Integrating your management systems (also known as IMS) can help to reduce

duplication and improve efficiency. By combining your management systems, it

can provide greater benefit than running separate management systems in parallel.
What is an IMS?
An integrated management system is a management system that integrates all or
part of an organization's systems and processes in to one complete framework,
enabling an organization to work as a single unit with unified objectives.
Integrated Management is relevant to any organization, regardless of size or sector,
looking to integrate two or more of their management systems into one cohesive
system with a holistic set of documentation, policies, procedures and processes.
Typically, organizations most receptive to this product will be those who have
maturing management systems and who wish to introduce other management
systems to their organization with the benefits that those bring. 
What can be Integrated?
You can integrate any management system:
ISO 9001 – ISO 14001 – ISO 45001 – ISO 27001 – ISO 50001.
What are the benefits of an IMS?
 Easy and user friendly approach to manage various standards.
 Reduces costs and increases profit margins.
 Increases competitiveness.
 Better financial performance and optimized cost: 
By avoiding duplication in internal audits, Management Review, objectives, Legal
Registers, document control, training and QHSE administration , adopting future
management systems will be much more effective. 
Time savings: By having only one set of unified documentation. 
Most organizations also benefit from having a reduction in the total number of
audit days when integrated compared to a non-integrated system.
Use the checklist below to assess how much an organisation has
implemented General Requirements of an IMS 
Question / Element Success Criteria     DONE NOT DONE
Has organisation defined scope for IMS?
Has organization established, documented,
implemented and maintained an Integrated
Management System (IMS) that meets ISO9001,
ISO 14001 and ISO 18001 requirements?
Has organisation addressed exclusions for IMS?
Are Process Interactions and Interrelations
defined?
Has organisation developed its organisation
chart?
Are roles and responsibilities defined?
Does organisation define outsourced processes
and further define controls for these processes ?

PLAN
Step 1: Awareness Training
Organization companywide awareness about various standards covered under
INTEGRATED MANAGEMENT SYSTEM for your organization. Separate
training sessions for top management, middle management and junior level
management. Creates a motivating environment throughout the organization for
implementation of an integrated management system covering all or some of the
ISO standards.
Identification of INTEGRATED MANAGEMENT SYSTEM Training Needs
Your Management should run a training program to increase competency of its
employees for this purpose using the following procedure :

At the start of each year, QHSE Manager in consultation with the head of
departments reviews the current INTEGRATED MANAGEMENT SYSTEM
performance levels and identifies the INTEGRATED MANAGEMENT SYSTEM
training and awareness needs of the personnel. 
The Following factors should be taken into account while identifying the
training needs;
a. Changes in the INTEGRATED MANAGEMENT SYSTEMS, such as new or
revised procedures, or changes in the INTEGRATED MANAGEMENT SYSTEM
policy;
b. Changes in processes, or operations;
c. Changes in applicable laws, regulations, and other requirements;
d. New significant INTEGRATED MANAGEMENT SYSTEM issues, objectives,
or targets;
e. New management programs;
f. Results of internal audits of the INTEGRATED MANAGEMENT SYSTEM ;
g. Non-compliance against applicable laws, regulations, and other requirements;
h. Non-attainment of specified INTEGRATED MANAGEMENT SYSTEM
performance, or decreasing performance;
i. Inadequate performance of individuals or groups of personnel.
Training needs are identified and sent through email to QHSE Manager by
department heads. Based on the identified training needs assessed, QHSE Manager
prepares a yearly INTEGRATED MANAGEMENT SYSTEM Training Plan. 
The Training Plan should be reviewed and approved by the top management. The
top management should then follow-up the implementation of INTEGRATED
MANAGEMENT SYSTEM Training Program with coordination of concerned
H:O:D and report the progress to INTEGRATED MANAGEMENT SYSTEM
Management Review Committee.
General INTEGRATED MANAGEMENT SYSTEM Orientation Training : 
The QHSE Manager should provide orientation training to all new and existing
employees. The training should present basic concepts, principles, and
requirements of the Integrated Management System, discusses the INTEGRATED
MANAGEMENT SYSTEM policy, the company’s significant INTEGRATED
MANAGEMENT SYSTEM issues, objectives, and targets. 
Participation in the general orientation training should be recorded. The records
must also be maintained by the QHSE manager as documented information. 
General Awareness on INTEGRATED MANAGEMENT SYSTEM is also
communicated through banners/postings, INTEGRATED MANAGEMENT
SYSTEM awareness programs/events, etc.
Training on INTEGRATED MANAGEMENT SYSTEM(ISO 9001, 14001 &
45001 etc ) : 
Training sessions of management and section in charges are carried out on the
understanding and implementation of INTEGRATED MANAGEMENT SYSTEM
Requirements (Policy, objectives, CPAs, MRM etc.). The records of training are
maintained by QHSE Manager department.
Training on Emergency Preparedness and Response
Personnel assigned with specific responsibilities in implementing emergency
response procedures are trained in how to carry out the tasks and activities
assigned to them. This training may include operating emergency equipment (Fire
Extinguisher) coordinating evacuation, notifying external emergency services, and
so forth. Section In charges ensure that all personnel designated for specific
emergency response activities are adequately trained.
Competence and Skill Training : 
Departmental Heads and QHSE Manager are responsible for ensuring that
personnel whose work can have effect on the quality of service are sufficiently
competent and skilled in performing their work.
Personnel who have proven experience in operating relevant processes and
equipment are also required to undergo any refresher training program to update
their skill level. 
Competence acquired through experience may be identified and recorded in the
form of experience certificates or bio-data, which are maintained by HR
department.
External Training : 
Your company should direct employees to participate in approved seminars,
conferences, and other forms of external training. Departmental Heads should
recommend employees for external INTEGRATED MANAGEMENT SYSTEM
training, which is reviewed by QHSE Manager and approved by Director. 

The Department head should then plan for registration of participants in the
training program. Copies of training certificates should be maintained in the
personal files by the HR department.

Training Effectiveness Evaluation : 

After attending training employee(s) submit copy of the certificate of training (if
any) attended to the QHSE Manager. Certificate of training is placed in the
employee personal file. To ensure the effectiveness of the provided training
(internal or external) Head of Department (HOD) will carry out assessment of the
trainee(s) with at least one of the following methods.
a. Oral Test: This method is used when level of awareness needs to be assessed
b. Written Exam/ Test: This method is used when understanding of the trainee
needs to be assessed
c. Practical Demonstration: 
This method should be used when coordination between procedure and practical
application the trainee needs to be assessed
Evaluation of the employee, who has attended the training, should be conducted by
his immediate in - charge / HOD who fills the Training Effectiveness Evaluation
form and forwards it to the QHSE Manager department to evaluate and to maintain
the record in the employee personal file.
Use the Checklist below to assess how much an organisation has
implemented Training & Competence Requirements of an IMS
 Success NOT
No Question / Element  DONE 
Criteria DONE 
"Has the organization identified competence level of
different personnel deployed within the organization
and to maintain its IMS based on
a) Education; 
1
b) Training ; 
c) Experience" 

Has organization maintained record of education,

2
training and experience of personnel working in it?
Does organization identify training needs associated
3
with its IMS?
4 Does organization maintain training records?
Does organization have training evaluation system in
5
place?
Does organization maintain records of evaluation of
6
training?
Does organization have any documented procedure for
7
Training and awareness?

Step 2: Policy & Objectives

Development of an integrated Quality Policy / Environment Policy / Health Safety
Policy / Information Security Policy etc and relevant objectives for the
organization considering vision, mission, goals and strategic direction of the
company. Work with top management on development of the policy. Have a work
shop with top management and middle level functional management on
development of integrated objectives. 
Quality Policy
Your company should be committed to providing and delivering the customer great
product and great support
Your organization should be committed to:
 Meeting legal requirements.
 Continually improving our IMS.
 Meeting the needs and expectations of interested parties.

To achieve this you should :

 Provide your customers with a quality product / service .
 Provide our customers with free content, information and industry insight to
improve their compliance knowledge.
 Provide timely and accurate support to our customers
 Listen to our customers when developing and enhancing the product.
 Provide an environment where staff can grow and learn new skills.
 Provide a return to shareholders

You should measure your progress through:

 Setting objectives
 Documenting plans
 Reviewing performance

You should enable this by:

 Training our employees
 Training our Partners
 Investing in resources
 Investigating new technologies

Environmental Policy : 
It is recommended that you identify environmental management as one of your
highest corporate priorities. Your organisation should establish
policies, programmes and practices to reduce risk to the environment and to
the organisation and conduct business activities in an environmentally sound
manner.
After your organisation is committed to environmental management your
organization should :
 Integrate its environmental policies and procedures fully into all business
activities as a critical element,
 Comply with all environmental legislation, standards and contract
requirements that are applicable to the company’s operation,
 Continually improve its environmental performance and prevention of
environment impact and taking into account current best practice,
technological advances, current scientific understanding, customer and
community needs, educate, train and promote employees to work in an
environmentally responsible manner,
 Complete environmental assessments for aspects and impacts of all new
activities that the company may undertake, promote, develop and design
services, facilities, equipment and work practices that have the least
environmental impact, taking into account the efficient use of energy and
materials, the sustainable use of renewable resources and the responsible
disposal of waste, thereby minimising any serious or irreversible
environmental degradation,
 Promote and encourage the adoption of these principals by suppliers and
contractors acting on behalf of the organisation,
 Develop, implement and maintain emergency preparedness plans,
 Foster openness and dialogue with both employees and the public, encouraging
them to respond with their concerns or improvement ideas within the scope of
the organisation’s operations and maintain a set of environmental objectives
and targets that are monitored through the management review process to
ensure effectiveness.
Health and Safety Policy : 
Your company should be committed to a safe and healthy working environment for
everyone using the premises as a place of work or visiting on business.
Your top Management should :
 Set health and safety objectives and performance criteria for all managers and
work areas Annually review health and safety objectives and managers’
performance
 Encourage accurate and timely reporting and recording of all incidents and
injuries
 Investigate all reported incidents and injuries to identify all contributing
factors and, where appropriate, formulate plans for corrective action
 Actively encourage the early reporting of any pain or discomfort
 Provide treatment and rehabilitation plans that ensure a safe, early and durable
return to work
 Identify all existing and new hazards and take all practicable steps to eliminate
or minimize the exposure to any hazards
 Ensure that all employees are made aware of the hazards in their work areas
and are adequately trained so they can carry out their duties in a safe manner
 Encourage employee consultation and participation in all health and safety
matters Enable employees to elect health and safety representatives
 Ensure that all contractors and subcontractors are actively managing health
and safety for themselves and their employees
 Promote a system of continuous improvement, including annual reviews of
policies and procedures
 Meet legal obligations as specified in the legislation, codes of practice and any
relevant standards or guidelines.
 Every manager, supervisor or foreperson should be accountable to the
employer for the health and safety of employees working under their
direction.

Each employee is expected to help maintain a safe and healthy workplace

through:
 Share in the commitment to health and safety.
 Following all safe work procedures, rules and instructions
 Properly using all safety equipment and clothing provided
 Reporting early any pain or discomfort
 Taking an active role in the company’s treatment and rehabilitation plan, for
their ‘early and durable return to work’
  Reporting all incidents, injuries and hazards to the appropriate person.

The Health and Safety Committee should include representatives from senior
management and union and elected health and safety representatives. The
Committee is responsible for implementing, monitoring, reviewing and planning
health and safety policies, systems and practices.
INTEGRATED MANAGEMENT SYSTEM objectives and planning to
achieve them : 
Your organization should establish INTEGRATED MANAGEMENT SYSTEM
objectives at relevant functions, levels and processes needed for the ISO as per
following procedure:
To initiate the process, the top management should hold a meeting with all the
Departmental Heads (HODs) to set O&T the objectives and targets are set keeping
in view the following;
a. INTEGRATED MANAGEMENT SYSTEM Policy
b. Process, Production and Quality Targets
c. Performance of Management System
d. Significant Health and Safety Hazards
e. Prevention of Ill Health and Injuries
f. Significant Risks
g. Internal and External Issues of Organization
h. Significant Environmental Aspects and Impacts
i. Applicable Legal and Other Requirements
j. View of Interested Parties
k. Technological Options
l. Financial Losses
m. Operational Issues
n. Any other requirements that can have adverse impact in overall performance of
systems in the organization

Note: Objectives and Targets are set in such a way that they must be
S.M.A.R.T (Specific, Realistic, Measurable, Achievable and Time Bound).
To achieve the set objectives and targets, a management program should be
established which translates the goals into concrete actions
To ensure its effectiveness the management program should describe the
following;
a. Step wise actions to be taken
b. Resource requirement for each step/ target
c. Responsible person(s) for each step
d. Target date
e. Status

Progress of objectives and targets is reviewed on a regular basis in management

review meetings and it is reviewed by top management (Director/Manager) at least
on quarterly basis
Policy :
Success NOT
No Question / Element  DONE
Criteria DONE
Top management of organization has defined the IMS
policy(s) which:
1 is communicated within the organisation at all levels ?
is appropriate to the nature, scale and environmental
2
impacts, H&S and Quality of it's activities ?
3 includes a commitment to continual improvement ?
includes a commitment to comply with applicable legal
requirements and with other requirements to which
4
organization subscribes which relate to its
environmental aspects ?
provide a framework for setting and reviewing IMS
5
objectives and targets ?
Objectives & Targets and Continual Improvement
Success NOT
No Question / Element  DONE
Criteria DONE
Is there any system in place to define IMS objectives
1 and targets at relevant functions and levels within the
organization?
Does organization have any documented procedure
2
for setting IMS objectives and targets?
 "Is there any documented management program
available for achieving environmental & H&S
objectives and targets, which include; 
- Roles and Responsibilities
3  - Target Dates for achieving objectives
 - Resources Required 
- Means / Activities for achieving objectives" 

Does this include the objectives needed to meet

4
requirements for product?
Are the IMS objectives measurable and consistent
5
with the IMS policy?

Continual Improvement:
Success NOT
No DONE
Criteria  DONE
Does the organization continually improve the
1
effectiveness of IMS?
2 Are results of audits, analysis of data, corrective
and preventive actions, management reviews, IMS
Policy and objectives used for continual
 improvement?

Success NOT
No Question / Element DONE
criteria DONE
Does organization have sufficient resources to
1 establish, maintain, implement and improve its
IMS?
Does organization have defined roles and
2 responsibilities of personnel in order to
facilitate effective IMS?
Has organization appointed a specific
3 Management Representative (MR) for
implementing IMS effectively?
Has organization defined roles, responsibilities
4
and authorities of MR?
5

Success NOT
No Question / Element  DONE
Criteria DONE
Does organization have documented procedure
1 to identify and have access to applicable legal
requirements?
 Is it determined that how these requirements
2 applied to its environmental aspects and H&S
hazards?
Has organization maintained a list of all
applicable legal and other requirements related
3
to environmental aspects and H&S hazards of its
activities?
DO:
Step 3: Internal Gap Analysis
Identification of degree of compliance of existing system against requirements of
the standards under consideration in your IMS. Understanding of all the operations
of the organization. Development of a process map for the activities of the
organization. Comparing existing operations with requirements of ISO standard
and finding out additional compliances to be made. Understand the context of the
organization.
You should develop a procedure which describes how you will monitor, measure,
analyze and evaluate the INTEGRATED MANAGEMENT SYSTEM in order to
identify and take suitable action to ensure the continual improvement of the
management system.
1.Your company should determine:
a. The aspects of the INTEGRATED MANAGEMENT SYSTEM that will be
monitored and measured.
b. The responsibilities, frequency and methods for monitoring, measurement,
analysis and evaluation needed.
c. The criteria against which we will evaluate its INTEGRATED MANAGEMENT
SYSTEM performance.
d. When the monitoring and measuring:
 Will be performed.
 Results will be analyzed and evaluated.

2. The results of the analysis and evaluation conducted is to evaluate the:

a. Degree of customer satisfaction.
b. Conformity of products and services.
c. Performance and effectiveness of the INTEGRATED MANAGEMENT
SYSTEM including the environment, health and safety and quality.
d. If planning has been effectively implemented.
e. Effectiveness of actions taken to address risks and opportunities.
f. Performance of external providers.
g. Need for improvements to the IMS.
3. Appropriate documented information must be retained as evidence of the
monitoring, measurement, analysis and evaluation that is conducted.
Monitoring Arrangements
1. Generally, individual procedures within the INTEGRATED MANAGEMENT
SYSTEM describe the specific monitoring, measurement, analysis and evaluation
requirements to be met.
Checklist Questions - Monitoring & measurement
SUCCESS NOT
No QUESTION / ELEMENT  DONE 
CRITERIA DONE
Does organisation: 
a. Demonstrate conformity of the product? 
b. Ensure conformity of the integrated
1 management system? 
c. Continually improve the effectiveness of the
integrated management system?

Is information relating to customer perception

2 monitored by the organization as to whether
customer requirements have been met?
Have the methodologies for obtaining and using
3 information related to customer perception been
determined?

HSE 
No Questions / Element Success DONE NOT
 Criteria DONE 
Does organization have any documented procedure
to regularly monitor and measure key characteristics
1
of its operations that can have significant
environmental aspects and H&S hazards?
Does the procedure include information to monitor
performance, applicable operational controls and
2
conformity with environmental & H&S objectives
and targets?
Does organisation show proactive measures of
3 performance that monitor compliance with the
HSE?
Does organisation fulfil management program,
4 operational criteria and applicable legislation and
regulatory requirements?
Does organisation perform reactive measures of
performance to monitor accidents, ill health,
5
incidents (including near-misses) and other
historical evidence of deficient HSE performance?

Analysis of Data 
SUCCESS NOT
No Question / Element  DONE
CRITERIA DONE
Does organisation record data and results of monitoring
and measurement sufficient to facilitate subsequent
corrective and preventive action analysis?

Calibration 
No Questions / Element  SUCCESS DONE NOT
 CRITERIA DONE
Does organization ensure that calibrated equipment is
1
used for monitoring and measurement activities?
Does organization maintain record of calibration of
2
monitoring and measuring equipment?

Measurement and monitoring of product and process: 

SUCCESS NOT
No Question / Element DONE
CRITERIA DONE
Are suitable methods applied for monitoring
and where applicable, measurement of the
1
quality management system processes
necessary to meet customer requirements?
Do these methods demonstrate the ability of
2
the processes to achieve planned results?
Are correction and corrective actions taken
3
when planned results are not achieved?
Are the product characteristics monitored and
4 measured to verify that product requirements
are met?
Is monitoring and measurement of product
characteristics carried out at appropriate
5
stages of the product realization process in
accordance with the planned arrangements?
Is evidence of conformity with the acceptance
6
criteria documented and maintained?
Are records maintained to indicate the
7
person(s) authorizing release of product?

Additional
 SUCCESS NOT
No Question / Element DONE
CRITERIA DONE
Does organization maintain record of :

Review meetings?
Safety and Environmental Layout - Availability,
Display, Awareness ?
1 Effluent Monitoring - Procedure, Frequency ,
Record ?
Air Emission Monitoring - Procedure, Frequency ,
Record ?
Noise Monitoring - Procedure, Frequency ,
Record ?
PPE - Availability at appropriate locations , Usage
2
by personnel
Safety Signs : Display at appropriate locations ,
3
locations defined
Assembly Areas- defined, marked and awareness
4
of staff
5 Availability of other applicable laws- Labour law
Emergency Response Team- Defined, personnel
6
nominated, effectiveness
Solid Waste Area - Defined, How Waste is
7
disposed, Record
Hazardous Waste - Defined, How Waste is
8
disposed, Record
First Aid Kits - Availability, List of Medicine,
9
Effectiveness

SUCCESS DON NOT

No Questions / Element ?
CRITERIA E DONE
1 Marking of evacuation routes
Emergency Alarm- Installed at appropriate
2
locations , Inspection Plan, Record
Fire Suppression System- Installed at
3
appropriate locations , Inspection Plan, Record
Earthing of Building - Earthing diagram,
4 Points marking, Inspection frequency &
Record
Earthing of Machinery - Earthing diagram,
5 Points marking, Inspection frequency &
Record
6 Chemical handling - MSDS
Equipment (gauges) calibration- Procedure,
7
sticker, record and frequency
8 Canteen- Cleanliness, hygiene cards
9 Toilets- Cleanliness

Step 4: Documentation/Process Design : 

Documentation of the entire process as per requirements of relevant standard(s).
Write & implement a manual, functional procedures, work instructions, system
procedures & associated forms.

1. Documented information includes manuals, policies, procedures, work

instructions, forms, registers, flow charts, records and other INTEGRATED
MANAGEMENT SYSTEM document requirements.
2. The Management Representative is responsible for ensuring that all
INTEGRATED MANAGEMENT SYSTEM documented information is
effectively controlled.
3. All employees are responsible for ensuring they are always up to date with all
INTEGRATED MANAGEMENT SYSTEM documented information available in
the Documents module.
4. Copies of procedures, policies and other documented information may be
printed but these printouts will be deemed "uncontrolled".
5. To prevent the unintended use of obsolete documented information, superseded
documents are automatically identified and removed from general view through
the workflow. 

Obsolete documents are only able to be accessed by personnel, with the required
access levels, through the "History" button in the Documents Module.
Editing, Approval, Publishing and acknowledge of Documents:
The Documents module workflow should manage the following document
control activities:
1.Creation and editing
 Approval
 Publishing
 Acknowledged
 Retention of previous version
 Revision numbering
 Control of approvers and publisher.
 Notifications
Requests for changes:
Advice of Changes:
1. When a change is made or new document added, personnel should be notified
by email automatically generated through Mango at the time of publication.
2. Changes can also be communicated via monthly meetings as deemed
appropriate.
3. Changes to all INTEGRATED MANAGEMENT SYSTEM documents can be
tracked through the Document Change History Module.

Maintenance of INTEGRATED MANAGEMENT SYSTEM Documents

1. All INTEGRATED MANAGEMENT SYSTEM documents are to be reviewed
at least once every three years, revised as necessary and approved for adequacy.
2. This review is to be coordinated by the Management Representative in
conjunction with the relevant competent and responsible personnel as determined
by the Management Representative at the time of review.

External Documents
1. It is the responsibility of the Management Representative to review, implement
and maintain external documents and verify that they remain current.
2. External documents are kept in the Manage Files Module.
3. All external documents are verified as current and when necessary have their
distribution controlled. Updates to external documents shall be placed in the
appropriate file in the Documents Module and approved and published in
accordance with this procedure.
4. The Management Representative subscribes to relevant external regulators,
agencies and bodies who may provide periodic advice of changes to their specific
documents. 
Upon receiving advice of changes to an external document the Management
Representative will action this change in Mango and ensure the change is
communicated to relevant parties.
Computer Back-Up
1. The Management Team are responsible for ensuring that appropriate
arrangements are in place to ensure that a back-up of data stored on the server is
carried out on a daily basis.
2. The INTEGRATED MANAGEMENT SYSTEM as documented in Mango is
backed up automatically by the application. Back-ups are captured each hour
within the primary data center with additional back-ups being captured every eight
hours at a secondary data center.

Records Management
1. All INTEGRATED MANAGEMENT SYSTEM records are retained in Mango
for as long as the company uses the Mango Software solution.
2. All INTEGRATED MANAGEMENT SYSTEM Procedures and Forms are
maintained within the Documents Module.
3. The Management Representative is responsible for the management of records
with respect to the IMS.
Document Distribution Management :
This method of distribution applies to all documents to be issued in hard form and
this portion is not applicable on Forms and Formats being used; only documents
such as Policies, Procedures, Work Instructions and Standard Operating
Procedures etc. are covered here:
 All printing rights of INTEGRATED MANAGEMENT SYSTEM
documents shall reside with the Factory Manager (FM).
 All Original INTEGRATED MANAGEMENT SYSTEM documents shall
be maintained by FM. They have original signs of relevant persons on it.
 All copies used for distribution shall be stamped CONTROLLED in “Blue
Color” in the footer of all the pages of the document.
 A document bearing no stamp will be considered “UNCONTROLLED”.
Distribution and use of uncontrolled documents shall be considered
nonconformity.
 For distribution of documents in electronic/soft form FM upload relevant
document at “ISO folder” on Company Internal Server. Company employees
has access at this folder. 

All folders share at server in non-editable form (PDF or any other) with
“CONTROLLED” mention at the footer of document. As new document is
uploaded on Server FM inform to ABC employees through email.
Step 5: Documentation/Process Implementation
Processes / documents developed in step 4 implemented across the organization
covering all the departments and activities. Have a workshop on process /
document implementation as per applicable ISO standard requirements.  

Document Change Process

• Any person can initiate a request to introduce new revision of the existing
document / format by raising Document Change Request (DCR) Form. The DCR
after being raised by the initiator is submitted to;
a. Director through Factory Manager for INTEGRATED MANAGEMENT
SYSTEM documents / formats
b. Concerned In charge in case of departmental documents / formats
• Director / concerned In charge will accept or reject the request after proper
analysis in consultation with related authorities.
• If Director / concerned In charge after review, accepts the document change
request then documents will be reviewed and approved by defined authorities.
• Handwritten amendments are not allowed.
• The details of the changes are entered into the “Amendment History Record”
table.
• All changes made will be highlighted as; “UNDERLINED” for addition and
“STRIKETHROUGH” for deletion in the column headed “Amendment Text” of
“Amendment History Record” table.
• After final approval has been made, the original Master Document and its
controlled copies will be recalled. The original Master Document is stamped
OBSOLETE in “Red Color” and placed in the obsolete documents file till the
arrival of next revision. All the retrieved back copies are shredded as per
instructions provided in section 4.7
OBSOLETE
• The updated documents will be distributed again according to the defined
methodology in this procedure.
Access and Disposal of Obsolete Documents
• Director / concerned In charge have the authority to access the obsolete
documents.
• When the retention period of document is expired, Director / concerned In-charge
review the validity and usefulness of INTEGRATED MANAGEMENT SYSTEM/
departmental documents respectively. 
He then decides whether to:
a. Shred the record through shredder in his / appointee’s presence.
b. Create scanned images for reference purposes, in case of any requirements in the
future, and then shred them through shredder in his / appointee’s presence.
Control of Production and Service Provision
Are the production and service provision planned and carried out under controlled
conditions including :
a. Availability of information that describes the product characteristics?
b. Availability of work instructions, as necessary?
c. Use of suitable equipment?
d. Availability and use of monitoring and measuring devices?
e. Implementation of monitoring and measurement?
f. Implementation of release, delivery and post delivery activities?

Validation of Processes for Production and Service Provision

Have processes where deficiencies may become apparent only after the product is
in use or the service has been delivered been validated?
Do the results of validation demonstrate the ability of the processes to achieve
planned results?
Where applicable, have the arrangements been established for:
a. Defining criteria for review and approval of processes?
b. Approval of equipment and qualification of personnel?
c. Use of specific methods and procedures?
d. Requirements for records?
Re- validation?

Identification and Traceability

 Is the product identified by suitable means throughout product realization?
 Is the product status identified with respect to monitoring and measurement
requirements?
 When traceability is a requirement, is the product uniquely identified and
controlled?
 Is the unique identification maintained as a record?
Customer Property
Does the organization exercise care with customer property while it is under the
organization’s control or being used by the organization?
Is customer property identified, verified, protected, and safeguard?
If lost, damaged or otherwise found to be unsuitable for use, is condition recorded,
reported to the customer and maintained as a record?
Preservation of Product
Is conformity of product preserved during internal processing and delivery to the
intended destination?
Does preservation activities include:
a. Identification?
b. Handling?
c. Packaging?
d. Storage?
e. Protection?
Are preservation activities applied to constituent parts of a product?
Checklist Questions - Identification & Evaluation of Aspects, Impacts & Risks
And Customer related processes
Determination of Requirements Related to the Product
Has the organization determined :
a. Requirements specified by the customer, including the requirements for delivery
and post delivery activities?
b. Requirements not stated by the customer but necessary for specified or intended
use, where known?
c. Statutory and regulatory requirements related to the product?
d. Any additional requirements determined by the organization?

Review of Requirements Related to the Product

Prior to the commitment to the customer (e.g. submission of tenders, acceptance of
contracts or orders or acceptance of change orders) are requirements reviewed to
ensure that:
a. Product requirements are defined?
b. Contract or order requirements differing from those previously expressed or
resolved?
c. The organization has the ability to meet defined requirements?
Are the results of reviews and actions arising from these reviews recorded and
maintained as records?
Where the customer has not provided a documented statement of requirements, are
customer requirements confirmed by the organization before acceptance?
Where product requirements are changed, does the organization ensure that
relevant documentation is amended and relevant personnel are made aware of the
changed requirements?
Has organization identified its Environmental Aspects and H&S Hazards related
to its activities?
Does organization have any system for evaluation of its environmental aspects and
H&S Hazards?
Does Organization have a system to control the impacts of its environmental
aspects and H&S Hazards?
Does organization have any documented procedure to identify environmental
aspects and H&S Hazards and evaluate their impacts?
Checklist Questions - Documentation, Documents and Record Control
IMS Manual: 
The scope of the IMS including details of and justification for any exclusions? 
Documented procedures established for the IMS, or reference to them? 
Description of the interaction between the processes of the IMS? 

Control of Documents: 
Are documents required for the IMS controlled? 
Has documented procedure been establish identifying the following controls
needed? 
a. Approval of documents for a adequacy prior to issue? 
b. Review, update as necessary and re-approval of documents? 
c. Ensure that changes and the current revision status of documents are identified? 
d. Ensure that relevant version of applicable documents are available at points of
use? 
e. Ensure that documents remain legible and readily identifiable? 
f. Ensure that documents of external origin are identified and their distribution
controlled? 
g. Preventing the unintended use of obsolete documents, and to apply suitable
identification to them if they are retained?

Control of Records: 

 Have records been establish and maintained to provide evidence of conformity

to requirements and of the effective operation of the quality management
system? 
 Has a documented procedure been established to define the following controls
needed? Identification? Storage? Retrieval? Protection? Retention Time?
Disposition?
Checklist Questions - Internal and External Communication
Does organization have a documented procedure for internal and external
communication with regard to its EMS?
Does organization have any defined mechanism for external communication?
Checklist Questions - Emergency Preparedness and Response
Has organization identified potential emergency situations and potential accidents
that can have impact on environment?
Does organization have any documented procedure for Emergency Preparedness
and Response?
Does organization have any mechanism to review and revise its emergency
preparedness and response procedures?
Does organization conduct emergency drills on regular basis?
Does organization maintain record of these drills?
CHECK:

Step 6: Internal Audit

A robust internal audit system for the organization is essential. Internal Auditor
Training is recommended for effective audits NQA can provide Internal Auditor
training for the standard(s) that you are implementing. Trained internal auditors
carry out internal audit of the organization covering all the departments and
operations. Corrective actions for improvements in each of the audited departments
in order to bridge gaps and ensure effectiveness of INTEGRATED
MANAGEMENT SYSTEM– not just compliance.

If your organization is looking at implementing an integrated management system,

such as a QMS, EMS and OHSMS, having a single audit may be beneficial for
you. Many organizations implement each of these management systems separately
rather than together, which wastes times and money. Today, ISO 9001:2015, ISO
14001:2015, ISO 45001:2018, ISO 50001:2018 and AS91XX standards now have
the same high-level structure, common terms and the same core requirements
allowing organizations to more easily combine management systems.

Integrated Audits

ISO 19011:2018, Guidance for auditing management systems, defines a combined

audit as an audit that is carried out by a single auditee on two or more management
systems. When more than one management system is integrated into a single
management system, the combined audit is then called an “integrated audit.”
When auditing an integrated management system, the basic principles and process
are the same. The registrar will indicate if the different ISO systems are to be
conducted separately, in combination, or in an integrated manner.

Benefits of an Integrated Audit

Integrated Audits have many benefits. They will provide your organization with
lower certification costs, fewer audit interruptions, streamlined process, reduction
in documentation and more consistent objectives across multiple systems.
Depending on the level of integration and the skills of your audit team, your
organization can cut down on time by having a single audit plan, one opening
meeting, one closing meeting and a single audit report. Furthermore, when there is
an integrated management system, the organization having a single audit will
reduce the amount of work interruptions.

Another benefit of integrating multiple systems is that it allows you to better

understand the relationship between the processes, which can lead to more in-depth
audits. If you do separate audits, you will not see the relationship between the
related processes. With an integrated approach, management system audits
consider the linkages of processes as a priority, and as a result, may identify
critical system failures.

Calculating Integrated Audit Duration

According to the IAF Mandatory Document 11, third- party audits of integrated
systems may qualify for up to a 20% reduction of audit time over separate audits of
the individual management systems.    

Three things that will affect the audit time are:

the extent the management system and its documentation is integrated;

the ability of the auditee to respond to questions on multiple management system
standards;
the availability of auditors that can audit more than one management system
standard.

Planning an Integrated Audit

When you are planning for an integrated audit, it is necessary that the audit
objectives, scope and criteria are appropriate for each discipline. Some disciplines
may have a scope that can be implemented throughout the entire organization
while others may only have a scope that includes certain areas of your
organization.

You will need to develop a single audit plan for your integrated audit. When you
are doing so, you should start by creating an audit matrix that shows all the clauses
of the different management systems. The audit agenda needs to include all of the
processes within the scope of the management systems, and ensure that the
applicable standard requirements are addressed during the assessment of all
processes.

The length of an integrated audit is almost always shorter than the length of
multiple separate audits. The reason the integrated audit is usually shorter than
multiple is because of the common requirements throughout the standards, and the
common areas not having to be audited multiple times. For integrated audits, work
documents should be developed to avoid duplication of audit activities by grouping
similar requirements from different criteria and coordinating the content of related
checklists.

Managing Integrated Audits

If you are looking to get an integrated audit, you will need to find a registrar that
has been established specifically to address integration of multiple management
systems. When you are getting ready for an internal audit, the first thing you
should consider is what multiple discipline training is available for the auditors.
Once you have determined this, then you can move forward with preparing for the
integrated audit.
 
One of the first steps you should establish is creating objectives that will direct the
planning and conducting of the integrated audits. After you establish the
objectives, you should determine the audit program risks and opportunities related
to integrated audits. This may look like the risks that could impact the achievement
of the audit objectives.
Once your organization is ready to schedule the audit, you need to be aware of the
areas that relate to multiple disciplines and that can be assessed once in an
integrated manner. When making the plan, lay out the schedule by process areas
and not by the clauses of the standards. Another aspect of the plan is to develop the
necessary audit procedures and forms, and to make sure that these documents are
set up to support an integrated audit rather than an individual audit.  

When appointing personnel to manage the audit program, the organization should
consider the competence of this individual to ensure that the auditor can deal with
risks and opportunities, and handle issues effectively and efficiently.

When appointing audit team members for the integrated audit, you should consider
the size and composition of the team. While an integrated audit takes less time than
individual audits, the ability to have a productive audit depends on the team’s
cross-discipline skills in ISO management systems. 

When assembling a team, it is imperative that auditors are trained not only on the
multiple standards, but also how the standards relate, and how to conduct an audit
on multiple standards at a time. Understanding the synergy and interactions
between the management systems will allow for a smooth audit.

Integrated Audit Report

After the audit is complete the results should be communicated in a single report. If
a nonconformity is found, the report needs to state what management system this
nonconformity is arising from. During an audit, it is possible to find
nonconformities related to multiple standards and criteria. 

When an auditor identifies a finding linked to one criterion on an integrated audit,

the auditor should address the possibility to affect the corresponding or similar
criteria of other management systems. The audit team should consider the impact a
nonconformity for one management system may have on another conformity for
the other management system(s).

Internal audit

Your organization should define a system for Audit Planning and Execution as
follows:

Audit Team : 

You should develop an Internal Audit Team for conducting internal audits on
regular basis and departmental Managers should  maintain the list of internal
auditors. Internal Auditors should be selected from different functions within the
company based on their experience and professional skills. 

They should then be trained on auditing skills by sending them to seminars and/or
conducting internal training sessions. Training record/certificate copies of the
auditors should be maintained.

Audit Frequency and Planning Annual Audit Program should be prepared at the
start of each year. 

This program shows all the departments of the company and month in which audit
is planned. In this program, each cell, against each year and department, is split in
to four (4) cells. Each cell representing a step of audit cycle as explained below. 
Box 1 represents planning, when your organization is planning the audit of any
concerned department/ section. 
Box 2 is for planned audit execution & when audit is to be performed. 
Box 3 represents when your organization should take the corrective actions against
the nonconformities found during the audit. 
And Box 4 represents that when the follow up of the corrective actions that are to
be taken as a result of non-conformance, is required to check the compliance level. 

If all 4 activities i.e. Audit Planning, Audit Performance, Corrective Actions and
Follow Up of the corrective action taken, is complete for all departments, it
completes one audit cycle. It is compulsory to complete one audit cycle each year.

Your QHSE Manager is responsible for planning and scheduling the internal
audits. QHSE Manager prepares the yearly audit schedule on Annual Audit
Program normally at the beginning of the year. 

The top management is responsible for approving the Annual Audit Program. The
internal audits should be carried at least once in year. A Week before the proposed
audit date, departmental Managers in consultation with the Auditors should prepare
the Audit Plan. 

The audit plan must list all the activities corresponding to the Integrated
Management System, identify locations where these activities are taking place, and
time of audit for each activity. Once The audit plan is approved by the top
management , it should then be distributed to all the concerned departments/
sections covered under the scope of audit. 

Audit Execution 
Before starting an audit, the auditors ensure the possession of; 

a.Audit Plan 
b.Internal Audit Report 
c.Copies of Integrated System Manual and Integrated System Procedures 
d.Audit Checklist

The audit begins with a briefing to the management on the methodology of the
audit, its scope and any arrangements required.

While conducting the audit, the auditors seek to:

a. Determine whether documented procedures and instructions meet the

requirements of the standards

b. Verify whether procedures and instructions are being implemented. For this, the
data and records generated as evidence of activities are examined for compliance
with specified procedures. In addition, the auditors make it a point to talk to
personnel performing various tasks to ascertain whether they understand the
procedures and instructions and are following these. 

Auditors observe tasks being carried out, to see whether these conform to specified
norms and procedures of Integrated Management System

c. When an auditor observes non-conformity in the system, all relevant information

is examined carefully and full details of non conformance are recorded so that
corrective action can be taken. The responsible department head is associated with
such observations. Evidence of non-conformity and the department head
concurrence is recorded on the observation sheet to avoid controversy

d. On completion of the audit, a closing meeting is arranged with the management

to review findings and to obtain clarifications if required. Appropriate corrective
measures are also discussed

After the completion of audit, auditors compile all these findings and prepare Audit
Report. It includes the summary of the audit and audit non-conformities and
observations observed. 

Audit report normally contains the following information;

a. Report title, number and the relevant information

b. Participants and compositions of the audit team
c. Background information, such as the auditor’s objective, scope, dates and
procedures used
d. Brief description of the activities and departments audited
e. Summary of findings and observations

Checklist Questions - Internal Audit

Does organization conduct internal audits of IMS at planned intervals? 
Does organization have a documented procedure for internal auditing? 
Does organization ensure impartiality of audit process while selecting internal
auditors? 
Has organization defined frequency of internal audits?
Step 7: Organize a Management ‘System’ Review Meeting
A formal system of top management reviewing various business critical aspects of
the organization relevant to the standards being implemented. Review the
following: policy (including strategic direction of the organization),  objectives
(both the setting of objectives, then review the extent to which objectives have
been met), results of internal audit, results of process performance, results of
complaints / feedback / legal compliance, results of risk assessment / incidents etc.
….and develop action plan following the meeting – which must be minuted.

Management review : 

You should develop a system for Management Review Meeting & you should
conduct the management review meeting as follows : 

MRM Frequency

Management Review Meetings (MRM) are carried out to regularly evaluate the
level of compliance related to IMS. It is conducted on biannually basis; however
unscheduled meetings can be called at any time on the direction of Top
Management/Director.
Attendance

The Management Review Meeting is chaired by the Director or his deputed

representative (in case of absence) and attended by the following members;

a. Director (Chairs the MRM)

b. Factory Manager (FM)
c. All HODs
d. Other members of Emergency Response Team -ERT (Optional)

Inputs/ Agenda to Management Review Meeting (MRM)

The agenda of the MRM is prepared by the Factory Manager in consultation with
Managers. It is distributed well in advance at least 7 working days in advance.
Following are the inputs of Management Review Meetings;

a. Adequacy of QHSE policy

b. QHSE objectives and management program
c. Results of internal and external audit
d. Relevant communication(s) from external interested parties, including
complaints and feedbacks
e. Performance of external provider
f. Resources adequacy
g. Process performance and product conformity
h. Status of Status of incident investigations and preventive & corrective actions
i. Action taken to address risk assessment
j. Follow-up actions from previous management reviews
k. Evaluation of compliance with legal requirements
l. Emergency situations, accidents and product withdrawals
m. Reviewing results of system-updating activities
n. Any changes in IMS
o. Recommendations and action taken for improvements
p. Any other matter that require attention of management
Output of the Management Review Meetings The minutes of the MRM are
prepared by the Factory Manager and then distributed to the members preferably
within 3 working days.

The minutes may include decisions related to;

a. Effectiveness of QHSE policy, objectives and targets

b. Improvement of effectiveness of INTEGRATED
MANAGEMENT SYSTEMmanagement system
c. Improvement of product related to customer requirements
d. Resources required for the improvement of integrated management system
e. Other elements of the Integrated Management System

Follow Up of the Meeting

FM is responsible for the follow up of the decisions taken in the meeting to ensure
that the decisions are implemented in the specified time frame.

Associated Records

a. Minutes of Management Review Meeting

b. Management Review Meeting Intimation Form
Checklist Questions - Management Review
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Does organization have a documented procedure for management review
meetings? 
"Does organization discuss following agenda in review meetings; 
a. results of internal audits and evaluations of compliance with legal requirements
and with other requirements to which the organization subscribes 
b. communication(s) from external interested parties, including complaints 
c. the environmental performance of the organization 
d. the extent to which objectives and targets have been met 
e. status of corrective and preventive actions 
f. follow-up actions from previous management reviews 
g. changing circumstances, including developments in legal and other requirements
related to its environmental aspects 
h. recommendations for improvement" 
i. Has organization defined frequency of Management Review Meetings?
Checklist Questions - Purchasing
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Purchasing control

Are the purchasing processes controlled to ensure purchased product (or service)
conforms to requirements?
Is the type and extent of control applied to the supplier and purchased product
dependent upon the effect of the purchased product on subsequent product
realization or the final product.
Are supplies selected and evaluated based on their ability to supply product in
accordance with the organization’s requirements?
Has the organization established criteria for selection evaluation and re-evaluation
of
suppliers?
Are results of the evaluations and any necessary actions maintained as records?
Purchasing Information

Does purchasing information describe the product to be

purchased? 
Including are appropriate:

a. Requirements for approval of product, procedures, processes and equipment?

b. Requirements for qualification of personnel?
c. Quality management system requirements?
Is the adequacy of specified purchased requirements ensured prior to their
communication to the supplier?
Does organisation assess HSE concern of the supplier?
Verification of Purchased Products

Have the inspection or other activities necessary for ensuring that purchased
product meets specified purchase requirements been established and implemented?

Are verification arrangements and method of product release specified in the
purchasing information where the organization or its customer intends to perform
verification at supplier’s premises?
ACT:
Step 8: Thorough Gap Analysis of implemented system

A formal pre certification gap analysis should be conducted to assess effectiveness

and compliance of system implementation in the organization. A close
representation of final certification audit would benefit from being conducted and
can help to find a degree of compliance with standards in the IMS. It can also help
to give you an idea about how to conduct of the final certification audit.

Monitoring, measurement, analysis and evaluation

General
use the management system to improve its processes, products and services. Such
improvements aim to address the needs and expectations of customers as well as
other interested parties, to the extent possible.

Management of ABC periodically (before every MRM) evaluates compliance with

applicable legal requirements and monitor customers’ perceptions of the degree to
which their needs and expectations have been fulfilled.

Following are the inputs while considering improvements for the system:

a. Review of System Documentation

b. Up gradation of existing equipment
c. Suggestion for better utilization of existing resources
d. CPA Forms
e. Internal Audit Reports
f. External Audit Reports
g. Previous Management Reviews (unfinished objectives and missed target dates)
h. Customer Complaints
i. Supplier Evaluations
j. Training Evaluations

The results of analysis are used to evaluate:

a. conformity of services
b. the degree of customer satisfaction
c. the performance and effectiveness of the management system
d. the effectiveness of actions taken to address risks and opportunities
e. the performance of external providers
f. other improvements to the management system

Analysis and Evaluation

Your top Management should analyze and evaluate appropriate data and
information arising from monitoring and measurement.

The results of analysis should be used to evaluate:

a. conformity of products and services; 

b. the degree of customer satisfaction; (Number of Complaints and Feedback)
c. the performance and effectiveness of the integrated management system; (No. of
NCs)
d. if planning has been implemented effectively; (Production Plan, Job Cards)
e. the effectiveness of actions taken to address risks and opportunities; (Risk
Assessment violations, accidents/near miss etc.)
f. the performance of external providers; (Purchase Inspection record)
g. the need for improvements to the integrated management system (MRM, CPA
records)
Step 9: Corrective Actions

Organization ready for final certification audit. On the basis of gap analysis audit
conducted in the last step, all the non-conformities will be assigned corrective
actions. Check that all the significant NCs are closed and the organization is ready
for the final certification audit. 
Nonconformity and corrective action : 

Your organization should establish a Procedure to identify non-conformance and

corrective action that specify appropriate actions to identify and eliminate the
cause of detected nonconformities, to prevent recurrence, and to bring the process
or system back into control after nonconformity is encountered.

Initiating Corrective Actions :

Corrective actions are taken to eliminate the causes of non-conformities to prevent

their recurrence.
Anyone working in your organization should be able to identify non-conforming
work, areas of improvement by initiating CPA Request related to but not limited to
following:

a. System / process non-conformities and problems

b. Product non-conformity
c. Environmental issues such as air emissions, effluents etc.
d. Health & Safety issues such as accidents, incidents, hazards etc.
e. Quality Management System issues
f. Non-compliance identified during an internal or external audit
g. Technical issues
h. Customer feedback including customer complaints
i. Supplier Performance
j. Non-conforming deliveries from suppliers

Requesting and Processing CPA : 

a.Any person in your company  should be able to initiate corrective actions form
(CPA Form). CPA forms MUST be available at the work place preferably CPA
Boxes are to be placed at various locations so that everyone has access to them.

b. Once CPA form is filled, it is either put in CPA Box or sent to the related
section In-charge. The initiator of CPA MUST mentionnhis / her contact (Name,
Section & Signatures) otherwise CPA will not be entertained (any unnamed CPA
will be discarded for no further action)

c. The CPA should contain a description of the unsatisfactory condition that needs
to be corrected and the CPA should be addressed to the person who is responsible
for the area where condition occurred.

d. Section In-charge check the validity of this CPA and forward to concerned
person for root cause analysis and corrective action suggestion

e. The assignee investigates the causes of the problem that initiated in the CPA.
The investigation process includes:

i. Interviewing the concerned personnel and gather their views about the possible
causes of non-conformities
ii. Observing and examining the concerned processes and related records
iii. Examining the supplier and his supplies (where required)
iv. If appropriate, make use of scientific techniques (like cause and effect, SPC,
Pareto etc.) to determine root causes

f. The assignee, then, proposes a corrective action to be taken and indicates the
date by which the corrective action shall be fully implemented.
When a corrective action is decided upon, it is implemented and the results are
closely monitored. Further measures or changes in the measures may have to be
made until satisfactory results are attained. The magnitude of corrective action
depends on the nature of non-conformity and its effect on the quality of product /
process. 

Immediately after, the due date of implementation of a corrective action, Section In

charges/Managers should follow up to determine if the corrective action has been
implemented and if it is effective. 

When there is objective evidence that the corrective action is effective, the CPA
can be closed out. 

If more work is needed to fully implement the action, a new follow update is
agreed upon. When the corrective measures are found to be effective, they are
incorporated in the integrated management system by making suitable changes in
the relevant documents such as specifications, operating procedures, work
instructions and integrated system procedures.

Status of corrective actions should be presented as input to management review

meetings. Concern department’s head should then compile the status of corrective
actions in the report and submits it in the management review.
Checklist Questions - Accidents, Incidents, Non conformance and Corrective
& Preventive Action
Does organization have a documented procedure for dealing with actual and
potential nonconformities? 
"Does organization have a documented procedure which includes requirements
for; 
o identifying and correcting NCs and taking actions to mitigate their environmental
impacts 
o Investigating NCs, determining their causes and taking actions to avoid their
recurrence 
o evaluating need for actions to prevent NC(s) and implementing appropriate
actions to avoid their occurrence 
o recording results of corrective and preventive actions 
o reviewing effectiveness of Corrective and Preventive Actions" 
o Does organization have Corrective and Preventive action form? 
o Does organization maintain CPA log of all actions taken?