complementary study material guidance manual for facilitators
DESCRIPTION
IMSTRANSCRIPT
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.
5APO Guidance Manual on GP and IMS for Facilitators
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
7APO Guidance Manual on GP and IMS for Facilitators
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.
8APO Guidance Manual on GP and IMS for Facilitators
• 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.
9APO Guidance Manual on GP and IMS for Facilitators
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?”
10APO Guidance Manual on GP and IMS for Facilitators
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.
11APO Guidance Manual on GP and IMS for Facilitators
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*
12APO Guidance Manual on GP and IMS for Facilitators
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
13APO Guidance Manual on GP and IMS for Facilitators
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.
14APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 1
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.
15APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 1
• 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”.
16APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 2
Chapter 2
Intent of this chapter:
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).
17APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 2
• Explain the core of the chapter as follows:
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.
18APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 2
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.
Transition to the next chapter (i.e. Chapter 3):
• 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.
19APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Chapter 3
Intent of this chapter:
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.
20APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Facilitator notes:
• Start by outlining the applicable clauses from the relevant standards (see slide
below).
• Explain the core of the chapter as follows:
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.
21APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
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.
22APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Highlight tips, important definitions and examples:
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.
23APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Introduce Implementers to the Product Quality Requirements Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
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
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.
24APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Highlight tips, important definitions and examples:
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
25APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Introduce Implementers to the Environmental Aspects Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Environmental Aspects Worksheet in the hard copy of their
Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).
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
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.
26APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
Highlight tips, important definitions and examples:
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
27APO Guidance Manual on GP and IMS for Facilitators
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
Part 1: Manual Overview CHAPTER 3
Introduce Implementers to the Hazard Identification and Risk Assessment
Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
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).
• 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.
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 )
28APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
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:
• Once you have finished explaining the chapter, draw the attention of the
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).
• 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.g p
29APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 3
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:
• Once you have finished explaining the chapter, draw the attention of the
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
Part 1: Manual Overview CHAPTER 3
• 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 Worksheets.
• Using the facilitation tools provided in this Manual as guidance, group the
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
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.
Transition to the next chapter (i.e. Chapter 4):
• 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.
31APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Chapter 4
Intent of this chapter:
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).
32APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
• Explain the core of the chapter as follows:
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).
33APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
• Explain the core of the chapter as follows:
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:
• Once you have finished explaining the chapter, draw the attention of the
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).
34APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
• 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 Worksheets.
• Using the facilitation tools provided in this Manual as guidance, group the
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
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.
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).
35APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
A sample IMS Training Log helps clarify the documentation requirements for this
element of the IMS (see slide below).
Highlight tips, important definitions and examples:
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
36APO Guidance Manual on GP and IMS for Facilitators
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:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Training, Awareness and Competency 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 Worksheets.
• 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.
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).
37APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Highlight tips, important definitions and examples:
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
38APO Guidance Manual on GP and IMS for Facilitators
responsive to community concerns. Doing so will usually provide
long‐term benefits to the organization.
Part 1: Manual Overview CHAPTER 4
Introduce Implementers to the Communication Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Communication Worksheet in the hard copy of their
Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).
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
Implementers to click on the Attachments tab in the top right hand corner of the
screen and download the Worksheets.
• 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.
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).
39APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
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.
40APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Highlight tips, important definitions and examples:
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
41APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Introduce Implementers to the Documentation and Document Control Worksheets:
• Once you have finished explaining the chapter, draw the attention of the
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).
• 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 Worksheets.
• 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.
42APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
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).
43APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
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.
44APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Highlight tips, important definitions and examples:
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:
• Once you have finished explaining the chapter, draw the attention of the
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
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 Worksheets.screen and download the Worksheets.
• 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.
h d f h ll d d d l h• At the end of the allotted time, discuss, compare and evaluate how various
groups filled in their Worksheets.
45APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
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.
Highlight tips, important definitions and examples:
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
46APO Guidance Manual on GP and IMS for Facilitators
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:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Emergency Preparedness and Response 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 Worksheets.
• 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.
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.
47APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
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.
48APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
Highlight tips, important definitions and examples:
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
• Once you have finished explaining the chapter, draw the attention of the
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
Implementers to click on the Attachments tab in the top right hand corner of the
screen and download the Worksheets.
49APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 4
• 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 variousAt the end of the allotted time, discuss, compare and evaluate how various
groups filled in their Worksheets.
Transition to the next chapter (i.e. Chapter 5):
• 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.
50APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Chapter 5
Intent of this chapter:
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).
51APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
• Explain the core of the chapter as follows:
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.
52APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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.
53APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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
54APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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.
Highlight tips, important definitions and examples:
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
55APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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:
• Once you have finished explaining the chapter, draw the attention of the
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).
• 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 Worksheets.
• 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 variousAt the end of the allotted time, discuss, compare and evaluate how various
groups filled in their Worksheets.
About Evaluation of Compliance (i.e. continue with the explanation about core
points in the chapter):
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).
56APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Highlight tips, important definitions and examples:
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
points in the chapter):
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.
57APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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.
58APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Highlight tips, important definitions and examples:
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
59APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Introduce Implementers to the Corrective and Preventive Action Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
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).
• 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 Worksheets.
• 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.
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.
60APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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.
Highlight tips, important definitions and examples:
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
61APO Guidance Manual on GP and IMS for Facilitators
identification, job descriptions and performance evaluations,
training records, communications with customers, suppliers,
sampling and monitoring data, etc.
Example
Part 1: Manual Overview CHAPTER 5
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
62APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Highlight tips, important definitions and examples:
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
63APO Guidance Manual on GP and IMS for Facilitators
• Audit methods
• Key responsibilities
• Reporting mechanisms
• Record keeping
Part 1: Manual Overview CHAPTER 5
Introduce Implementers to the Internal Audit Worksheet:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Internal Audit Worksheet in the hard copy of their
Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).
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
Implementers to click on the Attachments tab in the top right hand corner of the
screen and download the Worksheets.
• 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.
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.
64APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
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?
65APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Highlight tips, important definitions and examples:
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:
• Once you have finished explaining the chapter, draw the attention of the
Implementers to the Management Review 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 Worksheets.
• 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.
66APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 5
Transition to the next chapter (i.e. Chapter 6):
• 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”.
67APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 6
Chapter 6
Intent of this chapter:
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.
68APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 6
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
69APO Guidance Manual on GP and IMS for Facilitators
Act Brainstorming, FMEA, Ecomaps, Pareto analysis, Benchmarking, Control charts, CBA • Spider web diagram
Part 1: Manual Overview CHAPTER 6
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
70APO Guidance Manual on GP and IMS for Facilitators
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.
Part 1: Manual Overview CHAPTER 6
GP Tool When to use this GP Tool
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
71APO Guidance Manual on GP and IMS for Facilitators
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.
Part 1: Manual Overview CHAPTER 6
GP Tool When to use this GP Tool
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
Transition to the next chapter (i.e. Chapter 7):
• 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 .
72APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 7
Chapter 7
Intent of this chapter:
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
73APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 7
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
74APO Guidance Manual on GP and IMS for Facilitators
Document Control 4.2.3 4.4.5 4.4.5
Part 1: Manual Overview CHAPTER 7
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
Transition to the next chapter (i.e. Chapter 8):
• 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”.
75APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 8
Chapter 8
Intent of this chapter:
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).
76APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 8
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.
77APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 8
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”.
78APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 9
Chapter 9
Intent of this chapter:
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.
79APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 9
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”.
80APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 9
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).
81APO Guidance Manual on GP and IMS for Facilitators
Part 1: Manual Overview CHAPTER 9
Highlight tips, important definitions and examples:
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.
82APO Guidance Manual on GP and IMS for Facilitators
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.
APO Guidance Manual on GP and IMS for Facilitators 84
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.
APO Guidance Manual on GP and IMS for Facilitators 85
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
86APO Guidance Manual on GP and IMS for Facilitators
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?
APO Guidance Manual on GP and IMS for Facilitators 87
IMS Policy WorksheetContd… (page 2 of 3)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 88
parties)? What happens when we receive feedback on the IMS Policy?
IMS Policy WorksheetContd… (page 3 of 3)
Query Response Action Needed
15. How do we make our IMS Policy available to external parties? Is this process effective?
APO Guidance Manual on GP and IMS for Facilitators 89
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
APO Guidance Manual on GP and IMS for Facilitators 90
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?
APO Guidance Manual on GP and IMS for Facilitators 91
Environmental Aspects Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 92
in the vicinity of the workplace as well as outside it (in the latter case, related to activities within the control of the organization?
Environmental Aspects Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 93
13. How are significant aspects communicated to relevant organizations?
Hazard Identification and Risk Assessment WorksheetAssessment Worksheet
*Attach additional pages if needed (page 1 of 3)
Query Response Action Needed
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
(b) non‐routine activities
(c) foreseeable emergency situations
APO Guidance Manual on GP and IMS for Facilitators 94
Hazard Identification and Risk Assessment WorksheetAssessment Worksheet
Contd… (page 2 of 3)
Query Response Action Needed
7. Have we identified hazards and the associated risks of :(a) routine activities
(b) non‐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?
APO Guidance Manual on GP and IMS for Facilitators 95
Hazard Identification and Risk Assessment WorksheetAssessment Worksheet
Contd… (page 3 of 3)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 96
Legal and Other Requirements WorksheetWorksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
4. Who needs to be involved in this process within our organization? Should any outside parties be involved?
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 )
APO Guidance Manual on GP and IMS for Facilitators 97
web sites, commercial services, etc.)
Legal and Other Requirements WorksheetWorksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 98
Objectives and Targets Worksheet
*Attach additional pages if needed (page 1 of 1)
Query Response Action Needed
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)?
3. Who needs to be involved in this process within our organization? Should any outside parties be involved?
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?
APO Guidance Manual on GP and IMS for Facilitators 99
7. How do we communicate the results of this review?
Management Programs Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 100
Management Programs Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 101
Structure and Responsibility Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 102
with our overall budgeting process? How are expenditures for the IMS tracked?
Structure and Responsibility Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 103
Training, Awareness and Competency WorksheetWorksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 104
6. Who is responsible for training now? Who else might need to be involved within our organization?
Training, Awareness and Competency WorksheetWorksheet
Contd… (page 2 of 2)
Query Response Action Needed
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.
APO Guidance Manual on GP and IMS for Facilitators 105
Communication Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 106
6. What community outreach efforts are we making now (or have we made in the recent past)? How successful have these efforts been?
Communication Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 107
Documentation Worksheet
*Attach additional pages if needed (page 1 of 1)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 108
Document Control Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
2. Who needs to be involved in this process within our organization?
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?
APO Guidance Manual on GP and IMS for Facilitators 109
Document Control Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 110
Operational Controls Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 111
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
Operational Controls Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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)?
APO Guidance Manual on GP and IMS for Facilitators 112
Emergency Preparedness and Response WorksheetWorksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 113
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
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 114
Non‐conforming Products Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 115
actions taken to use the product with concessions?
Non‐conforming Products Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 116
Monitoring and Measurements WorksheetWorksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 117
we are complying with the other requirements, we subscribe to?
Monitoring and Measurements WorksheetWorksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 118
Corrective and Preventive Action WorksheetWorksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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
APO Guidance Manual on GP and IMS for Facilitators 119
deficiencies? How is this information used?
7. How do we track the status of our corrective and preventive actions?
Corrective and Preventive Action WorksheetWorksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 120
Records Management Worksheet
*Attach additional pages if needed (page 1 of 1)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 121
Internal Audit Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 122
the auditee?
Internal Audit Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 123
Management Review Worksheet
*Attach additional pages if needed (page 1 of 2)
Query Response Action Needed
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?
3. Who needs to be involved in this process within our organization?
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?
APO Guidance Manual on GP and IMS for Facilitators 124
Management Review Worksheet
Contd… (page 2 of 2)
Query Response Action Needed
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?
APO Guidance Manual on GP and IMS for Facilitators 125