chapter as follows:• Explain the core of the chapter as follows:

The core of this chapter is to understand how to overcome barriers in the context

of the IMS. There are various types of barriers (see slide below).



The slides below provide an idea as to how to overcome these barriers. For

instance, when it comes to ignoring problems, targeted initiatives from interested

government bodies such as regulatory agencies, ministry of industry, etc. can

often help the SME. These are focused efforts to encourage such businesses to

design and implement an environmental management system at their work place

( b l )(see below).

Similarly, when the lack of resources forms a barrier in the context of the IMS,

outreach and technical assistance programs for SMEs can be found in many

countries across the world. Such programs can help to address the technicalcountries across the world. Such programs can help to address the technical

shortcomings of smaller businesses and respond to the specific needs of a

particular industrial sector.



For instance, costs of registration or certification of the IMS are often cited as a

major barrier by SMEs (see slide below).

Transition to the next and final chapter (i.e. Chapter 9):

U d li th f t th t it i b t t l b f h d th t h i t t• Underline the fact that it is best to plan beforehand the techniques to counter

barriers before they are given a chance to develop.

• Add that this chapter made passing reference to “certification / registration of

the organization’s IMS”.

• The following chapter of this Manual will explain what is certification /

registration in the context of the IMS, why it is important and how to go about

doing it.

• End by introducing the next and final chapter of this Manual – “Certification of

the Organization’s IMS”.



Chapter 9


This chapter explains what is certification / registration in the context of the IMS,p p / g ,

why it is important and how to go about doing it.

Facilitator notes:

• Explain that certification or registration of the IMS registration refers to the

process whereby a non‐biased third‐party attests that an organization’s IMS

conforms with the requirements of the relevant management system standards .

• Explain the various types of audits – 1st party, 2nd party and 3rd party. (see slide on

the next page).

• Explain the core of the chapter as follows:Explain the core of the chapter as follows:

The core of this chapter is to understand why certification or registration of an

organization’s IMS is important (but not mandatory), and how to go about

achieving it.



The third‐party organization that performs the certification service is called the

“Certification Body” and is selected by the organization that desires the

certification / registration services. An accredited Certification Body is an

organization accredited by a recognized accrediting body for its competence to

audit and issue certification confirming that an organization meets the

i f d drequirements of a standard.

Each country of the world has its own accreditation body established either

nationally or by their government. For example, in the United States, the

accrediting body for both ISO 9000 and ISO 14001 is the American National

Standards Institute/Registrar Accreditation Board (ANSI/RAB). ANSI/RAB has

established criteria which registrars must meet in order to achieve accreditation.

Other leading accreditation bodies are RvA (the Dutch Accreditation Council)

and UKAS (The United Kingdom Accreditation Service).

While certification is not compulsory, there are various reasons for an

organization to consider it seriously (see slide on the following page). For

example, in the automotive parts manufacturing industry, a certified

environmental management system is mandated for thousands of suppliers to

major auto makers In addition organizations which may be part of a globalmajor auto makers. In addition, organizations which may be part of a global

supply chain (either in terms of sale of goods or provision of services) may find

that third party registration becomes their strong selling point and enables them

to obtain a “preferred supplier status”.



The slide below shows the various steps involved in getting the organization’s IMS

certified. Note that certification is not denied to the organization unless one or

more major non‐conformances occur (explained on the next page).




When is a major non‐conformance said to have occurred?

When one or more of the numbered requirements or clauses ofq

the standard(s) have not been addressed, and/or

When one or more of the numbered requirements or clauses of

the standard(s) have not been implemented, and/orIMPORTANT

When several non‐conformances taken together lead a reasonable

auditor to conclude that one or more of the numbered

requirements of the standard(s) have not been addressed or

implemented.


Part 2: Case Study

Intent of the Case Study

The Case Study uses the power of participatory team‐work and adopts an

interactive and collective approach to problem solving. This approach appears to

be particularly essential to training that has the underlying principles of “worker

involvement” and “continual improvement”.

To facilitate this approach, the GP & IMS training module uses a case study with

pre‐structured tasks and definite instructions. This is expected to enable the

training process to be guided while at the same time provide sufficient

motivation and pressure to build innovative and feasible solutions under the

pressure of time. The approach is flexible and open for additional inputs like role‐

playing, simulation games, and / or actual fieldwork that would significantly

strengthen the learning curve.

The case study has been so designed that the participants are placed in realistic

situations of decision‐making. Thereby, they experience simulated consequences

of their actions and the interrelationship between decisions and resulting actions.

APO Guidance Manual on GP and IMS for Facilitators 83

Part 2: Case Study

Using the descriptions and data provided in the case study (Background,

Transcript, information collected during the Walk‐through, etc.), participants are

expected to identify, procure or synthesize this information while developing an

IMS for the Hotel.

This information will form the basis for all Action Sheets which are included as

part of this Case Study. Participants should be advised to use the Worksheets

provided in the various modules of the e‐learning package, while working on the

Action sheets of this case study.

Remember, in the absence of accurate information, participants may make

reasonable and realistic assumptions. In such cases, all such assumptions must be

clearly indicated along with the rationale for making them.

Structure of GP Group Work

Unlike conventional case study approach, the case study here needs more input

on the part of the trainer as well as trainees. This includes preparatory work by

the trainer, typically in the form of development of detailed instructions. The

trainees on the other hand need to focus and read the instructions carefully and

work intensively, as a team, during the work sessions.

The content of the Case Study stresses more on clarification of concepts,

methodology and adopting a systematic approach rather than on detailed

technical calculations. Calculations may used where required but it is not the

main intent in this approach.

The Case Study has been developed keeping in mind the time limit of 6 hours for

Group Work in the Face‐to‐Face training. Depending upon the type and response

of the participants, Facilitators may use their discretion in modifying the way the

case study is used. For e.g., participants may be asked to identify only the most

obvious aspects and risks, identify the key IMS Policy elements, etc.


Part 2: Case Study

Dos and Don’ts for the Facilitators

• Do not dominate

• Do not provide direct clues

• Do not solve but just be a catalyst

• Main point is understanding application of the integrated approach, not the

solution to the problem itself

• Make notes about what works and what does not

• Play role as members of the management of the company during presentation

from the Groupsfrom the Groups

Dos and Don’ts for the Participants

• Read mark while reading that is felt as important or where the text is unclearRead, mark while reading that is felt as important or where the text is unclear

and you need further clarification

• Make notes

• Focus on the assignment

• Stick to the time

• Be a team person. Behave well in the Group

• Information will not be necessary in the complete form. You will need to make

assumptions.

• Do not worry about the sector specific jargon. Get on to the approach.


Part 3: Annexures

Title

Worksheets

IMS Policy Worksheet

Product Quality Requirements Worksheet

Environmental Aspects Worksheet

Hazard Identification and Risk Assessment Worksheet

Legal and Other Requirements Worksheet

Objectives and Targets Worksheet

Management Programs Worksheet

Structure and Responsibility Worksheet

Training, Awareness and Competency Worksheet

Communication Worksheet

Documentation Worksheet

Document Control Worksheet

Operational Controls Worksheet

Emergency Preparedness and Response Worksheet

f d k hNon‐conforming Products Worksheet

Monitoring and Measurements Worksheet

Corrective and Preventive Action Worksheet

Records Management Worksheet

Internal Audit WorksheetInternal Audit Worksheet

Management Review Worksheet


IMS Policy Worksheet

*Attach additional pages if needed (page 1 of 3)

Query Response Action Needed

1. Do we have an existing organizational Policy? If yes, how was the organizational Policy developed?

2. Is the Policy documented?

3. When the organizational Policy was last reviewed?last reviewed?

4. Can we adapt it towards an IMS Policy?

5. Is the top management committed to the IMS Policy?

6. Does the IMS Policy reflect the nature and scale of our activities, products and services, i.e., does the Policy relate specifically to ourPolicy relate specifically to our business?

7. What other commitments does or should our IMS Policy contain?

d l k8. How does our Policy take into account the quality, environmental, and OH&S aspects of our products, activities and services?


IMS Policy WorksheetContd… (page 2 of 3)


9. Have we committed to –

• Continual improvement

• Prevention of pollution

• Prevention of injury and ill‐health

• Compliance to legal and other requirements

How are these reflected in the Policy?

10. Does the IMS Policy provide a framework for setting and reviewing IMS objectives and targets?

11. Will the achievement of these objectives lead us towards continual improvement?

12. How would we demonstrate conformance to our IMS Policy?

13. How is the IMS Policy communicated to our employees, contractors and other stakeholders? Do they understand the critical elements of our IMS Policy? How do we know this?

14. What feedback have we received on the IMS Policy (from employees, contractors or other interested parties)? What happens when we


parties)? What happens when we receive feedback on the IMS Policy?

IMS Policy WorksheetContd… (page 3 of 3)


15. How do we make our IMS Policy available to external parties? Is this process effective?


Product Quality Requirements WorksheetWorksheet

*Attach additional pages if needed (page 1 of 2)Query Response Action Needed

1. For each product / service delivery, how do we determine and record the

(a) requirements specified by the customer, including those concerned with delivery and post‐delivery activities (training and installation, support, etc),support, etc),

(b) requirements which may not be stated specifically by the customer but which are nevertheless necessary for specified or intended use of the product / service andproduct / service and

(c) statutory and regulatory requirements applicable to the product/service?

2 How do we ensure a clear definition2. How do we ensure a clear definition of product/service requirements; including in cases where the customer provides no documented statement of requirement?

3. If contract or order requirements differ from those previously expressed, how do we ensure that all discrepancies are resolved?

4. Do we have a system to maintain


4. Do we have a system to maintain records of results of the review and actions arising from it?

Product Quality Requirements WorksheetWorksheet

Contd… (page 2 of 2)Query Response Action Needed

5. How can we ensure that reviews are conducted prior to our commitment to psupply a product / service to a customer (for e.g., prior to submission of tenders and acceptance of contracts or orders)? What is the process for conducting reviews? Who will be responsible for doing so?

6. In cases where the product / service requirements are changed, how will relevant personnel be made aware of the changed requirements? g q

7. What program exists to increase customer satisfaction?





1. What process did we use to determine aspects and theirdetermine aspects and their significance?

2. Does that process need to be revised? In what way?

3 Who needs to be involved in this3. Who needs to be involved in this process within our organization? Should any outside parties be involved?

4. When is the best time for us to implement this process? Can it be linked to an existing organizational process (such as our budget, annual planning or auditing cycles)?

5 What sources of information can5. What sources of information can we use to identify environmental aspects? Have we looked at the legal and other requirements and linked them to the identified aspects?

6. Have we identified aspects associated with (a) routine activities

(b) non‐routine activities

(c) foreseeable emergency situations


in the vicinity of the workplace as well as outside it (in the latter case, related to activities within the control of the organization?


Contd… (page 2 of 2)


7. For any new development (actual or d h i h i iproposed changes in the organization

with respect to materials, processes, etc.) do you identify the aspects prior to their implementation?

8. Have we documented the environmental aspects of our:

• Operations and activities?

• Products?

• Services?Services?

Are these readily available?

9. What sources of information can be used to determine the environmental impacts of these aspects?impacts of these aspects?

10. What criteria would make sense for our organization for determining which aspects are significant?

11. How will we keep this information up‐to‐date?

12. How and when do we re‐evaluate aspects and their significance?


13. How are significant aspects communicated to relevant organizations?

Hazard Identification and Risk Assessment WorksheetAssessment Worksheet



1. What process did we use for hazard identification and risk assessment?

2. Does that process need to be revised? In what way?

3. Who needs to be involved in this process within our organization? Should any outside parties be involved?

4 Wh i h b i f4. When is the best time for us to implement this process? Can it be linked to an existing organizational process (such as our budget, annual planning or auditing cycles)?

5. What sources of information can we use to identify hazards and the associated risks?

6. Have we identified hazards associated withassociated with (a) routine activities


(c) foreseeable emergency situations





7. Have we identified hazards and the associated risks of :(a) routine activities


( ) f bl(c) foreseeable emergency situations

outside the workplace affecting persons within the workplace?

8. For any new development (actual or proposed changes in the organization with respect to materials, processes, etc.) do you identify the hazards and the associated risks prior to their implementation?

9. Does the hazards and the associated risks identification address activities of persons having access to the workplace (such as contractors and visitors)? If not, how should this be accomplished? Who should be involved?

10. What activities / operations are associated with unacceptable risk?





11. Does our risk assessment involve consultation with, and appropriate participation by our workers?

12. How are activities / operations associated with unacceptable riskassociated with unacceptable risk controlled? List methods.

13. How do we know whether these controls are adequate (i.e. to manage significant aspects, to ensure compliance, to achieve objectives?

14. How do we train employees and contractors on relevant operating controls?

15. If new controls are needed (or existing ones need to be revised), what is our process for doing so? Who needs to be involved in this process?


Legal and Other Requirements WorksheetWorksheet



1. What process did we use to identify legal and other requirements to which the Organization subscribes?

2. Does that process need to be revised? In what way?revised? In what way?

3. Do we subscribe to any voluntary commitments? Have we identified these?


5 What sources of information do5. What sources of information do we use to identify applicable legal and other requirements? Are these sources adequate and effective? How often do we review these sources for possible changes?

6. How do we ensure that we have access to legal and other requirements? (List any methods used, such as on‐site library, use of web sites commercial services etc )


web sites, commercial services, etc.)

Legal and Other Requirements WorksheetWorksheet



7. How do we communicate information on legal and other requirements to people within the organization who need such information?

8. Who is responsible for analyzing new or modified legal requirements to determine how we might be affected?

9. How will we keep information on legal and other requirements up‐to‐legal and other requirements up todate?


Objectives and Targets Worksheet



1. What are our existing goals? How were these developed? Who was involved? What factors were considered in setting these goals?

2. Do we have an existing process for setting and reviewing objectives andsetting and reviewing objectives and targets? If so, does that process need to be revised in line with IMS requirements? In what way(s)?


4. How do we ensure that objectives and targets are consistent with theand targets are consistent with the commitment of continual improvement?

5. How are objectives and targets measured and monitored?

6. How often do we review our objectives and targets to assess if they are current and/or if new ones need to be set?


7. How do we communicate the results of this review?




1. Do we have an existing process for establishing management programs? Ifestablishing management programs? If yes, does that process need to be revised in line with the requirements of the standards for IMS management programs? In what way?

2. What are our existing programs? How were these developed? Who was involved? What factors were considered in setting these programs?

3 Are our management programs3. Are our management programs developed considering IMS objectives and targets?

4. Who all need to be involved in the design and implementation of these programs within our organization?

5. When is the best time for us to establish and review such programs? Can this effort be linked to an existing organization process (such as ourorganization process (such as our budget, planning or auditing cycles?)

6. What do we do if we don’t meet the established objectives and targets?





7. How would we amend the programs if there are new developments thatif there are new developments that can affect the objectives and targets?

8. How do we ensure that changes to products, processes, equipment and infrastructure are considered in our programs?

9. How will we otherwise keep our programs up‐to‐date?





1. How have we ensured that the responsibilities and authority for the IMS are defined and communicated within the organization (organization charts and/or quality, environmental and OH&S responsibilities defined)? Is this process effective?

2. Who is/should be our IMS Management Representative? Does this individual have the necessary authority to carry out the responsibilities of this job?

3. Are our key roles and responsibilities for the management of the IMS documented in some manner? If so, how (e.g., job descriptions, organizational charts responsibilityorganizational charts, responsibility matrix, etc.)?

4. How are IMS roles and responsibilities communicated within our organization?

5. How do we ensure that adequate resources (human and financial resources) have been allocated for the IMS? How is this process integrated with our overall budgeting process?


with our overall budgeting process? How are expenditures for the IMS tracked?




6. Have we made provisions for adequate infrastructure (e.g. building, utilities, technology, process equipment, supporting facilities, etc.) ?

7. How will we keep this information up‐ to‐date?


Training, Awareness and Competency WorksheetWorksheet



1. Do we have an existing process for training? If so, does that process need to be revised in line with the requirements of the IMS? In what way(s)?

2. What types of training do we provide now (e.g., new employee orientation, contractor training, safety training)? What additional IMS‐related training fit with our existing training program?

3. How do we determine training needs now? List methods used. Are these processes effective?

4. How do we establish competency, where needed? List methods used, such as professional certifications. What are the key job functions and activities where we need to ensure competency with respect to the IMS?

5. How do we ensure that contractor and sub contractor personnel on the site have adequate training?


6. Who is responsible for training now? Who else might need to be involved within our organization?

Training, Awareness and Competency WorksheetWorksheet



7. Who is responsible for ensuring that employees receive appropriate training? How do we track training to ensure we are on target?

8. How do we evaluate training8. How do we evaluate training effectiveness? List methods used, such as course evaluation, post‐training testing, behavior observation.





1. How do we ensure that communication of quality issues iscommunication of quality issues is communicated throughout the organization (what process or document defines this flow)?

2. What system do we use for i i i hcommunicating with customers:

a) Product specifications and information (salesmen, web site, specification sheets, etc.)

b) Inquiries, contracts, change orders and new orders

c) Customer feedback including customer complaints

3. Who are our key external t k h ld ? H thstakeholders? How were these stakeholders identified?

4. With regard to our organization, what are the key concerns of these stakeholders? How do we know this?

5. What mechanisms are adopted / shall be adopted to communicate the IMS Policy?

6 What community outreach efforts are


6. What community outreach efforts are we making now (or have we made in the recent past)? How successful have these efforts been?




7. What methods do we use for external communication? Which appear to becommunication? Which appear to be the most effective? Who has primary responsibility for external communication?

8. How do we gather and analyze i f i b i d? hinformation to be communicated? Who has responsibility for this?

9. How do we communicate internally (as well as with our suppliers and contractors)? What processes do we ) phave to respond to internal inquiries, concerns and suggestions? How effective are these methods?


Documentation Worksheet



1. Have we created the required d t ti f th IMS? I thdocumentation for the IMS? Is the documentation adequate?

2. Who needs to be involved in this process within our organization?

3 Have we documented our company IMS Policy and objectives?

4. Do we have a structured system of documentation (e.g. core and supporting elements of IMS)?

5. Have we created a system for management of records that demonstrate compliance with the

d d ?standards?





1. Do we have an existing process for controlling IMS documents? If yes doescontrolling IMS documents? If yes, does that process need to be revised? In what way?


3. Who needs access to controlled copies of IMS documentation? How do we ensure that they have access?

4 How do we ensure that IMS4. How do we ensure that IMS documents are periodically reviewed and updated as necessary?

5. Who has authority to generate new documents or modify existing ones? How is this process managed?

6. How are users alerted to the existence of new IMS documents or revisions to existing ones?

7. How do we ensure that obsolete documents are not used?





8. Is our IMS document control process integrated with other organizationalintegrated with other organizational functions? If so, how do we ensure proper coordination between the IMS and other functions?

9. For electronic documents how do we create back‐ups and what are the security controls?





1. Have we identified operations and activities associated with significant environmental aspects and unacceptable risks? If not, how will this be accomplished? Who should be involved?

2 What operations and activities are2. What operations and activities are associated with significant environmental aspects and unacceptable risks?

3. What operations and activities are associated with legal requirements?

4. How are the above operations and activities controlled? List the procedures, work instructions or approved working methods (as app o ed o g et ods (asapplicable). E.g. access controls, barriers, procedures, work instructions, alarms, signage, etc.

5. How do we train and employees and t t l t ticontractors on relevant operating

controls?

6. How do we communicate relevant operational control procedures to employees contractors and suppliers?


employees, contractors and suppliers?

7. How do we know (the evaluation process) whether these controls are adequate for their suitability and effectiveness (i.e., to manage significant




8. If new controls are needed (or existing ones need to be revised), what is our process for doing so? Who needs to be involved in this process?

9. What is the process for review of operational controls of suppliers as it relates to the IMS?relates to the IMS?

10. What operational controls have been implemented specifically to address risks extending into areas adjoining the organization and areas beyond the organization but used by our employees (e.g. the client’s site)?


Emergency Preparedness and Response WorksheetWorksheet



1. Have we reviewed our operations and activities for potential emergency situations? If not how will this be accomplished? Who should be involved?

2. Have we prepared an emergency response procedure? If yes, does it address all foreseeable emergencies? If not how will these be accomplished?

3 H id d d3. Have we considered and communicated with local emergency services?

4. Have we considered an emergency that could affect our neighbours? Do we have emergency response procedures for such emergencies? Are the neighbours aware of their roles and responsibilities?

5 Do our existing emergency plans5. Do our existing emergency plans describe how we will prevent incidents and associated impacts? If not how will this be accomplished? Who should be involved?


6. Have we trained personnel on their roles and responsibilities during emergencies?

7. What emergency equipment do we maintain? How do we know that this

Emergency Preparedness and Response WorksheetWorksheet



8. How do contractors and other visitors know what to do in an emergency situation?

9. How do we test our emergency response procedures? Is there a plan / response procedures? Is there a plan /schedule for conducting future drills?

10. How do we record incidents?

11. Have we established a feedback l f t i t iloop for to incorporate previous emergency response experience?


Non‐conforming Products Worksheet



1. Do we have a process to ensure that a product / service which does nota product / service which does not conform to the requirements is identified? If yes, can we modify it to meet the requirements of the applicable standard? If not, how will this be accomplished? Who will be involved?

2. How do we control such non‐conformities to prevent unintended use or delivery? What actions can we take to eliminate identified non‐take to eliminate identified nonconformities? How do we determine if and what concessions are allowable in such cases? Who will be involved?

3. If non‐conforming product is detected after delivery or use, is appropriate action taken by the organization to correct the problem?

4. What process is used to authorize use, release or accept non‐conforming , p gproduct with concessions? Who will be involved?

5. Are records maintained identifying non‐conformities and any subsequent ti t k t th d t ith


actions taken to use the product with concessions?

Non‐conforming Products Worksheet



6. Do we have a returned goods process or equivalent to takeprocess or equivalent to take appropriate actions when the non‐conforming product is detected after delivery or use has started? If yes, can we modify it to meet the requirements of the applicable standard? If not, how will this be accomplished? Who will be involved?

7. How do we know whether the established controls are adequate? List applicable methods [GP tools to trackapplicable methods [GP tools to track non‐conformities over time.] What do we do if the established controls are inadequate?

8. How do we train employees and l l ?contractors on relevant controls?


Monitoring and Measurements WorksheetWorksheet



1. Have we identified operations and activities associated with qualityactivities associated with quality requirements, significant environmental aspects and unacceptable risks, legal requirements and IMS objectives? If not how will this be accomplished?

2. Do we have monitoring and measurement process for the product being done at an appropriate stage in the product realization (production) process?process?

3. Have we identified the key characteristics that we need to monitor and measure to ensure that operational controls are being implemented correctly?

4. Have we identified the key characteristics that we need to monitor and measure to ensure that we are complying with applicable legal e a e co p y g t app cab e egarequirements?

5. Have we identified the key characteristics that we need to monitor and measure to ensure that

l h h h


we are complying with the other requirements, we subscribe to?

Monitoring and Measurements WorksheetWorksheet



6. Have we identified the key characteristics that we need tocharacteristics that we need to monitor and measure to ensure that we are achieving our IMS objectives and targets?

7. Have we identified the key characteristics that we need to monitor and measure to ensure that we are achieving our IMS objectives and targets?

8. Have we identified the equipment q pused for any of the monitoring or measurement listed above? If not how will this be accomplished?

9. How will we ensure that monitoring d i iand measurement equipment is

properly calibrated and maintained?


Corrective and Preventive Action WorksheetWorksheet



1. How do we identify non‐conformance to our IMS and otherconformance to our IMS and other potential system deficiencies? If there are non‐conformances and deficiencies, do the related processes or procedures need to be revised? In what way?

2. Do we collect and analyze data to assess customer satisfaction? If not,what must we do to collect and analyze such data?

3 What are the methods / tools used3. What are the methods / tools used for identifying non‐conformities and other potential system deficiencies? List methods such as audits, employee suggestions, ongoing monitoring, etc.

4. Do we have an existing process for corrective and preventive action? If yes, does that process need to be revised? In what way?

5 Who needs to be involved in the5. Who needs to be involved in the corrective‐preventive action process within our organization?

6. How do we determine the causes of non‐conformities and other system


deficiencies? How is this information used?

7. How do we track the status of our corrective and preventive actions?

Corrective and Preventive Action WorksheetWorksheet



8. How do we verify the closure of all f ? Whnon‐conformances? Who are

responsible for this verification?

9. How is / can information on non‐conformities and corrective‐preventive actions be used within the IMS (for (example, in management review meetings, in employee training sessions, in review of procedures, etc.)

10. How do we ensure the ff i f i deffectiveness of our corrective and preventive actions?


Records Management Worksheet



1. Have we identified what records need to be maintained for the IMS? Where is this defined?

2. Have we determined records retention times? Where is this d fi d?defined?

3. Who determines the retention time of the records?

4. Have we established an effective4. Have we established an effective storage and retrieval system?

5. How do we dispose IMS records?

6. For electronic records, how do we ensure back‐up and security of the records?


Internal Audit Worksheet



1. Have we developed an IMS audit schedule? If not, how will this beschedule? If not, how will this be accomplished? Who need to be involved in the audit process?

2. Is there another audit schedule with which our IMS audits could be linked?

3. Have we determined an appropriate audit frequency? What is the basis for the existing frequency? Should the frequency of audits be modified?

4. Have we selected IMS auditors? What are the qualifications of our auditors?

5. What training has been conducted or i l d f IMS dit ?is planned for our IMS auditors?

6. Do any of our auditors ever audit their own work?

7. Have we conducted IMS audits as described in the audit schedule? Where are the results of such audits described?

8. Are the audit results discussed with the auditee?


the auditee?

Internal Audit Worksheet



9. What system is in place to ensure h di f i i d h ithat audit non‐conformities and their causes are corrected and eliminated without undue delay?

10. Do follow‐up audit activities include verification of the actions taken and reporting of the results?

11. How are the results of IMS audits communicated to top management?

12 How are the records of these audits12. How are the records of these audits maintained?





1. Do we conduct the management review of the IMS at planned intervals to ensure the effectiveness of the system? What is the basis for this frequency? Should we conduct reviews more or less frequently?

2 Do we have an existing process for2. Do we have an existing process for conducting management reviews? If yes, does that process need to be revised? In what way?


4. Who is responsible for gathering the information needed to conduct management reviews? Who is responsible for presenting thisresponsible for presenting this information?

5. How do we ensure that changing circumstances (both internal and external to the organization) are considered in this process?





6. How do we ensure that the outputs from the management review given the proper resources for corrective and preventive action?

7. How do we ensure that the recommendations of management reviews are tracked and acted upon?reviews are tracked and acted upon?


Complementary Study Material Guidance Manual for Facilitators

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