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
 QUALITY MANAGEMENT
PRINCIPLES

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
 “PROCESS” ?
Raw material
required to cook
Environment
I
(Clean kitchen)
N
Ordered
P Equipment Dish
U Gas, Utensils
T OUTPUT
People
(Chef, Helpers, Waiter)

Recipe for
cooking
 “PROCESS” ?

Methodology
(PROCEDURE/SOP’s)

Input PROCESS Output PRODUCT/

“Set of interrelated SERVICE
Resources or interacting
activities”
Equipment/
Tools
Control to the process
Material
People/
Manpower
Information
 STRATEGIC APPROACH-PDCA

PDCA can be applied to all processes

 PROCESS BASED QUALITY
MANAGEMENT SYSTEM
Continual improvement of the
quality management system

R S
Management
E A
C responsibility C
Q T
U U
U I
S S
I S
T T
R Resource Measurement F
O management analysis & O
M
E improvement M
A
M C
E E
E T
R R
N I
s Service Product s
T Input O
realisation (Output)
S N
 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
 CLAUSE 7- PRODUCT
REALISATION

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 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
 Common programmes of EMS &
OHSAS

• Emergency response to fire, spill response, and

disasters.
• Training and education related to common
programs.
• Product liabilityincluding system safety techniques
used to minimize product liabilities (precursors to
life cycle analysis)
• Auditing
 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
 DEFINITIONS
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

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

Raw Materials Product

UNIT
Water/Air By-Product ( Sold )
OPERATION
Power Water
or
Recycle Gaseous Emissions
PROCESS
Suppliers Liquid Waste ( Disposal )

Ill
Noise Re- Solid
Health
Useable Waste
Accidents Waste ( Disposal )
 STRUCTURE OF EMS - ISO 14001

CONTINUAL
IMPROVEMENT

Environmental Policy
Management Review

Planning
• Environmental aspects
• Legal and other requirements
• Objectives, targets and programs

Implement and Operation

• Resources, roles, responsibility and authority
• Competence training, and awareness
Checking • Communication
• Documentation
• Control of Documents
• Monitoring and measurement
• Operational control
• Evaluation of compliance
• Emergency preparedness &response
• NC and CAPA
• Control of Records
• Internal audits
 STRUCTURE OF EMS &OHSAS
CONTINUAL
IMPROVEMENT

HSE Policy
Management Review
Planning
• Hazard identification, risk assessment and
determining controls
• Legal and other requirements
• Objectives and programs

Implement and Operation

• Resources, roles, responsibility
accountability and authority
Checking • Competence training, and awareness
• Communication, participation
• Monitoring and measurement and consultation
• Evaluation of compliance • Documentation
• Incident investigation, NC and • Control of Documents
CAPA • Operational control
• Control of Records • Emergency preparedness &response
• Internal audits
 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 ENVIRONMENT POLICY
Reuse Reduce
Documented, implemented,
maintained and communicated
Environmental Impacts to all employees Objective, Targets
(4.3.1) Available to the public and
Programs
(4.3.3)
Replace Recycle

4.2 Environmental
Policy

Improvement &
Prevention of Pollution
Legal and Other
Requirements
(4.3.2)

Internal, External Parties, and

Persons Working on Behalf
 Session -3 – 3rd Hr
4.3.1 ENVIRONMENT
Maintenance ASPECTS
Subcontracted
Activities
Activities

Welding

4.3.1
Environmental Hazardous
Waste
Aspects Cleanup

Vehicles

Computer
Components

Products Services
 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
 ENVIRONMENTAL ASPECTS
[4.3.1 ]

• 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

 DEFINITIONS

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

Environmental Impact

Any change to the environment, whether

adverse or beneficial, wholly or partially resulting
from an organization's environmental aspects.
 POLLUTION

SOURCE PATHWAY TARGET

Air Ozone layer
Processes
Water Rain forest
Activities
Solid Forest
Products
Built environment Lake/River
Services
Quality of Life Ground water
Noise Eco systems
Vibration Local
Visual Impact Community
 ENVIRONMENTAL PROBLEMS
• Global Warming • Visual Impact/ Amenity
• Stratospheric • Waste Management
Ozone Depletion
• Contaminated Land
• Acid Rain
• Water Quality • Major Spills and Incidents
• Persistent • Release of Genetically
Organics Manipulated Organisms
• Air Quality
• Noise/Vibration
 EXAMPLE OF ASPECTS AND
IMPACTS
Aspects
• Air emissions (exhaust)
• Water consumption
• Fuel release (accidental spills)
• Fuel release (accidental spills)
• Noise generation
• Energy consumption (lights left
on)
• Paper recycled
Impacts
• 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
 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
 HIRA AND DETERMINING
CONTROLS (4.3.1)

• 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
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
 SESSION – 3, 3RD HR

Environmental Aspects
4.3.2 LEGAL AND OTHER REQUIREMENT
(4.3.1)

4.3.2 Legal and

Other
Requirements

Legal Requirements Other Requirements

 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.

 OBJECTIVES, TARGETS(EMS)
& PROGRAMMES (4.3.3)

Legal Requirements (4.3.2)

Views
Views of
of Interested
Interested Parties
Parties
(4.4.3)

4.3.3 Objectives
4.3.3 Objectives,
and
Targets and…
Targets

Significant Environmental
Significant
Aspects &Environmental
OH&S Risk Financial Requirements
Aspects (4.3.1)
(4.3.1)

Technological Options
 OBJECTIVES, TARGETS(EMS)
& PROGRAMMES (4.3.3)
Objectives and
Targets Reviews and Updates

4.3.3 … Programs

Time-Frame and
R&A (Responsibility Action Plans
and Authority)

President

Vice President EMR/Plant Manager Maintenance Manager

 OBJECTIVES &
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
 4.4.1 RESOURCE, ROLES, RESPONSIBILITY
AND AUTHORITY
President

Vice President EMR/Plant Manager Maintenance Manager

People R&A (Responsibility

and Authority)

4.4.1 Resources,
Roles
Responsibility and
Authority

Infrastructure

Money
 EMS RESOURCES

Organizational Infrastructure

-Buildings
-Communication lines
-Underground tanks
-Drainage
-Etc.
 4.4.2 COMPETENCE TRAINING &
AWRENESS

Emergency Preparedness
and Response (4.4.7)
Environmental Policy (4.2)

4.4.2 Training,
Awareness
and Competence
Significant Environmental
Aspects & OH&S Risks (4.3.1)

Objectives and Operational Controls (4.4.6)

Targets
 4.4.3 COMMUNICATION

Internal

4.4.3 Environmental
Communication

Subcontractors
External Parties
(4.4.6 and 4.2)
 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.
 4.4.4 DOCUMENTATION
Core elements and
their interaction
SYSTEM ORGANIZATIONAL
PROCEDURES CHART

OPERATIONAL ROLES &

PROCEDURES RESPONSIBILITIES

WORK LEGAL
PRACTICES REQUIREMENTS

POLICY TRAINING
MATRIX
ASPECTS
MASTER
OBJ. & DOCUMENT
TARGETS LIST

PROGRAMS MASTER
RECORDS
LIST
 4.4.6 OPERATIONAL CONTROL

Environmental & OH&S Subcontractors

Policy (4.2)

4.4.6 Operational
Controls

Objectives,
Significant Environmental
Targets, and Programs
Aspects & OH&S Risks
(4.3.3)
(4.3.1)
 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.
 OPERATIONAL CONTROL (4.4.6)

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)

- 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.
 OPERATIONAL CONTROL
(4.4.6)

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.
 4.4.7 EMERGENCY PREPAREDNESS
AND RESPONSE

Test Mechanism
Identification Mechanism

4.4.7 Emergency
Preparedness
and Response

Review Mechanism

Response Mechanism
 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 & MEASUREMENT

Legal and
Other requirements (4.3.2)
Significant Environmental
Aspects (4.3.1)

Records for
• performance
• operational controls
4.5.1 Monitoring • achievement of objectives
and targets
and • Calibration of monitoring
equipment
Measurement

Conformance to
Operational Controls (4.4.6) Objectives and
Targets (4.3.3)

Documented
Procedure
 PERFORMANCE MEASUREMENT
AND MONITORING (4.5.1)

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.
 SIMPLIFIED MODEL OF OHS PERFORMANCE

CONTINUAL IMPROVEMENT IN OHS PERFORMANCE

POLICY OBJECTIVES PROGRAMME

REVIEW
MONITOR
Legal & Other
requirements
Tolerable
Control
Identify or
Assess Risks Measures
Hazards Intolerable
Corrective &
Eliminate Acceptable
Residual Preventitive
Risk RiskRisk Action

INTERNAL AUDIT
 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- NON-CONFORMITY
CONFORMITY
IDENTIFIED
CORRECTIVE &
PREVENTIVE ACTION
MITIGATION

INVESTIGATE

ROOT CAUSE
DETERMINATION

CORRECTIVE REVIEW OF ACTION

ACTION TAKEN

PREVENTIVE
ACTION

DOCUMENT
CHANGE
 INCIDENT INVESTIGATION
(4.5.3.1)

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
 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
 CONTROL OF RECORDS
(4.5.4)

• 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