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IMS Manual 2012

Introduction References Terms and Definitions Interactions between processes and procedures General Requirements Scope Management System Policy IMS Policy Planning PER Identification of environmental aspects and impacts and their significance Identification of legal requirements Contingency Planning (EPRP, Hazard, Risk Assessment, Cyclone, fire, first aid) Environmental and quality objectives Organisational structure

IMS Manual 2012

Implementation and operation Design and Development Product Realisation Purchasing Order to Delivery Production Management of resources and infrastructure Calibration Control of documents and records Communication Customer complaint

IMS Manual 2012

Performance Assessment Analysis of data Evaluation of compliance Internal Audit Control of non-conforming (RM, In-process, FG) Improvement Continual Improvement Corrective and preventive actions Management Review Management Review Inputs and outputs

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Audits are normally designed to achieve one or more objectives as follows: Determine the conformity or non-conformity of the clauses of the management system prescribed requirements Determine the effectiveness of the quality system in place to satisfy the prescribed objectives Determine compliance to legal requirements

Identify the needs of improvement Therefore, 1. Your remarks must be exact, based on value added facts people may see your remarks pertinent, although strict and strong it should bring value to organisation 2. People must understand how to handle your remarks 3. Adding value

Objectives of an audit

Aim of an audit

Internal Audit Training Course Date:

Understand the requirements of ISO 14001:2004, ISO 9001:2008 and ISO 19011: 2002 Acquire practical knowledge, skills, attitudes and habits necessary to become an internal auditor To gain the necessary competence to work in an audit team and how to manage an audit programme

Objectives
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Introduction to ISO 14001: 2004 Introduction to ISO 9001: 2008 ISO 19011: 2002 Preparing and Conducting an audit

Introduction to ISO 14001: 2004

Environmental Management System (EMS)

Course Structure

Structure & Principle of ISO 14001

Initial Status Review (PER) Management Review Environmental Policy

Interrelation between steps in implementation of EMS

Legal requirements, Public opinion, Usage of Resource, Interested parties opinion Environmental Objectives & Environmental programs Operational controls Management Review Correction, CA, PA

Activities Products Services

Environmental aspects

Significant Environmental aspects

Monitoring & Measurement

Continual Improvement
Checking & Corrective Action Implementation & Operation Planning

Policy, Resources, Emergency Preparedness, Responsibility & Authority, Training & Awareness, Communication, Documentation & Record Management, Internal audit

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Define Scope of EMS

Clause 4.2 - Policy

What is an Environmental Policy?
It is a statement by the organisation of its intentions and principles in relation to its overall environmental performance, which provides a framework for action and for setting of its environmental objectives and targets.

Clause 4.1.3 of ISO 14001: 2004 & Paragraph A.1

The organisation need to define the boundaries of the EMS The scope provides opportunity to define responsibilities and the auditor needs to ensure that the organisation is not using a specific defined scope to abdicate responsibility

YOUR ROLE: Policy goals must be achievable - If too ambitious may not be met - If too conservative may be open to criticism Auditors should scrutinise policy statement and checked for discrepancies

Clause 4.3.1 Environmental Aspects, Impacts and Significance

Environmental Aspect any element of an organisations activities, products or services that can interact with the environment [E.g. water, diesel, effluent, solid particles, chemicals, noise, solid waste, exhaust emissions] Environmental Impact any change to the environment, whether adverse or beneficial wholly or partially resulting from an organisations activities, products or services [E.g.
water pollution, air pollution, land pollution, Acid rain, Health Impact, increase landfill volume]
ASPECTS: Raw Materials Water Electricity

Mixing Process
IMPACTS: INPUT Depletion of resources

Mixing

Semi-Finished Product

HOW TO IDENTIFY: Through process flow diagrams, walking inspections and checklists

Particulate Matter Waste Paper Bags Waste Drums Volatile Vapours

OUTPUT

Reduce Air Pollution Increase waste/load to landfill

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Identify Aspects and Impacts and their Significance Step 1

Select the processes or activities of the organisation Identify the aspects associated with the activities under normal operations Include inputs and outputs of the activities Repeat step 2 for abnormal & emergency situations NB abnormal situations include breakdown Identify the impacts for each aspect Quantify each aspect where possible Evaluate the scale of impact and significance of each aspect. Select significant aspects and impacts

Major Aspects of Sofap

Particulate matters Fire; Injury; Illness Noise and Odour Energy Use, efficiency and management Water Use, efficiency and management Washing and cleaning effluents Environmental hygiene (Housekeeping) Chemical Spill and Toxic Waste Fuel consumption Waste Paint Solid waste: Paper, Plastics, raw material paper bags Waste Cans (Plastic & Metal)

Step 2 Steps 3 & 4 Step 5 Step 6

Step 7

Clause 4.3.2 Legal and other Requirements

The list and applicable legislations are available on DMS Compendium of Legislation Permits, Licenses, certifications and contracts are available on DMS - Environment Protection Act 2002 - Regulations for Air, Effluent Discharge, Hazardous Wastes, Noise, Waste oil, Industrial waste audit - Dangerous Chemical Control Act 2004 - Local Government Act 2003 - Occupational Safety and Health Act 2005 - Legal Metrology Act 1985 - Directive 2004/42/CE VOC Paint - Employment Relations Act - Employment Rights Act - MSB: Paint Specifications for MS3; MS24: MS87

Clause 4.3.3 Objectives, Targets and Programmes

Establish and maintain a documented environmental objectives and targets (programme)
- Accessible by process owners - Roles and responsibilities clearly defined - Means (methodologies) to achieve objectives - Time frame to be achieved - Status of objectives

- Check completion and adherence to the programme

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Clause 4.4.1 Resources, Roles, Responsibilities & Authorities

Key responsibilities under EMS documented and communicated to all relevant personnel: Role by Role Guide Signing off with relevant personnel Can audit a few personnel and questioning them about their responsibilities in the EMS

Clause 4.4.2 Competence, training and awareness

Level of training for each function must be based on an assessment for the required competence for that position. Every employee needs to understand the policy and their role, but not all personnel will require in-depth knowledge of environmental science. Can question a few personnel (staff/operator) to ask their understanding of the companys environmental commitment. Training needs analysis should be carried out by HR.

Clause 4.4.3 Communication

Clause 4.4.4 Documentation

Manual based on PAS 99 for Integrating management systems - Policy, objectives and targets, statement of commitment - EMS and QMS Procedures - Flowcharts - Emergency Response and Preparedness Manual - Work Instructions - Test Procedures - Templates of forms - Records (available with process owners)

Two types: Internal and External Communication Internal Communication: Address information exchange between levels of staff ( Dashboard, HoD meetings, Management Review, Steering Committee, Briefings) External Communication: Cover complaints and replies to enquiries, report performance to pressure groups

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Clause 4.4.5 Control of documents

The procedure must ensure documents:
Are easily located Are regularly reviewed Obsolete versions are removed Version numbers and dates are evident

Clause 4.4.6 Operational Control

After aspects are evaluated, those activities that require control are identified. Operational control to include:
Operating criteria Control and monitoring measures What to do if it goes wrong Responsibilities Reporting

External documents (e.g. legal permits, etc) must also be controlled and ensure they are distributed to correct people.

Clause 4.4.7 Emergency Preparedness and Response

Procedures to identify the potential for accidents and emergency situations (risk assessment) Procedures for adequate response & minimise impacts Regular testing required Review Procedures after test and incidents Emergency Preparedness and Response Manual includes response to chemical spillages, fire, first aid

Clause 4.5.1 Monitoring and Checking

Procedure to monitor and measure key characteristics of operations Documented information on:
Performance Applicable operational controls Conformity with objectives and targets

RECORDS FOR CALIBRATION OF MONITORING EQUIPMENT

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Clause 4.5.2 Evaluation of compliance

Clause 4.5.3 Nonconformity, corrective action and preventive action

Procedure for initiating and completing corrective and preventive actions. Employees must be able to recognise a NonConformity , take action and report it. Record is a key component of EMS reporting process.

Procedure for periodic compliance evaluation: All relevant legal requirements Other standards subscribed to Records of evaluation to be kept

Clause 4.5.4 Control of records

Records needed to demonstrate conformity with EMS Procedure required to:
Identify Storage & retrieval Protection Retention and disposal

Clause 4.5.5 Internal Audit

Internal Audits need to be planned, properly implemented and maintained Fundamental part of EMS as they confirm
Conformity with planned requirements EMS has been properly implemented

Records need to be legible, identifiable & traceable

Main sections of the audit procedure: Audit scope; Frequency; Methodology; Responsibilities; Reporting

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Clause 4.6 Management Review

Done at planned intervals Review must be documented and include observations, conclusions and recommendations for necessary actions
Review of EMS to ensure continuity:
Suitability Adequacy Effectiveness

Audit Process ISO 19011: 2002 Guidelines for quality and/or environmental management systems auditing

Summary of Audit Procedure Step 1 Prepare Audit Programme Set of one or more audits planned for a specific timeframe and directed towards a specific purpose An audit programme will include all activities necessary for planning, organising and conducting the audits. To be approved by Top Management.
1. Planning and Scheduling audit; 2. Assuring the competence of auditors and audit team leaders 3. Selecting appropriate audit teams and assigning their roles and responsibilities 4. Conducting audits 5. Conducting audit follow-up, if applicable 6. Monitoring and performance and effectiveness of audit programme 7. Reporting to Top Management on the overall achievements of the audit programme

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Planning of Audit

Introduction to ISO 9001: 2008

Quality management System (QMS)

Planning of audit includes the following:
Preparing the MR PLAN includes

Objective of QMS
Overall objective is to enhance customer satisfaction by meeting their requirements
Emphasis should be put on the following key themes:
All QMS processes must be planned, implemented, measured and improved ISO 9001 requirements focus on controlling QMS processes, not product QMS controls must emphasize prevention of nonconformities rather than detection. QMS processes must be customer focused. Process personnel must be aware of and strive to meet internal and external customer requirements. Continually improve the effectiveness of the QMS.

Continual Improvement of the quality management system

Clause 5 Management Responsibility

CUSTOMERS REQUIREMENTS

Clause 8 Measurement, analysis and improvement

Clause 6 Resource Management

INPUT

Clause 7 Product Realisation

Product

OUTPUT

Value-Adding activities

Information Flow

CUSTOMERS SATISFACTION

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Act: Corrective action Preventive action Management Review

Plan: Identify requirements Review arrangements Identify gaps Set objectives

Do: Implement & communicate Set responsibilities Write procedures Establish controls Training Check: Monitor compliance Audit & Inspection Sample & measure Report non conformities

Achieving Compliance

System Linkages
Risk Assessment

4.4.1 Operational Control - for example machine maintenance:

OH&S: Wear your PPE, Use the permit to work, isolate the machine Product: Ensure machine is cleaned, set up for quality critical to quality parameters Environmental: Dont throw the oil down the drain etc.

Legislation

Goal: One stop shop document for each process and task.

Business Controls

Documenting Working Procedures

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4.4.3: Documentation requirements, 4.5.4: Handling non conformities, 4.6.2: Corrective & preventive action
Control of documents & data Control of records Control of non conformities CAPA

4.2: Policy, 4.3.4: Objectives, 4.7 Management Review

One policy Common (non conflicting) objectives One Management Review of the business

Goal: Common procedures for these systems and clear priority on CAPA for the business as a whole

Goal: Common vision, goals and priorities for the business as a whole

Core Systems

Management Responsibilities

4.5.2: Internal Audit

With What? With Whom?
Training Knowledge Skill

Saves time Must focus on processes (not system elements) Use auditors & specialists to achieve competency Carefully define the scope of the audit & criteria

Equipment Infrastructure

Inputs What should we receive?

Process

Outputs What should we deliver?

Goal: Common vision, goals and priorities for the business as a whole

How Many?
Performance Indicators

Instructions Procedures Methods

How?

IMS Audit

A Turtle Process Map

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Perception: Fear:

Can a good Environmental/Quality/H&S Manager cut it running an IMS?

Is this a cleaver way to right size the organisation? Sound fantastic Mike but

Too Hard:

Lack of Control:
Nice try Mike but Ive just spent the last 5 years trying to get everyone to follow the Q/E/H&S procedures we need to maintain the focus not dilute it!

Write a policy for the IMS Define the system write a well structured manual to act as your instruction book Make sure you have well developed process understanding Install common system elements

Some Barriers to Integration

Implementing an IMS

Encourages risk management across the business Gives a competitive edge more holistic approach to business management Stakeholder satisfaction systemic approach to risk, governance across the business Common goals across the business You should not integrate to save a few on Certifications costs!

What the Certification Bodies didnt tell you!

Still need to be certified 3 times (i.e. ISO 9001, ISO 14001 & OHSAS 18001) Probably will not make any kind of cost saving Not all auditors are multi skilled (you may get 2-3 auditors) Are all auditors competent to audit your business?

Benefits of an IMS

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So in conclusion
PAS 99 Simple framework to use Genuinely drives a risk based approach to management Simplifies systems Can lead to internal savings

But Translate your system Ensure common processes Ensure correct competencies are sustained

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