IMS (Quality, Environment, Occupational Health & Safety) Awareness Training Course As per ISO 9001:2008, ISO 14001:2004 & OHSAS 18001:2007
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IMS (Quality, Environment, Occupational Health &
Safety) Awareness Training
Course As per ISO 9001:2008, ISO 14001:2004 & OHSAS 18001:2007
SESSION – 1ST
HR
INTRODUCTION
COURSE OBJECTIVE
This course is designed to:
• Describe the importance of IMS
• Explain the structure and requirements of ISO
9001, 14001 & OHSAS 18001
• Framework of Indian EHS Legislation
WHY QUALITY
• Rising Customer Expectations
• Increasing Competition
• Increasing Penalties for Failure
• Increasing turn-over of personnel
• Globalisation
1. Customer Focus
2. Leadership
3. Involvement of people
4. Process approach
5. System approach to the management
6. Continual Improvement
7. Factual Approach to Decision Making
8. Mutually beneficial Supplier relationship
QUALITY MANAGEMENT
PRINCIPLES
“PROCESS” ?
Ordered Dish
Raw material required to cook
Recipe for
cooking
People (Chef, Helpers, Waiter)
Environment (Clean kitchen)
Equipment Gas, Utensils
INPU T OUTPUT
“PROCESS” ?
Methodology
(PROCEDURE/SOP’s)
PRODUCT/SERVICE
Control to the process
Output Input PROCESS “Set of interrelated
or interacting activities”
Resources
Equipment/ Tools
Material
People/
Manpower
Information
STRATEGIC APPROACH-PDCA
PDCA can be applied to all processes
Management responsibility
Resource management
Measurement analysis &
improvement
Continual improvement of the quality management system
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Product
(Output) Input
PROCESS BASED QUALITY
MANAGEMENT SYSTEM
ISO 9001: 2008 STRUCTURE
Clause 1: Scope
Clause 2: Normative Reference
Clause 3: Terms and Definitions
Clause 4: Quality Management System
Clause 5: Management Responsibility
Clause 6: Resource Management
Clause 7: Product Realisation
Clause 8: Measurement, Analysis &
Improvement
TERMS & DEFINITIONS
Document Information and its supporting medium Record Document stating results achieved or providing evidence of activities performed
CLAUSE 4- QUALITY
MANAGEMENT SYSTEM
Mandatory Procedure Required by QMS:
• Control of Documents (4.2.3)
• Control of Records (4.2.4)
• Internal Audit (8.2.2)
• Control of Non Conforming Product (8.3)
• Corrective Action (8.5.2)
• Preventive Action (8.5.3)
CLAUSE 5- MANAGEMENT
RESPONSIBILITY
5.1 Management Commitment
5.2 Customer focus
5.3 Quality Policy
5.4 Planning
5.5 Responsibility, Authority & Communication
5.6 Management Review
CLAUSE 6- RESOURCE
MANAGEMENT
6.1 Provision of Resources
6.2 Human Resources
6.3 Infrastructure
6.4 Work Environment
7.1 Planning of product realisation
7.2 Customer related Process
7.3 Design and Development
(Design the product or service)
7.4 Purchasing
7.5 Production & service provision
7.6 Control of monitoring & measuring equipment
CLAUSE 7- PRODUCT
REALISATION
CLAUSE 8 MEASUREMEMT,
ANALYSIS & IMPROVEMENT
8.1 General
8.2 Monitoring & Measurement
8.3 Control of non-conforming product
8.4 Analysis of data
8.5 Improvement
SESSION – 2ND
HR
STRUCTURE OF ISO 14001:2004 &
OHSAS 18001:2007
WHY EMS ?
• Environmental performance closely scrutinized by
shareholders, employees, creditors, regulators,
environmental groups and the general public.
• Their responses could significantly affect share
prices.
• Environmental performance can have trade
implications.
WHY OHSMS?
Common programmes of EMS &
OHSAS
Examples:
• Chemical control including purchasing, tracking of MSDS, labeling, storage, and transportation.
• Inspection including inspections of the general plant, critical parts, special systems (fire & other emergency response systems), maintenance
• Incident investigation including root cause analysis, counter-measures, follow-up, and incident data analysis
• Emergency response to fire, spill response, and disasters.
• Training and education related to common programs.
• Product liability including system safety techniques used to minimize product liabilities (precursors to life cycle analysis)
• Auditing
Common programmes of EMS &
OHSAS
DEFINITIONS
Environment Surroundings in which an organisation operates, including air, water, land, natural resources, flora, fauna, humans, and their interrelation. Note - Surroundings in this context extend from within an organisation to the global system
DEFINITIONS
Organisation Company, corporation, firm, enterprise, authority or institution, or part or combination thereof, whether incorporated or not, public or private, that has its own functions and administration. Note - for organisations with more than one operating unit, a single operating unit may be defined as an organisation
Environmental & OHS Management System Part of an organization's management system used to develop and implement its environment and OHS policy and manage its environmental aspects and Hazards. Note 1: A management system is set of interrelated elements used to establish policy and objectives and to achieve those objectives. Note 2: A management system includes organizational structure, planning activities, responsibilities, practices,
procedures, processes and resources.
DEFINITIONS
DEFINITIONS
Occupational Health & Safety Conditions and factor that affect or could affect, health & safety of employees or other workers (Including temporary workers and contractor personnel), visitors or any other person in the workplace Note – organisations can be subject to legal requirements for the health and safety of persons beyond the immediate the workplace, or who are exposed to workplace activities
DEFINITIONS
Workplace Any physical location in which work related activities are performed under the control of the organisation Note – When giving consideration to what constitutes a workplace, the organisation should take into account the OH&S effects on personnel who are , for example travelling or in transit (e.g. driving flying, on boats or trains), working at the premises of a client or customer, or working at home
EHS MANAGEMENT MODEL
Re- Useable Waste
Solid Waste
( Disposal )
Raw Materials
Water/Air
Power
Recycle
Product
By-Product ( Sold )
Water
Gaseous Emissions
Liquid Waste ( Disposal )
UNIT OPERATION
or PROCESS
Suppliers
Noise Ill
Health
Accidents
Environmental Policy
Planning • Environmental aspects • Legal and other requirements • Objectives, targets and programs
CONTINUAL IMPROVEMENT
Implement and Operation • Resources, roles, responsibility and authority • Competence training, and awareness • Communication • Documentation • Control of Documents • Operational control • Emergency preparedness &response
Checking
• Monitoring and measurement • Evaluation of compliance • NC and CAPA • Control of Records • Internal audits
Management Review
STRUCTURE OF EMS - ISO 14001
STRUCTURE OF EMS &OHSAS
HSE Policy
Planning • Hazard identification, risk assessment and determining controls • Legal and other requirements • Objectives and programs
CONTINUAL IMPROVEMENT
Implement and Operation • Resources, roles, responsibility accountability and authority • Competence training, and awareness • Communication, participation and consultation • Documentation • Control of Documents • Operational control • Emergency preparedness &response
Checking
• Monitoring and measurement • Evaluation of compliance • Incident investigation, NC and CAPA • Control of Records • Internal audits
Management Review
DEFINITIONS
Environmental Policy Overall intentions and direction of an organization related to its environmental performance as formally expressed by top management. OH&S Policy Overall intentions and direction of an organization related to its OH&S performance as formally expressed by top management.
DEFINITIONS
Environmental Performance Measurable results of an organization's management of its environmental aspects. NOTE: In the context of environmental management system, results can be measured against the organization's environment policy, environment objectives, environment targets and other environmental performance requirements.
DEFINITIONS
OH&S Performance Measurable results of an organization's management of its OH&S risks. NOTE 1: OH&S performance measurement includes measuring the effectiveness of the organization's control. NOTE 2: In the context of OH&S management system, results can be measured against the organization's OH&S policy, OH&S objectives and other OH&S performance requirements.
DEFINITIONS
Prevention Of Pollution Uses of processes, practices, materials, products, services or energy to avoid, reduce or control (separately or in combination) the creation, emission or discharge of any type of pollutant or waste, in order to reduce adverse environmental impacts. Note : Prevention of pollution can include source reduction or elimination, process, product or service changes, efficient use of resources, material and energy substitution, reuse,
recovery, recycling, reclamation and treatment.
DEFINITIONS
Interested Party (EMS) Person or group concerned with or affected by the environmental performance of an organization. Interested Party (OH&S) Person or group inside or outside the workplace, concerned with or affected by the OH&S performance of an organization
GENERAL REQUIREMENTS
Clause 4.1
Establish, document, implement, maintain and continually improve an EMS.
Determine how it will fulfill requirements of this standard.
Define and document scope its of EMS
4.2 Environmental Policy
Environmental Impacts (4.3.1)
Improvement &
Prevention of Pollution
Legal and Other Requirements
(4.3.2)
Objective, Targets
and Programs
(4.3.3)
Internal, External Parties, and Persons Working on Behalf
Reduce Reuse
Replace Recycle
Documented, implemented, maintained and communicated to all employees Available to the public
4.2 ENVIRONMENT POLICY
4.3.1 Environmental
Aspects
Activities
Products Services
Maintenance
Welding
Hazardous Waste
Cleanup
Computer Components
Vehicles
Subcontracted Activities
Session -3 – 3rd Hr
4.3.1 ENVIRONMENT ASPECTS
ENVIRONMENTAL ASPECTS
[4.3.1 ]
• Establish, implement & maintain procedure to identify environmental aspects of its activities, products or services within defined scope
• Those that it can control and over which it can be expected to have influence
• Determine those which have or can have significant impact
• Taking into account planned or new developments, or new or modified activities, products and services
• Ensure that significant aspects are taken into account in establishing, implementing and maintaining its EMS
• Keep the information up-to-date
ENVIRONMENTAL ASPECTS
[4.3.1 ]
Environmental Aspect
Element of an organisation’s activities or products or services than can interact with the environment
Note : A significant environmental aspect has or can have a significant environmental impact
DEFINITIONS
DEFINITIONS
Environmental Impact
Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization's environmental aspects.
POLLUTION
SOURCE
Processes Activities Products Services
PATHWAY
Air
Water Solid
Built environment Quality of Life
Noise Vibration
Visual Impact
TARGET
Ozone layer Rain forest
Forest Lake/River
Ground water Eco systems
Local Community
ENVIRONMENTAL PROBLEMS
• Global Warming
• Stratospheric Ozone Depletion
• Acid Rain
• Water Quality
• Persistent Organics
• Air Quality
• Noise/Vibration
• Visual Impact/ Amenity
• Waste Management
• Contaminated Land
• Major Spills and Incidents
• Release of Genetically Manipulated Organisms
EXAMPLE OF ASPECTS AND
IMPACTS
• Air emissions (exhaust)
• Water consumption
• Fuel release (accidental spills)
• Fuel release (accidental spills)
• Noise generation
• Energy consumption (lights left on)
• Paper recycled
• Air quality degraded
• Water resource depleted
• Storm water contaminated
• Soil contaminated
• Area nuisance
• Increased CO2 from coal-fired power plant emissions
• Landfill space conserved, raw materials conserved
Aspects Impacts
HIRA AND DETERMINING
CONTROLS (4.3.1)
• The process steps: Hazard Identification →Risk assessment → Determination
of controls
• Hierarchy of controls prescribed as part of OH&S planning - Elimination - Substitution - Engineering controls - Signage/warnings and/or administrative controls - Personal protective equipment
• Ongoing HIRA - Routine and non routine - Subcontractors and visitors - Facilities provided at workplace
• Results of assessments and effect of controls to be considered in setting objectives
• Up to date
HIRA AND DETERMINING
CONTROLS (4.3.1)
Methodology for HIRA
• Defined, Proactive and Reactive • Classification of risks
• Operating experience and capability of risk control
• Provide inputs – facility requirements, training needs, operational controls
• Monitoring of required actions
HIRA AND DETERMINING
CONTROLS
4.3.2 Legal and Other
Requirements
Environmental Aspects (4.3.1)
Legal Requirements Other Requirements
SESSION – 3, 3RD
HR
4.3.2 LEGAL AND OTHER REQUIREMENT
LEGAL AND OTHER
REQUIREMENTS (4.3.2)
• Procedures to identify and access applicable legal & other requirements • Keep information up to date • Communicate requirements to :- – employees - Person working under the control of organisation – interested parties
LEGAL AND OTHER
REQUIREMENTS (4.3.2)
The statutes relating to OH&S are broadly divided into three:- • Statutes for safety at workplaces • Statutes for safety of substances • Statutes for safety of activities
LEGAL REQUIREMENTS
The major legislations are:- • The Factories Act, 1948 • Mines Act, 1952 • Dock workers (Safety, welfare & health) Act, 1986 • Plantation Labour Act, 1951 • Explosives Act, 1884 • Petroleum Act, 1934 • Insecticide Act, 1968 • Indian Electricity Act, 1910 • Indian Boilers Act, 1923 • Indian Atomic Energy Act, 1962 • Building and Other Construction Workers (Regulation of Employment and Conditions of Service) Act, 1996 • Beedi and Cigar Workers' (Conditions of Employment) Act, 1966 .
EVALUATION OF
COMPLIANCE [4.5.2]
Requires establishing, implementing and maintaining procedure: • To periodically evaluate compliance with applicable legal and other requirements to which it subscribes (Possibly a table of legislation,
column of how it affects the organisation, who it affects and
then how it is complied with.) • Keep records of results of periodic evaluations.
4.3.3 Objectives and
Targets
Significant Environmental Aspects (4.3.1)
Technological Options
Financial Requirements
Views of Interested Parties
4.3.3 Objectives, Targets and…
Significant Environmental Aspects & OH&S Risk
(4.3.1)
Technological Options
Financial Requirements
Views of Interested Parties (4.4.3)
Legal Requirements (4.3.2) Legal Requirements (4.3.2)
OBJECTIVES, TARGETS(EMS)
& PROGRAMMES (4.3.3)
4.3.3 … Programs
R&A (Responsibility and Authority)
Time-Frame and Action Plans
Reviews and Updates
Objectives and Targets
Vice President EMR/Plant Manager Maintenance Manager
President
OBJECTIVES, TARGETS(EMS)
& PROGRAMMES (4.3.3)
• Documented EHS objectives at relevant functions and levels within the organization • Consider - legal & other requirements, environmental aspects & OH&S Risks, - Technological options, Views of interested parties - Financial, operational and business requirements,
• Measurable where practicable
OBJECTIVES &
PROGRAMMES (4.3.3)
• Designate responsibility at relevant functions and levels • Means and timeframe by which objectives are to be achieved
OBJECTIVES &
PROGRAMMES (4.3.3)
4.4.1 Resources, Roles
Responsibility and Authority
R&A (Responsibility and Authority)
Money
People
Vice President EMR/Plant Manager Maintenance Manager
President
Infrastructure
4.4.1 RESOURCE, ROLES, RESPONSIBILITY
AND AUTHORITY
EMS RESOURCES
Organizational Infrastructure
-Buildings
-Communication lines
-Underground tanks
-Drainage
-Etc.
4.4.2 Training, Awareness
and Competence Significant Environmental
Aspects & OH&S Risks (4.3.1)
Emergency Preparedness and Response (4.4.7)
Environmental Policy (4.2)
Operational Controls (4.4.6) Objectives and Targets
4.4.2 COMPETENCE TRAINING &
AWRENESS
4.4.3 Environmental Communication
External Parties
Internal
Subcontractors (4.4.6 and 4.2)
4.4.3 COMMUNICATION
COMMUNICATION, PARTICIPATION
AND CONSULTATION (4.4.3)
Clause has been split into two: 4.4.3.1 Communication Requirement for a procedure - For communication with contractors - Visitors to the workplace - For receiving, documenting and responding to relevant communications from external interested parties
Session – 4 – 4th
Hr
COMMUNICATION, PARTICIPATION
AND CONSULTATION (4.4.3)
4.4.3.2 Participation and Consultation Procedures for the participation of workers in respect of their: - Involvement hazard identification, risk assessment and determination of controls. - Involvement in incident investigation. - Involvement in the development and review of OH&S policies and objectives.
SYSTEM PROCEDURES
OPERATIONAL PROCEDURES
WORK
PRACTICES
POLICY
ASPECTS
OBJ. & TARGETS
PROGRAMS
ORGANIZATIONAL CHART
ROLES &
RESPONSIBILITIES
LEGAL REQUIREMENTS
TRAINING MATRIX
MASTER
DOCUMENT LIST
MASTER
RECORDS LIST
Core elements and their interaction
4.4.4 DOCUMENTATION
4.4.6 Operational Controls
Environmental & OH&S Policy (4.2)
Objectives, Targets, and Programs
(4.3.3)
Subcontractors
Significant Environmental Aspects & OH&S Risks
(4.3.1)
4.4.6 OPERATIONAL CONTROL
OPERATIONAL CONTROL (4.4.6)
• Identify and plan operations associated with significant aspects.
• A procedure must be documented only when its absence could lead to a deviation from organization’s environmental policy, objectives and targets.
• Operating criteria to be stipulated in the procedure.
Requirements for suppliers and contractors:
• suppliers including contractor must use the operational controls required by an organization where there are identifiable significant environmental aspects related to their goods and services.
• the organization must communicate their environmental requirements to the supplier or contractor.
OPERATIONAL CONTROL (4.4.6)
OPERATIONAL CONTROL
(4.4.6)
- Identify and plan controls as applicable to its activities that are associated with identified hazard. - Controls related to purchased goods, equipment and services - Controls related to contractors and other visitors to the workplace
OPERATIONAL CONTROL
(4.4.6)
- OCP must be documented (when its absence could lead
to a deviation OH&S policy and objectives)
- Operating criteria is to be stipulated in the procedure (where its absence could lead to a deviation from
OH&S policy and objectives.)
– A documented procedure need not be in traditional format.
OPERATIONAL CONTROL
(4.4.6)
• Operational controls to include the management of change. • Clarification has given that controls must extend to contractors and visitors.
Personal Protective Equipment
– Hard hats, caps & hair nets
– Safety boots & foot guards
– Face shields
– Safety goggles & glasses
– Hearing protection
– Protective gloves
– Protective jackets & vests
– Respirators
OPERATIONAL CONTROL
(4.4.6)
Procedural Controls – Job procedures
– Work permits
– Lock-out procedures
– Confined-entry procedures
– Industrial hygiene procedures
– Housekeeping procedures
– Emergency procedures
OPERATIONAL CONTROL
(4.4.6)
A documented procedure need not be in traditional format and can be in the form of :
- a flow diagram
– a cartoon or picture (especially relevant if workers are illiterate)
– a photograph
– a chart or schedule.
OPERATIONAL CONTROL
(4.4.6)
4.4.7 Emergency Preparedness and Response
Response Mechanism
Review Mechanism
Test Mechanism Identification Mechanism
4.4.7 EMERGENCY PREPAREDNESS
AND RESPONSE
EMERGENCY PREPAREDNESS
AND RESPONSE (4.4.7)
ISO 14001 requires :
• identify the potential emergency situation
• identify the potential accidents
• identify how to respond to them
• respond to actual situation
• establish procedures to mitigate
• prevent or mitigate adverse environmental impact
• test procedures periodically
EMERGENCY PREPAREDNESS
AND RESPONSE (4.4.7)
OHSAS 18001 requires organization to: • Establish procedures to mitigate • Prevent or mitigate associated adverse OH&S consequences • Test procedures periodically (After the occurrence of emergency situations)
EMERGENCY PREPAREDNESS
AND RESPONSE (4.4.7)
As an emergency is a type of nonconformance, procedure should also include: – Analysis of cause – Corrective action and preventive action – Reporting, where required – Review and revision of procedures
4.5.1 Monitoring and
Measurement
Significant Environmental Aspects (4.3.1)
Operational Controls (4.4.6) Conformance to Objectives and Targets (4.3.3)
Documented Procedure
Records for • performance • operational controls • achievement of objectives and targets • Calibration of monitoring equipment
4.5.1 MONITORING & MEASUREMENT
Legal and Other requirements (4.3.2)
OHSAS 18001:2007 requires Procedure for: - Qualitative and quantitative measure - Monitoring the effectiveness of controls for health as well as safety - Proactive measures of performance (monitor
conformance with the OH&S Programme, controls and operational criteria)
PERFORMANCE MEASUREMENT
AND MONITORING (4.5.1)
OHSAS 18001:2007 requires Procedure for: - Reactive measures of performance (monitor ill health,
incidents, other historical evidence of deficient OH&S performance)
- Recording of data and results of monitoring and measurement - To ensure monitoring and measuring instruments are calibrated.
PERFORMANCE MEASUREMENT
AND MONITORING (4.5.1)
OHSAS 18001 requires documenting information: - To monitor performance - To monitor operational controls – To monitor conformity objectives and targets - Calibration records of monitoring equipments are to be maintained.
PERFORMANCE MEASUREMENT
AND MONITORING (4.5.1)
CONTINUAL IMPROVEMENT IN OHS PERFORMANCE
POLICY
MONITOR
OBJECTIVESREVIEW
PROGRAMME
Assess Risks
Legal & Other
requirements
Identify
Hazards
Control
Measures
Tolerable
or
Intolerable
Eliminate
Risk
Residual
Risk
Corrective &
Preventitive
Action
INTERNAL AUDIT
SIMPLIFIED MODEL OF OHS PERFORMANCE
Acceptable Risk
NON-CONFORMITY, CORRECTIVE
& PREVENTIVE ACTION
ISO 14001 requires procedures for:
• identifying nonconformity
• taking action to mitigate impacts
• investigating non-conformity
• taking corrective action to avoid recurrence
• taking preventive action to avoid occurrence
NON-CONFORMITY CORRECTIVE &
PREVENTIVE ACTION
REVIEW OF ACTION TAKEN
CORRECTIVE ACTION
NON-CONFORMITY
IDENTIFIED
MITIGATION
INVESTIGATE
ROOT CAUSE DETERMINATION
PREVENTIVE ACTION
DOCUMENT CHANGE
Procedures need to define responsibility and authority for: • Recording, investigating and analysing incidents • Determining underlying OH&S deficiencies • Dealing with breaches in procedures that resulted in an incident • Actions to mitigate consequences arising from incidents • Initiation / completion of preventive / corrective actions • Reviewing effectiveness of corrective and preventive actions
INCIDENT INVESTIGATION
(4.5.3.1)
NONCONFORMITY, CORRECTIVE
ACTION AND PREVENTIVE ACTION
(4.5.3.2)
Establish, implement and maintain procedure for: • Identification and correction of nonconformity • Taking actions to mitigate the OH&S consequences • Investigation of Nonconformity • Determining the cause of nonconformity • Taking corrective action to avoid recurrence • Taking preventive action to avoid occurrence • Recording and communication of the result of CAPA • Review effectiveness of CAPA • Modify the documents based on CAPA
• Establish and maintain records for EHS Management System conformance • Procedures needed for identification, storage, protection, retrieval, retention, maintenance and disposition of EHS records • Records should be legible, identifiable & traceable
CONTROL OF RECORDS
(4.5.4)
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