Complementary Study Material Guidance Manual for Facilitators | Facilitator | Competence (Human Resources)

Guidance Manual for Facilitators on  G Green  P Productivity d ti it   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 y and Integrated g  Management g  System y  ( (IMS) ) are p part of the  package 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. 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 course. course

can advocate for fair. implement and maintain an IMS at their place of work. By supporting everyone to do their best. and follow through on them Thus. rather. build feasible and effective plans. the Facilitator need not necessarily be a subject matter expert. he / she must attempt to draw on existing knowledge of Implementers. the Facilitator will enable Implementers to search for inclusive solutions. Of course. open. and inclusive procedures to accomplish the Implementers’ work • Encourage g full p participation. the Guidance Manual on Green Productivity (GP) and Integrated Management System (IMS) for Facilitators is designed specifically to aid the user / the Facilitator. The Facilitator wears multiple hats. APO Guidance Manual on GP and IMS for Facilitators 4 .Objective of the Manual As the title suggests. who by not taking sides or expressing or advocating a point of view. 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. p .p promote mutual understanding g and cultivate shared responsibility. having an understanding of IMS‐related concepts and requirements will serve as an added advantage to the Facilitator. and then facilitate access to training where gaps in knowledge are identified. towards helping individuals / groups / organizations (henceforth referred to as “Implementers” with reference to this Manual) to establish.

 or any y such “higher” g  aspect. designed specifically to support face‐to‐face training using the various resources  provided therein. p  The Manual is  internal auditors or lead auditors. Indeed. quality lit ‐ environment‐food safety or quality‐energy etc. implementation and review of the IMS of an organization. The Manual incorporates various tips which the Facilitator may use depending on the situation at hand. Note that in providing examples from various sources. this Manual does not endorse any of the cited web sites or books. which may be used in the design. The  material in the Manuals will help users to establish. As a secondary use. Nevertheless. F th th term the t “IMS” could ld refer f to t the th integration i t ti of f various i t types ( (e. Further. operate and maintain an IMS at  their organization.org).g. 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. by “IMS” this Manual (and its companion Manual) refers to 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. the APO Guidance Manual on GP and IMS for Facilitators 5 .apo‐elearning. are designed to act as introductory material on the topic of IMS.Intent of the Manual It must be noted that this Manual and its companion Manual: Guidance Manual on  Green Productivity (GP) and Integrated Management System (IMS) for  Implementers. and numbers (two or more) of management standards. However. In no case is this Manual intended to serve as a training guide for  . the Manual relies heavily on the use of GP tools.). both Manuals include an introduction to the GP concept as well.

some hints of likely barriers that may be faced. and other supplementary material aimed at greater efficiency in performing a task. Example This icon indicates an example. Tools IMPORTANT This icon indicates notes that are important to remember.Icons Used in this Manual The following icons have been used to draw attention to certain parts of the text where they are positioned. . Tip Tips present useful additional information in the form of shortcuts to certain actions for greater effectiveness. This icon indicates a toolbox and has been used in the text wherever a connection between the IMS and GP tools are is described.

Contents of the Manual General Instructions for Facilitators Suggested Timelines for Face‐to‐Face Training and E‐learning Sessions  Part 1: Manual Overview Ch Chapter  1 – GP and d 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 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 APO Guidance Manual on GP and IMS for Facilitators 7 .

org/. please visit http://www.e. Getting Started • The user must go through the Guidance Manual on Green Productivity (GP) and Integrated Management System (IMS) for Implementers.iso. A basic understanding of GP tools and techniques is also expected.com/. It is expected that the users of this Manual are familiar with at least one of the aforementioned standards. not pirated) copies of the latest versions of the required standards. As a Facilitator. He must make himself/herself familiar with the materials in the Manual for Implementers. • • Once the user feels comfortable with the material. intensive experiences of a few hours and are designed to maximize interaction and professional growth within a short period of time. Facilitator the user must make sure that he / she understands the method of delivery of the key messages as indicated for each chapter / module.bsi‐global. To obtain official copies of the copies of the OHSAS 18001:2007 standard.General Instructions for  Facilitators Prerequisites Given the stringent guidelines on copyright issues. verbatim As a result. They can dedicate a relatively small amount of focused time to master all materials necessary for this topic. 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. To obtain official copies of the ISO 9000:2008 and the ISO 14001:2004 standards. APO Guidance Manual on GP and IMS for Facilitators 8 . this Manual does not and cannot quote the various clauses of the IMS and associated standards ad verbatim. he/she should cast himself / herself as a Facilitator using both companion Manuals. please visit http://www. both Facilitators and Implementers must have official (i. The modules of the e‐learning course are designed to be focused. The user must then become familiar with the materials in this Manual (for Facilitators).

i ti by spending time talking to them and interviewing them to get a feeling for the overall situation. The suggested words and transitions to the next slide are guides and. but must also undertake some prior i research h about b t participating ti i ti individuals i di id l / groups and d / or organizations. IMS and GP). APO Guidance Manual on GP and IMS for Facilitators 9 . the user may employ the tips and examples given in the Manual for Implementers to reinforce learning points. depth. and apart from the key messages. ask for volunteers to share – Summarize the sharing Dos and Don Don’ts ts Proper preparation is a must: It is essential that the Facilitator know what the goals of Implementer groups are. the Facilitator must not only be well‐versed in the subject content of the Manual (i. keep them going in the right direction and help them meet intended goals.• • • • Initially. they may optionally substitute their own stories and examples for those given. key messages. tips and examples.e. and style. 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. When the user feels he/she can confidently deliver the chapter / module. to create even more credibility. the user may change. At the beginning of each day. In order to do this. improve or replace the wording suggested to better fit his/her particular presentation style.

interviews. Ask challenging g gq questions: By y asking gq questions that encourage g deep p thinking g and lively discussion. it is imperative that the Facilitator also be flexible and be prepared to modify certain aspects as and when found necessary (say. Formative evaluations ask questions like ”How does this group interact? Am I talking too fast? Is today’s specific ifi exercise i in i group A going i to t be b an effective ff ti background b k d for f tomorrow’s t ’ exercise in group B?” APO Guidance Manual on GP and IMS for Facilitators 10 .Follow a timeline. Formative evaluation often is intuitive. and so on). 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. so it is wise to draw up a timeline for the ways to accomplish this. Some element of control is a necessity. chat rooms. the Facilitator will help Implementers to explore areas they may not have discussed before or even considered earlier (much like the GP tool “brainstorming”) . Formative evaluations are used to help the Facilitator revise the rest of the workshop or the next half day or any other training unit. it can consist of mid‐session written or verbal feedback. easel charts.It just might get the Implementers started with a whole new generation of ideas and ultimately help their learning process. the majority of the Implementers are requesting an extended time limit to complete a particularly complex assignment. Developing small but simple learning games is another way. or group interviews at end of the day. Chapter 3 may take an additional week. Include formative as well as summative evaluations: There are two kinds of evaluation that the Facilitator will find useful: formative and summative. Chapters 1 and 2 must be completed by the end of week 1. discussion forums (the last three are available on the e‐learning platform) is one way to do this. so that things move smoothly (say. Employing an LCD projector. the Facilitator may take a call and decide to extend the timeline for that particular assignment). way Check the table on the following page for more facilitation tools. whiteboards. discussions in large or small groups. but be flexible: The job of the Facilitator is to move the group toward solutions. In such a case. At the same time.

this team could provide support for one another in the application of their training. A group of people working as an intact team in an organization to plan. future directions. l i th t is. For example. and help to pass the message to a larger group once they complete their training and are back to work in their organizations. future involvement of individual trainers. as opposed to inviting one person from each organization. establish and implement the IMS would h have an advantage d t d i the during th training t i i through th h peer learning. again how would we do it differently? differently?” Summative evaluations allow officers with programmatic responsibility to evaluate and compare a series of workshops and make decisions about future offerings. the Facilitator might invite a team from one organization to work together during the training. that i knowing k i enough about the institutional context to be able to help one another with application of the learning. Post‐training. APO Guidance Manual on GP and IMS for Facilitators 11 .Summative evaluations ask questions like: ”How well did this work? Did we reach our goals? If we did this again. Achieve a multiplier effect: The style of facilitation can help Implementers become multipliers of this information within their organizations.

 discussion groups followed by  a number of things  plenary reporting within a short time  • 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* 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) • Real time note‐taking on flip charts feedback • Worksheets  • Templates on PowerPoint or transparencies • Assigning a rapporteur • Oral reporting to plenary using visual aids • Discussion forums* • Whiteboards* • Chat room* APO Guidance Manual on GP and IMS for Facilitators 12 . sequential sharing  around a table) • Discussion forums* • Whiteboards* • Chat room* Get individual input on  • Parallel. separate‐task.Objective  Facilitation tool (*: to be used on the e‐learning  platform) Share individual’s individual s ideas  • Organized plenary discussion • Small group work and reporting in the group • Brainstorming with flipcharts • Conversation hub (multi‐staged.

Suggested Timeline for Face‐to‐Face  Training and E‐learning Sessions Material to cover Chapter 1: Green Productivity and Integrated  g  Systems y Management Chapter 2: Policy for the Integrated  Management Systems Chapter 3: Planning for the Integrated  Management Systems Chapter 4: Implementation of the Integrated  Management Systems Face‐to‐face  training* Day 1 Day 2 Day  3‐4 Day 5‐6 E‐learning** Day 1‐3 Day 4‐6 Day 7‐10 Day 11‐14 Day 15‐17 Day 18‐21 Day 22 Chapter 5: Monitoring and Management Review  Day 7‐8 of the Integrated Management Systems Chapter 6: Green Productivity Tools to Facilitate  g  Management g  Systems y the Integrated Chapter 7: Overview on Equivalence of Clauses  Among the Quality. Health and Safety and  Environmental (QSHE) Standards Chapter 8: Overcoming Barriers in the Context  of IMS Chapter 9:  Certification of the Organization’s  IMS Case Study  / Group Work  Discussions / Quiz Day 9 Day 10 Day 10 Day 10 Day 11 Day 12 Day 23‐24 Day 25 Day 26‐29 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 APO Guidance Manual on GP and IMS for Facilitators 13 .

Facilitator notes: • Introduce yourself. Both concepts are tremendously useful in their own right. ISO 14001:2004 for Environmental Management g Systems y 3. APO Guidance Manual on GP and IMS for Facilitators 14 . 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. the IMS refers to the following three standards: 1. yourself • Explain the concepts of GP and IMS. Explain that according to this Manual.Part 1: Manual Overview Chapter 1 CHAPTER 1 Intent of this chapter: This chapter Thi h t addresses dd th concepts the t of f Green G P d ti it (GP) and Productivity d Integrated I t t d Management System (IMS). but each suffers from some shortfalls. ISO 9001:2008 for Quality Management Systems 2.

It does not consider a life cycle impacts. It is essentially “business oriented” (i. it cannot be applied easily to other subjects requiring environmental and social considerations.e. This is where the GP concept can help IMS and in turn.e. and which is recognized and accepted globally. APO Guidance Manual on GP and IMS for Facilitators 15 . the IMS also falls short in some aspects. be helped by IMS. For this reason. It lacks in providing a methodology to meet those requirements. Transition to the next chapter (i. For example. On the other hand. a more holistic approach to managing business risks and so on (see slide below). the benefits accrued to the organizations practicing the GP methodology are not always communicated and recognized. the benefits of the IMS include an improved business focus. GP is not like a “formal” Management System Standard audited and certified by an external third party. implementation and review process. However. such as communities).Part 1: Manual Overview CHAPTER 1 For example. it is mostly a comprehensive listing of requirements alone. Chapter 2): • Add some emphasis to the PDCA cycle (see slide below) since it forms the backbone of the IMS establishment.

• End by introducing the next chapter on “Policy for the IMS”. the planning stage) concerns planning first and foremost for the IMS Policy. APO Guidance Manual on GP and IMS for Facilitators 16 .Part 1: Manual Overview CHAPTER 1 • Explain that the first stage of the cycle (i.e.

implement and maintain the Policy. IMS It explains l i how h th the organization may establish (draft).Part 1: Manual Overview Chapter 2 CHAPTER 2 Intent of this chapter: This chapter Thi h t discusses di requirements i t for f the th Policy P li for f the th IMS. APO Guidance Manual on GP and IMS for Facilitators 17 . Facilitator notes: • Start by outlining the applicable clauses from the relevant standards (see slide below).

or QSHE Policy the following key questions need to be addressed: dd d 2. occupational health and safety and environment. standards APO Guidance Manual on GP and IMS for Facilitators 18 . It should establish an overall sense of direction and principles of action.Part 1: Manual Overview • Explain the core of the chapter as follows: CHAPTER 2 The development of the Policy is the first step in establishing the IMS. The organization may decide to have separate Policies for each discipline (quality. 1. Are there existing goals and objectives that address the needs of the organization’s customers and stakeholders? 3. occupational health and safety. It should provide a framework for setting objectives. and environmental. How do these goals and objectives relate to the organization’s existing management system? The Policy should demonstrate the organization’s commitment to meeting the requirements related to the management system. While formulating quality. see the example for Quality Policy requirements in the slide below) or an integrated Policy provided that it covers the requirements of each of the individual standards.

and referring to the Policy at staff or all‐hands meetings. Introduce Implementers to the IMS Policy Worksheet: • Once you have finished explaining the chapter. APO Guidance Manual on GP and IMS for Facilitators 19 .e. in departments. important definitions and examples: CHAPTER 2 The organization must ensure that its employees understand the IMS Policy. Options for communicating the Policy internally include posting it around work sites (e. Alternatively. site offices. • Using the facilitation tools provided in this Manual as guidance.Part 1: Manual Overview Highlight tips. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. compare and evaluate how various groups filled in their Worksheets. Instruct the groups to attach additional pages as required. setting objectives and targets) are closely related to Policy formulation. . • Thus. 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). • End by saying that the next chapter in this Manual will thus concentrate on all elements related to planning for the IMS. work floors.g. Communication of the IMS Policy to contractors can be in the forms of rules. 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. if you are facilitating during the e‐learning course.). • At the end of the allotted time. Transition to the next chapter (i. incorporating the Policy into awareness and training classes and materials. discuss. lunchrooms etc. directives and procedures. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheet.. the organization g should start planning for its IMS. .e. once the IMS Policy y has been formulated. Chapter 3): • Explain that the elements of planning (i.

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 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 IMS. IMS APO Guidance Manual on GP and IMS for Facilitators 20 .Part 1: Manual Overview Chapter 3 CHAPTER 3 Intent of this chapter: This chapter Thi h t discusses di elements l t related l t d to t planning l i for f the th IMS once the th Policy P li has h been established.

Part 1: Manual Overview Facilitator notes: CHAPTER 3 • Start by outlining the applicable clauses from the relevant standards (see slide below). a generic process that can be adopted is depicted in the slide below. selection of an IMS Champion and building an Implementation Team. • 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. APO Guidance Manual on GP and IMS for Facilitators 21 . i.e. Points #1 and 2 have already been covered in the previous chapter. chapter Points #3 and #4 are of particular note when it comes to planning for the IMS.

production. opportunities. quality and service) should identify and assess issues. definitions and/or examples to highlight for this chapter. human resources. review the IMS Champion and the Implementation Team should focus on the identification and evaluation of product‐cum‐service quality requirements. where appropriate. The Implementation Team with representatives from key management functions (such as engineering. suppliers or other external parties as part of the team. APO Guidance Manual on GP and IMS for Facilitators 22 . finance. About the Preliminary Review: While conducting the preliminary review. as well as project management skills. the organization must consider including contractors. The table on the following page provides a brief outline of important tips.Part 1: Manual Overview About the IMS Champion and Implementation Team: CHAPTER 3 It is important that the IMS Champion should have the necessary authority. significant environmental aspects and impacts. As explained in the Implementers’ Manual. an understanding of the organization. He / she should: –Be Be a “systems systems thinker thinker” (any experience related to management systems standards 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 sufficient authority The Implementation Team should assist the IMS Champion. and unacceptable hazards and risks. and existing processes.

such as internet sales. Don’t forget to abide by statutory and regulatory requirements pp to the p product or service. and supplementary services such as recycling and final disposal. a formal review is impractical for each order. important definitions and examples: CHAPTER 3 For preliminary review for product‐cum‐service quality requirements In some situations. requirements should nevertheless be confirmed by the organization before acceptance. contractual obligations such as maintenance services.Part 1: Manual Overview Highlight tips. Be sure to maintain records of the results of the review and actions arising i i from f th preliminary the li i review. applicable In cases where the customer provides no documented statement of requirement. etc. i Tip  IMPORTANT IMPORTANT IMPORTANT IMPORTANT APO Guidance Manual on GP and IMS for Facilitators 23 . changed the relevant documents should be amended and relevant personnel must be made aware of the changed requirements. Post‐delivery activities could include actions under warranty provisions. In cases where product requirements are changed. Instead the review can cover relevant product information such as catalogues or advertising material.

• Using the facilitation tools provided in this Manual as guidance. • Alternatively.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). APO Guidance Manual on GP and IMS for Facilitators 24 . ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheet. • At the end of the allotted time. if you are facilitating during the e‐learning course. Instruct the groups to attach additional pages as required. discuss. compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe.

Prioritize depending on cost. Also. IMPORTANT IMPORTANT Tip  Tip Tools APO Guidance Manual on GP and IMS for Facilitators 25 . impacts and determining significance that will suit all organizations. cost and availability of reliable data. There is no single approach for identifying environmental aspects and impacts. Material / Energy Balances. time. steps to be taken in this regard are broadly explained in this section. etc. availability of technology or scientific uncertainty etc. GP tools such as Eco‐mapping. However. important definitions and examples: CHAPTER 3 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. Do not address all of impacts at once. Process Flow Diagrams. use this information in setting objectives and targets. nature and scale and that meets its needs in terms of detail. once this identification is completed. Do not overlook potential environmental impacts arising from “off‐ site” activities. can be used to identify environmental aspects and impacts. They are covered in detail in Chapter 6 of the Guidance Manual for Implementers. Each organization should thus choose an approach that is appropriate to its scope. complexity.Part 1: Manual Overview Highlight tips.

discuss. 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). • At the end of the allotted time. ti l if you are facilitating f ilit ti d i during th e‐learning the l i course. • Using the facilitation tools provided in this Manual as guidance.Part 1: Manual Overview Introduce Implementers to the Environmental Aspects Worksheet: CHAPTER 3 • Once you have finished explaining the chapter. compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. APO Guidance Manual on GP and IMS for Facilitators 26 . • Alt Alternatively. ask k the th Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheet. Instruct the groups to attach additional pages as required.

it does require a fair degree of expertise and experience to judge the likelihood of harm accurately. t ti Human factors should be considered whenever there is a human interface and take into account issues such as ease of use. important definitions and examples: CHAPTER 3 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 review.Part 1: Manual Overview Highlight tips. GP tools such as Failure Mode Effect Analysis (FMEA). operator stress and user fatigue. The description of measures to monitor and control risks can be included within operational control procedures of the organization’s MS. an assessment of long‐term exposure to chemicals may need a different method than that t k for taken f equipment i t safety f t or for f assessing i an office ffi work k station. Getting it wrong could result in applying unnecessary controls or failing to initiate important ones. Hazard and Operability Analysis (HAZOP). etc can be used to identify hazards. However. Using the Risk Rating Matrix can be very helpful for prioritizing risks. potential for operational errors. review IMPORTANT Example Risk assessment methodologies need to be appropriate for the hazards identified. 27 IMPORTANT IMPORTANT Tip i Tools APO Guidance Manual on GP and IMS for Facilitators . (HAZOP) work place inspections etc. The determination of competency requirements can be included within training procedures. It is suitable for very many assessments but particularly lends itself to more complex situations. For example. They are covered in detail in Chapter 6 of the Guidance Manual for Implementers.

• Using the facilitation tools provided in this Manual as guidance.e. 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. legal requirements refer broadly to any requirement related to: – The organization’s product quality (for e. compare and evaluate how various groups filled in their Worksheets. continue with the explanation about core points in the chapter): Provide the definition of the terms “legal legal requirements requirements” and “other other requirements”. draw the attention of the Implementers to the Hazard Identification and Risk Assessment Worksheet in the hard copy of their Implementers Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).e. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. Stress that for the IMS. • At the end of the allotted time. applicable legal requirements and other requirements to which the organization subscribes related to environmental aspects) – Occupational health and safety (i.Part 1: Manual Overview CHAPTER 3 Introduce Implementers to the Hazard Identification and Risk Assessment Worksheet: • Once you have finished explaining the chapter.g. requirements specified by the customer. About Legal and Other Requirements (i. and statutory and regulatory requirements applicable to the product) – Environmental aspects (i. Instruct the groups to attach additional pages as required. discuss.e. • Alternatively. applicable legal requirements and other requirements the organization subscribes to and related to occupational health and safety ) APO Guidance Manual on GP and IMS for Facilitators 28 .

• Using the facilitation tools provided in this Manual as guidance. Also. Instruct the groups to attach additional pages as required. APO Guidance Manual on GP and IMS for Facilitators 29 . Introduce Implementers to the Legal and Other Requirements Worksheet: • Once you have finished explaining the chapter. • At the end of the allotted time. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheet. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. l) • Alternatively. if you are facilitating during the e‐learning course. compare and evaluate how various groups g p filled in their Worksheets. discuss. 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 Manual).Part 1: Manual Overview CHAPTER 3 Explain that legal compliance is a minimum standard and does not necessarily provide a risk free environment. legal requirements may get quite complex (see slide below).

continue with the explanation about core points in the chapter): Provide the definition of the terms “objectives”. “programs” and “tracking mechanisms”. 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).e. programs and tracking mechanism (i. APO Guidance Manual on GP and IMS for Facilitators 30 . targets.Part 1: Manual Overview CHAPTER 3 About developing objectives. Introduce Implementers to the Objectives and Targets Worksheet and Management Programs Worksheet: • Once you have finished explaining the chapter. “targets”. You can accomplish this quite easily using examples (see slides below).

e. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. place the organization should look to implementing its IMS. discuss. Transition to the next chapter (i. compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. • End by saying that the next chapter will concentrate on all elements related to implementing the IMS. • Thus Thus. if you are facilitating during the e‐learning course.Part 1: Manual Overview CHAPTER 3 • Alternatively. • At the end of the allotted time. APO Guidance Manual on GP and IMS for Facilitators 31 . planning for the IMS will be followed by implementation of the IMS. Chapter 4): • Explain that going by the Plan‐Do‐Check‐Act cycle. once the planning elements are in place. • Using the facilitation tools provided in this Manual as guidance. Instruct the groups to attach additional pages as required.

Part 1: Manual Overview Chapter 4 CHAPTER 4 Intent of this chapter: This chapter Thi h t discusses di elements l t related l t d to t the th implementation i l t ti of f the th IMS. Training awareness and competency • Communication • Documentation and document control • Operational controls • Emergency preparedness and response • Non‐conforming products Facilitator notes: Start by outlining the applicable clauses from the relevant standards (see slide below). IMS The Th elements covered here are as follows: • Structure and responsibility • Resource requirements • Training. APO Guidance Manual on GP and IMS for Facilitators 32 .

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).

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Part 1: Manual Overview
• Explain the core of the chapter as follows: Resource requirements for the IMS

CHAPTER 4

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 requirements i t include i l d items it such h as: – Infrastructure – Human resources – Technology – Financial l 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 Manual). l)

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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 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 y of p product, , or cause significant g impact p or activities which affect conformity 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).

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35

If the th organization i ti uses temporary t or contract t t workers. Highlight tips. important definitions and examples: For training. k it must t assess their training needs as well. IMPORTANT Remember to consider the qualifications and training needs of your IMS managers and trainers as well. 36 APO 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). Tip Tip IMPORTANT Consider developing an IMS training package for new employee orientation . for compliance with environmental and health and safety regulations and other purposes. purposes It may find that existing training efforts go a long way towards satisfying the competence‐building requirements for the IMS. awareness and competency  The organization should consider the training it conducts already.

Part 1: Manual Overview CHAPTER 4 Introduce Implementers to the Training. draw the attention of the Implementers to the Training. It is essential to devise and implement a Communication Program for the IMS (see slide below). customers neighbours. Training Awareness and Competency Worksheet: • Once you have finished explaining the chapter. discuss. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. with customers. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets.e. • Using the facilitation tools provided in this Manual as guidance. About Communication (i.e. stakeholders) Appropriate communication methods might vary from stakeholder to stakeholder. neighbours regulators and other stakeholders). continue with the explanation about core points in the chapter): Communication forms an important part and parcel of the IMS. APO Guidance Manual on GP and IMS for Facilitators 37 . i. if you are facilitating during the e‐learning course. • At the end of the allotted time. It needs to be internal (within the organization) as well as external (outside the organization. Instruct the groups to attach additional pages as required. • Alternatively. compare and evaluate how various groups filled in their Worksheets. Awareness and Competency Worksheet in the hard copy of their Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual).

 such as stapling an inquiry to  its written response and then filing them together. 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. but rather use their input to make the IMS more responsive to community concerns. Managing responses to external inquiries does not have to be  burdensome. Doing so will usually provide long‐term benefits to the organization. important definitions and examples: For communication CHAPTER 4 IMPORTANT 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 • 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.  The key is to be  able to demonstrate that the organization has a process for  gathering and responding to external inquiries. does not mean that it should cede control of its IMS to them. IMPORTANT Tip Tip APO Guidance Manual on GP and IMS for Facilitators 38 . Involving these parties.Part 1: Manual Overview Highlight tips. however.  Use a simple method.

• Alt Alternatively.e.Part 1: Manual Overview Introduce Implementers to the Communication Worksheet: CHAPTER 4 • Once you have finished explaining the chapter. • At the end of the allotted time. ti l if you are facilitating f ilit ti d i during th e‐learning the l i course. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. lending institutions. ask k the th Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. continue with the explanation about core points in the chapter): To ensure that the IMS is well‐understood and operating as designed. the various processes that make up the organization’s IMS should be documented. For these reasons. APO Guidance Manual on GP and IMS for Facilitators 39 . compare and evaluate how various groups filled in their Worksheets. registrars and the public. d Th There also l may be b external t l parties ti who h may want t to t understand how the IMS is designed and implemented. 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). Instruct the groups to attach additional pages as required. About Documentation (i. regulators. the organization must provide adequate information to its employees on how the work k is i to t be b done. discuss. such as customers. • Using the facilitation tools provided in this Manual as guidance. 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 soft form in electronic medium (web or computer based).

numbers. revisions.R. the organization should have a procedure that describes how such documents are controlled. Therefore. Documents can be effectively controlled by: • Developing an appropriate document format that includes unique titles. to ensure that everyone is working with the relevant IMS documents. revision history and authority • Assigning the review and approval of documents to individuals with sufficient technical capability and organizational authority • M Maintaining i t i i an effective ff ti document d t distribution di t ib ti system t ( (overseen b the by th M. dates. MR of the IMS) Refer to the Sample Procedure for Document Control provided in the Annexures in this Facilitator’s Manual. APO Guidance Manual on GP and IMS for Facilitators 40 .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. Such a procedure is normally referred to as the “Procedure for Document Control”.

 human resource plans.g. such as ease of updating. etc. Include this index in the IMS Manual. controlling access. and g that all readers are using g the most up p‐to‐date versions of ensuring documents. important definitions and examples: For documentation and document control CHAPTER 4 IMPORTANT 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. However. Prepare a document control index that shows all IMS documents and revision histories. Having an IMS can thus facilitate a smooth transfer of responsibilities.) to make it easier for readers to find the changes.Part 1: Manual Overview Highlight tips. personnel turnover without documented systems can stall progress.) • Complexity of processes and their interactions • Competence of f its personnel l Smaller organizations often favor employee experience over written procedures and documented systems. etc. boldface. During revision. Tip Tip Tip Tip APO Guidance Manual on GP and IMS for Facilitators 41 . highlight changes (by underlining. There may be some advantages to maintaining documents electronically.

discuss. Instruct the groups to attach additional pages as required. APO Guidance Manual on GP and IMS for Facilitators 42 . ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. 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 Facilitator s Manual). • At the end of the allotted time.Part 1: Manual Overview CHAPTER 4 Introduce Implementers to the Documentation and Document Control Worksheets: • Once you have finished explaining the chapter. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. if you are facilitating during the e‐learning course. compare and evaluate how various groups filled in their Worksheets. • Using the facilitation tools provided in this Manual as guidance. • Alternatively.

Therefore. regardless of whether it has established objectives and targets for each of them. Given below is a generic procedure which may be used to identify operations requiring control (see slides below). the organization should identify and plan operation controls consistent with its IMS Policy.e. unacceptable risks or comply with legal requirements. objectives and targets.Part 1: Manual Overview CHAPTER 4 About Operational Controls (i. continue with the explanation about core points in the chapter): The organization will need operational controls in order to manage significant aspects. APO Guidance Manual on GP and IMS for Facilitators 43 .

and so on. APO Guidance Manual on GP and IMS for Facilitators 44 . as needed. physical controls. . such as the skills and experience of people carrying out the operation and the complexity and the operation itself. in the form of instructions.Part 1: Manual Overview CHAPTER 4 When identifying needs for operational controls the organization should consider all of its operations. contractors and other visitors to the workplace. signs. photos. forms. as needed. including those related to sales. d work k instructions. carried out and controlled • Documenting these procedures. Operational O ti l controls t l can take t k various i f forms. etc. A common approach to establishing operational controls includes: • Choosing a method of control • Selecting acceptable operating criteria (see slide below) • Establishing procedures. such h as procedures. The choice of the specific control methods depends on a number of factors. use of trained personnel or any combination of these. that define how identified operations are to be p planned. marketing. videos.

APO Guidance Manual on GP and IMS for Facilitators 45 . GP tools such as flow charts or PFDs of crucial processes can simplify the identification of the process steps where some type of g be control might appropriate. They are covered in detail in Chapter 6 of the Guidance Manual for Implementers. draw the attention of the Implementers to the Operational Controls Worksheet in the hard copy of their Implementers’ Manual (provided in the Annexures in this Facilitator’s Manual). ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. important definitions and examples: For operational controls CHAPTER 4 Tip Operational controls should be addressed in training those persons involved in control functions to ensure that operational controls are carried out as planned. Tip Tools Introduce Implementers to the Operational Controls Worksheet: • Once y you have finished explaining p g the chapter.Part 1: Manual Overview Highlight tips. if you are facilitating during the e‐learning course. discuss. • Using the facilitation tools provided in this Manual as guidance. • Alternatively. • At the h end d of f the h allotted ll d time. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. d compare and d evaluate l h how various groups filled in their Worksheets. realistic and practical. p . Decide on criteria for operational control and review them with the people who will need to implement them. Instruct the groups to attach additional pages as required. This will help to ensure that the criteria are appropriate.

effective preparation and response can reduce injuries. 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. During such emergency situations. continue with the explanation about core points in the chapter): Despite an organization’s best efforts. protect employees and neighbors.e. However. 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.Part 1: Manual Overview CHAPTER 4 About Emergency Preparedness and Response (i. it is important for the organization to review their emergency response performance after an incident has occurred. engineering. especially ll in areas where h h h hazards high h d exist. A cross‐functional team (with representatives from engineering maintenance and OH&S. 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. prevent or minimize environmental impacts. Tip Tip i APO Guidance Manual on GP and IMS for Facilitators 46 . Consistent with the focus on continual improvement. the possibility of accidents and other emergency situations still exists. Highlight tips. OH&S for example) can identify most potential emergencies by asking a series of “what if” questions. the impacts on the environment could be highly significant as well as the hazards arising from them unacceptable.

• Alternatively. • At the end of the allotted time. APO Guidance Manual on GP and IMS for Facilitators 47 . • Using the facilitation tools provided in this Manual as guidance.e. discuss. compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. 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. if you are facilitating during the e‐learning course. Instruct the groups to attach additional pages as required. About Non‐conforming Products (i. 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). ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. 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.Part 1: Manual Overview CHAPTER 4 Introduce Implementers to the Emergency Preparedness and Response Worksheet: • Once you have finished explaining the chapter.

the entire activity must be connected to the corrective/preventive action process. Consistent with the focus on continual improvement. various actions may be taken to preclude or prevent original intended use or application of non‐conforming products.Part 1: Manual Overview CHAPTER 4 Relevant employees must be provided adequate training to implement the procedure correctly. Additionally. it is important p for the organization to review their emergency response performance after an incident has occurred. APO Guidance Manual on GP and IMS for Facilitators 48 . As seen in the slide below. in keeping with the theme of continual improvement. p .

the organization may institute a universal recall of all products sold period. ask k the h Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets.Part 1: Manual Overview Highlight tips. the within a certain time p customer may simply receive an automatic credit and be asked to discard the non‐conforming product. In any case. • Al Alternatively. Time limits are rarely a good idea. For wide‐ranging or potentially harmful non‐conformities. If usually organizations want to reduce the amount of time between identification and disposition.. Sometimes the "effects" of the non‐conformity may require more or less action than a returned goods or product recall process. and they y result in the organization g violating g its own p procedures. However. APO Guidance Manual on GP and IMS for Facilitators 49 .g. the organization must consider the non‐conformity's effects and take action that logically matches those effects."). . important definitions and examples: For non‐conforming products  CHAPTER 4 Tip In their procedures for controlling non‐conforming products. a responsibility that is often ignored. IMPORTANT Introduce t oduce Implementers p e e te s to t the e Non o ‐co conforming o g Products oducts Worksheet: o s eet • Once you have finished explaining the chapter. some organizations stipulate time limits within which a disposition must be accomplished (e. i l if you are facilitating f ili i d i during the h e‐learning l i course. For very y small non‐conformities. “non‐conforming products must be dispositioned within 30 days of being identified. 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). common sense dictates that some dispositions may take longer to arrive at than others. managers simply need to monitor products in their non‐conforming areas.

e. 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. APO Guidance Manual on GP and IMS for Facilitators 50 . Chapter 5): • Explain that going by the Plan‐Do‐Check‐Act cycle.Part 1: Manual Overview CHAPTER 4 • Using the facilitation tools provided in this Manual as guidance. implementing for the IMS will be followed by the monitoring and review stage. compare and evaluate how various groups filled in their Worksheets. • End by saying that the next chapter will concentrate on all elements related to monitoring and review of the IMS. Transition to the next chapter (i. discuss. • At the end of the allotted time.

Part 1: Manual Overview Chapter 5 CHAPTER 5 Intent of this chapter: This chapter Thi h t discusses di elements l t related l t d to t the th monitoring it i ‐cum‐review i of f the th IMS. 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). APO Guidance Manual on GP and IMS for Facilitators 51 . IMS The elements covered here are as follows: • Monitoring and measurement • Evaluation of compliance • Non‐conformity.

Monitoring involves observing or supervising or keeping under review.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. it becomes necessary to analyze the results obtained. regulatory compliance needs. This analysis helps the organization to appreciate what may have gone wrong and correct it in the near future. Measurement specifically relates to the determination of a physical quantity. There are various monitoring and measurement needs for an organization. such as key process or product characteristics. implementation of operational controls. All three standards also mandate these needs in relation to monitoring and measurement. progress made on achieving objectives and targets. Measurements must be made to ensure that products meet specifications. APO Guidance Manual on GP and IMS for Facilitators 52 . magnitude or dimension through the use of measuring equipment. Based on the results of both items. It may involve measuring as well. supplier performance and so on.

The ISO 9001:2008 standard mandates that as one of the measurements of the performance of the management system. In fact.e. As a result.) requirements ) The standard further mandates that the monitoring. analysis and improvement processes so applied be used towards continual improvement of the effectiveness of the overall management system. and their use must be “controlled” (see slide below).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. the organization should monitor information relating to customer perception (i. APO Guidance Manual on GP and IMS for Facilitators 53 . 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. measurement. It follows that monitoring and measurement must also be carried out at appropriate stages of product realization process. as to whether the organization has met customer requirements. monitoring and measurement devices must be capable. Another facet of monitoring and measurement involves information relating to customer perception.

Indicators for such monitoring and measurement may be both qualitative and quantitative appropriate to the needs of the organization. The OHSAS standard requires that the organization monitor and measure OH&S performance on a regular basis. the organization is required to monitor and measure.Part 1: Manual Overview CHAPTER 5 As per ISO 14001:2004. Like the ISO 14001:2004 standard. a topic which was discussed in Chapter 4 of the Guidance Manual for Implementers. 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. the key characteristics of its operations that can have significant environmental impacts. on a regular basis. 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 APO Guidance Manual on GP and IMS for Facilitators 54 .

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. important definitions and examples: For monitoring and measurement  The organization g must calibrate its measuring g devices against g measurement standards traceable to national or international measurement standards. If. however. there are no such standards for what is being measured. Highlight tips. To measure progress in meeting objectives. select appropriate performance indicators. IMPORTANT Tip APO Guidance Manual on GP and IMS for Facilitators 55 . the organization must maintain records of the basis used for calibrating its devices. Measure progress on achieving objectives and targets on a regular basis and communicate the results of such measurement to the top management.

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). They are covered in detail in Chapter 6 of the Guidance Manual for Implementers. • At the end of the allotted time.e.Part 1: Manual Overview CHAPTER 5 Tools GP tools such as control charts is an important statistical technique which helps towards monitoring and measurement. Instruct the groups to attach additional pages as required. including opportunities for preventive action. through an analysis of characteristics and trends of processes and products. APO Guidance Manual on GP and IMS for Facilitators 56 . compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. • Using the facilitation tools provided in this Manual as guidance. they may change periodically and / or new legal requirements may be introduced which the organization has to comply with. Thus. if you are facilitating during the e‐learning course. About Evaluation of Compliance (i. draw the attention of the Implementers to the Monitoring and Measurement Worksheet in the hard copy of f their h Implementers’ l ’ Manual l (provided ( d d in the h Annexures in this h Facilitator’s l ’ Manual). • Alternatively. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. Introduce Implementers to the Monitoring and Measurement Worksheet: • Once you have finished explaining the chapter. the evaluation of compliance forms an important part of monitoring for an IMS. discuss. continue with the explanation about core points in the chapter): From the viewpoint of the ISO 14001:2004 and OHSAS 18001:2007 standard. This is because such requirements are not stagnant.

IMPORTANT About Evaluation of Compliance (i.Part 1: Manual Overview CHAPTER 5 Highlight tips. continue with the explanation about core points in the chapter): The previous chapter referred to non‐conforming products.e. Beyond this. 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. encountered APO Guidance Manual on GP and IMS for Facilitators 57 . Such actions – referred to as “corrective action” – should be appropriate to the effects of the non‐conformities encountered. It is up to the organization to choose this frequency. the standard also mandates that the organization take action to eliminate the causes of such non‐conformities in order to prevent their recurrence. It noted that the ISO 9001:2008 standard mandates that the organization ensure that a product which d does not t conform f t product to d t requirements i t be b identified id tifi d and d controlled t ll d to t prevent its unintended use or delivery.

Such actions are referred to as “preventive actions”. preventive actions should be appropriate to the effects of the potential problems. All three standards mandate corrective and preventive action. This is to ensure that the actions taken are right and having the intended effect. APO Guidance Manual on GP and IMS for Facilitators 58 .Part 1: Manual Overview CHAPTER 5 Moreover. Again. the organization should be proactive and determine action to eliminate the causes of potential non‐conformities in order to prevent their occurrence. The slide below shows the common types of corrective and/or preventive actions which may be taken. besides corrective action. Note that the effectiveness of the corrective and/or preventive actions so taken must also be reviewed.

They are covered in detail in Chapter 6 of the Guidance Manual for Implementers. Many organizations use the term “root cause” in their corrective preventive action p processes. the organization must be committed to resolving it in a timely manner.” you need to look beneath the surface to determine why problems occur. the procedure shall require that the proposed actions shall be taken through a risk assessment prior to implementation. important definitions and examples: CHAPTER 5 For corrective and preventive action Once a problem is documented. GP tools such as the fishbone and p diagram can help here. While many corrective actions may be “common sense. Be sure that the corrective and preventive action process specifies responsibilities and schedules for completion.Part 1: Manual Overview Highlight tips. Review your progress regularly and follow up to ensure that actions taken are effective. IMPORTANT IMPORTANT Tools APO Guidance Manual on GP and IMS for Facilitators 59 . Where the corrective and preventive action identifies new or changed hazards or the need for new or changed controls.

The organization should also ensure that it takes into account records retention requirements specified in applicable environmental and / or OH&S regulations. ask the Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. 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 Facilitator s Manual). Instruct the groups to attach additional pages as required. continue with the explanation about core points in the chapter): The value of records management is fairly simple — the organization should be able bl to t demonstrate d t t that th t it is i actually t ll implementing i l ti the th IMS as designed. protection. compare and evaluate how various groups filled in their Worksheets. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. protection retrieval. discuss. • Alternatively.Part 1: Manual Overview CHAPTER 5 Introduce Implementers to the Corrective and Preventive Action Worksheet: • Once you have finished explaining the chapter. About Records Management (i. The organization should thus institute a Procedure for the identification. a registrar or the public).e. if you are facilitating during the e‐learning course. retrieval retention and disposal of records (as noted in the figure provided on this page) and ensure adherence to the same. • Using the facilitation tools provided in this Manual as guidance. over time the organization may need to provide evidence of IMS implementation to external parties (such as customers. • At the end of the allotted time. APO Guidance Manual on GP and IMS for Facilitators 60 . how it will maintain them and for how long. d i d While Whil records have value internally. storage. The basics of records management are straightforward: the organization needs to decide what records it will maintain.

etc. If records have no value or are not specifically required.Part 1: Manual Overview CHAPTER 5 In determining the appropriate controls for records the organization should take into account any applicable legal requirements. suppliers. confidentiality issues (particularly those relating to personnel). communications with customers. The slide below shows a sample IMS Records Management Form. and the use of electronic records. j b descriptions job d i ti and d performance f evaluations. If your organization uses computers extensively. don’t collect them. storage/ access/ disposal/ back‐up requirements. Highlight tips. important definitions and examples: For records management Focus on records that add value — avoid bureaucracy. sampling and monitoring data. 61 Tip Ti Tip Example APO Guidance Manual on GP and IMS for Facilitators . l ti training records. system Maintaining records electronically can provide an excellent means for rapid retrieval of records as well as controlling access to sensitive records. consider using an electronic EMS records management system. Examples of records: results of environmental aspects id tifi ti identification.

The slide below shows the elements of an IMS internal audit program while the slide following g this p provides an approach pp for conducting g an internal IMS Audit. improve the IMS and its performance and ensure the cost‐effectiveness of the system over time. To identify and resolve IMS deficiencies it must actively seek them out. continue with the explanation about core points in the chapter): Once the organization has established its IMS. While they can be time‐consuming. verifying the implementation of the system will be critical.e. IMS audits are critical to IMS effectiveness. APO Guidance Manual on GP and IMS for Facilitators 62 .Part 1: Manual Overview CHAPTER 5 About Internal Audit (i. Systematic identification and reporting of IMS deficiencies to management provides a great opportunity to maintain management focus on important issues. This is achieved through the mechanism of internal audit.

While the organization might want to communicate the results of IMS audits widely within the organization. Audit procedures should describe: • Audit planning • Audit scope (areas and activities covered) • Audit frequency • Audit A dit methods th d • Key responsibilities • Reporting mechanisms • Record keeping 63 IMPORTANT Tip IMPORTANT APO Guidance Manual on GP and IMS for Facilitators .Part 1: Manual Overview CHAPTER 5 Highlight tips. Audits should be judged on the quality of findings. the results of compliance audits will likely need to be communicated in a more limited fashion. rather than on the number of findings. important definitions and examples: For internal audit An IMS audit is not an assessment of how well employees do their jobs. but b t keep k i mind in i d that th t these th audit dit processes have h different purposes. Consider integrating the IMS and regulatory compliance audit processes.

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). • Using the facilitation tools provided in this Manual as guidance. Management reviews are a key to continual improvement and for ensuring i that th t the th IMS will ill continue ti t meet to t your organization’s i ti ’ needs d over time. About Management Review (i. discuss. Instruct the groups to attach additional pages as required.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”. • At the end of the allotted time. Review APO Guidance Manual on GP and IMS for Facilitators 64 . compare and evaluate how various groups filled in their Worksheets.Part 1: Manual Overview Introduce Implementers to the Internal Audit Worksheet: CHAPTER 5 • Once you have finished explaining the chapter. The slide on the following page provides an idea of how to draft a Procedure for Management Review. ask k the th Implementers to click on the Attachments tab in the top right hand corner of the screen and download the Worksheets. 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. For example. ti l if you are facilitating f ilit ti d i during th e‐learning the l i course. they may be eliminated. group the Implementers appropriately and guide the groups as to how to fill in their Worksheets within a suitable timeframe. • Alt Alternatively. ti Management reviews also offer a great opportunity to keep the IMS efficient and cost‐effective.

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 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?

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Part 1: Manual Overview
Highlight tips, important definitions and examples: For management review

CHAPTER 5

IMPORTANT

The organization g must determine the management g review 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. 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.

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Transition to the next chapter (i.e. Chapter 6):

CHAPTER 5

• 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 which tools hi h may be b used d under d specific ifi circumstances. i t • End by introducing the next chapter on “GP Tools to Facilitate the IMS”.

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brainstorming may be used during the IMS Policy development stage (i. at the “plan” stage). (i e at the “check” check stage). brainstorming may be used during the IMS Policy development stage (i.e. APO Guidance Manual on GP and IMS for Facilitators 68 . For example.e.e.e.e. at the “check” stage). Facilitator notes: • Start by outlining the various GP tools and where they appear along the PDCA cycle. at the “do” stage) as well as for the monitoring –cum cum‐review stage (i. at the “plan” stage).e. h the various stages of the IMS. stage) • Emphasize that some GP tools may be used for multiple stages of the PDCA cycle. • Explain that some GP tools may be used for multiple stages of the PDCA cycle. during implementation (i. • The slide and the table on the following page outline the various GP tools and where they appear along the PDCA cycle.Part 1: Manual Overview Chapter 6 CHAPTER 6 Intent of this chapter: This chapter Thi h t discusses di th various the i GP tools t l applicable li bl to t the th PDCA cycle l and d hence. during implementation (i. For example. at the “do” stage) as well as for the monitoring –cum‐review stage (i.

Part 1: Manual Overview CHAPTER 6 Stage of the PDCA Cycle Plan Do GP Tool (*: may be used at more than one stage) • Brainstorming * Brainstorming • Plant layout • Ecomaps • Concentration diagrams • Material balance • Pareto analysis • Hazard and Operability Study (HAZOP) • Failure Modes and Effects Analysis (FMEA) * Brainstorming. Control charts. FMEA  Ecomaps. Benchmarking. Brainstorming  FMEA. Ecomaps  Pareto  analysis. FMEA • Flow chart • Process Flow Diagram (PFD) • Check sheets • Benchmarking • Control charts • Fishbone diagram • Cost Benefit Analysis (CBA) * Brainstorming. CBA  • Spider web diagram Check Act APO Guidance Manual on GP and IMS for Facilitators 69 .

GP Tool Brainstorming Plant l  l layout Material balance Pareto analysis When to use this GP Tool To generate ideas and check their feasibility. you can and should start substituting these examples with those from your own experiences. As the facilitator. a large majority of  problems (80%) are produced by a few key causes  (20%). Pareto analysis is thus a useful technique where  many possible courses of action are competing for  attention.  for example. It should  be combined with other analytical tools such as FMEA. To be used for identifying and dealing with potential  problems in industrial processes.  In terms of quality improvement. that this tool can be limited by its  exclusion of possibly important problems which may  be small initially. notably the chemical. 70 HAZOP APO Guidance Manual on GP and IMS for Facilitators . • The theory behind the tool has been explained for each GP tool. but which grow with time. or piece of equipment. Note however. To identify the quantity of substance going in and out  of an entire facility. It is said to be the most  widely used method of hazard analysis in process  industries. To be used for decision making which involves the  selection of a limited number of tasks that produce  significant overall effect. and a quick decision must be taken to  determine which course of action to focus on first. petrochemical and  nuclear industries.Part 1: Manual Overview Facilitator notes (continued…): CHAPTER 6 • The table below provides a very brief recap about when to use specific GP tools. • An example has also provided for each GP tool. 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. particularly those  which would create a hazardous situation or a severe  impairment of the process. To gain complete l  understanding d d  of f the h  process  sequence and operations. process.

To provide information on the location of events or  problems  However. It is built using a Flow  chart. thereby assisting in  identification of ways to solve them.  operation. To represent processes along with the material or  energy flows for an operation. To collect data over time to show trends and recurring  patterns. Effects analysis refers to studying the  consequences of those failures. this tool  should not be used as the first diagnostic tool.g. problems. especially those  that affect the customer. However  these diagrams are used as one of  a number of tools to find out what is causing problems  in the way of functioning. or the  only one.Part 1: Manual Overview GP Tool Ecomaps Concentration  diagrams When to use this GP Tool CHAPTER 6 To identify and visually represent environmental and  productivity related problems. analysis.. transcription. and can be potential or  actual. fewer mistakes are likely in  the collection. 71 FMEA Flow chart PFD Check sheets APO Guidance Manual on GP and IMS for Facilitators . 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. design.  a flow chart presents the sequence of activities as well  as their function. or item. It  explains l i  pictorially i i ll  how h  the h  work k is i  d done b by linking li ki   together all the steps taken in a process. By definition. which need to be understood and controlled.  They help collect data manually in a reliable and  organized way. Thus. To represent activities or decision processes. e. understanding and  storage of data. information collection. decision making and so on. To be b  used d in i  operations i  management for f  analysis l i  of f  potential failure modes within a system for  classification by severity or determination of the effect  of failures on the system. Due to this. industry  Failure modes are any errors or  defects in a process.

it may y be evident that some clauses among g the three standards are common and some unique to a particular standard alone. and if so. Benchmarks are usually based on product or  intermediate product. . To show deviations or variability of performance in a  process from a benchmark. To display the performance metrics for an ongoing  program. . thereby establishing superior  performance.  To identify causes of problems in the issue  identification task. Benchmarking is used as a point of  reference for evaluating the performance of an  industry against other industries in that particular  sector. how it may compare in  financial terms to other actions. • End by introducing the next chapter on “Overview on Equivalence of Clauses Among QSHE Standards Standards”. Control charts Fishbone diagram CBA Spider web diagram Transition to the next chapter (i.Part 1: Manual Overview GP Tool Benchmarking When to use this GP Tool CHAPTER 6 To identify variations from norms. It may also be used in the  generation of controls or actions to avoid or eliminate  the causes of the problems. but in some cases (such as for  the petroleum industry) they may also be based on  raw material. problems To ascertain whether an action (used to meet a target  or support the achievement of an objective) is  economically viable.e. Chapter 7): • Explain p that by y now. APO Guidance Manual on GP and IMS for Facilitators 72 . It is thus important to have an overview on the equivalence of clauses among the three standards. This can then be  useful in filling gaps in performance by putting in place  best practice.

which form the subject of the ISO 9000 family. small and medium sized enterprises seeking to implement the ISO 14001:2004 standard APO Guidance Manual on GP and IMS for Facilitators 73 . 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. • Emphasize that users must refer to the respective clauses as and when required (reproduced on the next page).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. – ISO 9000: Describes fundamentals of quality management systems. not pirated) copies of the standards. • Recommend that users employ the related guides for each standard (noted below) to help them understand the fundamentals and vocabulary of the standards. Facilitator notes: • Start by reminding users that they must have official (i.e.

1.4 4.1.6 4. 4 2  7 7.1 ISO 14001:2004  Clause 4. 21  7.6 4.4.3. 8.7 4.3.5. 5. 8.4.3 4.3.4.4.4.1 8.1 and Programs Resources.4.1.4.2 431 4.3 4.4.5 74 APO Guidance Manual on GP and IMS for Facilitators .2.3.2.5.5 4.1 CHAPTER 7 OHSAS 18001:2007  Clause 4.4.3 4.1.Part 1: Manual Overview Requirements ISO 9001:2008  Clause 4.1 4.3 4. 5.5. 5.2.4.7 Objectives.2.4 4.1 7 4.3 4. Roles.  6.1 General  Requirements Management  System Policy Planning Identification Id tifi ti  and d  Evaluation of  Aspects.4.2 5.3.2.1. 5. Impacts  and Risks Emergency  Preparedness and  Response and  Control of Non‐ conforming  Product 5.5.1. 6.  Responsibility and  Authority Operational  Control Documentation Document Control 5.2. 5 2  5 5. Targets  5.2.1 4.2.4.2 4.4.1 431 4.1 4.

However. 8. There is a specific set of barriers in the context of the IMS.2.  8. It is important to understand these barriers and find ways to overcome them if the IMS is to be successfully established.6. 7.6 Transition to the next chapter (i. APO Guidance Manual on GP and IMS for Facilitators 75 . the Manual has provided a comprehensive overview of how to establish.2 8.5.4 ISO 14001:2004  Clause 4.3.1 CHAPTER 7 OHSAS 18001:2007  Clause 4.5.  Corrective Action  and Preventive  Action Management Review 4.2.5.1 Communication Monitoring and  Measurement Evaluation of  Compliance  Internal Audit Non‐conformities.2 4.3 4.5.3 4.2.Part 1: Manual Overview Requirements ISO 9001:2008  Clause 5.2.5.5.3 5.1. which quite often is the rule rather than the exception.5.5. 8.5.4.4.5 4. the reality is far from ideal. • End by introducing the next chapter on “Overcoming Barriers in the Context of the IMS”.1.2 8.3.3. 8.1 4.2. 8.1.5.4 8.4. implement and maintain an IMS. 8.2. 5.3 4.3.2.6 4.5.5.3  7.6. 8.6.5. Chapter 8): • Explain that so far. 5.e.5 4.3 4.3.  5.2.6. 8. 8. operated and maintained.6.4.

This is irrespective of whether management systems are implemented singly or in an integrated manner. smaller‐ and medium‐sized organizations (typically known as SMEs) tend to face barriers related to resource issues. • 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. it is not unusual for an organization to face barriers during the establishment. they may face barriers of a slightly different type. There are various types of barriers (see slide below). • However. operation and/or maintenance of such systems. Facilitator notes: • Explain that although international management standards have been in existence for quite some time. larger‐sized organizations are also not exempt from barriers.Part 1: Manual Overview Chapter 8 CHAPTER 8 Intent of this chapter: This chapter p discusses barriers in the context of the IMS and how they y can be overcome. APO Guidance Manual on GP and IMS for Facilitators 76 . in terms of attitudes of employees reluctant to adopt a single or integrated management system. • Note that generally.

can often help the SME. etc. APO Guidance Manual on GP and IMS for Facilitators 77 . when it comes to ignoring problems. These are focused efforts to encourage such businesses to design and implement an environmental management system at their work place ( (see b l ) below). outreach and technical assistance programs for SMEs can be found in many countries across the world. For instance. ministry of industry. Similarly.Part 1: Manual Overview CHAPTER 8 The slides below provide an idea as to how to overcome these barriers. targeted initiatives from interested government bodies such as regulatory agencies. Such programs can help to address the technical shortcomings of smaller businesses and respond to the specific needs of a particular industrial sector. when the lack of resources forms a barrier in the context of the IMS.

Transition to the next and final chapter (i. • End by introducing the next and final chapter of this Manual – “Certification of the Organization’s IMS”.e. • The following chapter of this Manual will explain what is certification / registration in the context of the IMS. Chapter 9): • U Underline d li the th fact f t that th t it is i best b t to t plan l beforehand b f h d the th techniques t h i t counter to t barriers before they are given a chance to develop. APO Guidance Manual on GP and IMS for Facilitators 78 . costs of registration or certification of the IMS are often cited as a major barrier by SMEs (see slide below). • Add that this chapter made passing reference to “certification / registration of the organization’s IMS”. why it is important and how to go about doing it.Part 1: Manual Overview CHAPTER 8 For instance.

and how to go about achieving 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 .Part 1: Manual Overview Chapter 9 CHAPTER 9 Intent of this chapter: This chapter p explains p what is certification / registration g in the context of the IMS. why it is important and how to go about doing it. (see slide on the next page). 2nd party and 3rd party. • Explain the various types of audits – 1st party. APO Guidance Manual on GP and IMS for Facilitators 79 . . • 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).

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”. ANSI/RAB has established criteria which registrars must meet in order to achieve accreditation. there are various reasons for an organization to consider it seriously (see slide on the following page). While certification is not compulsory. in the United States. Other leading accreditation bodies are RvA (the Dutch Accreditation Council) and UKAS (The United Kingdom Accreditation Service). in the automotive parts manufacturing industry. the accrediting body for both ISO 9000 and ISO 14001 is the American National Standards Institute/Registrar Accreditation Board (ANSI/RAB). makers In addition. a certified environmental management system is mandated for thousands of suppliers to major auto makers. d d Each country of the world has its own accreditation body established either nationally or by their government. For example. For example.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. APO Guidance Manual on GP and IMS for Facilitators 80 . 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 requirements i of f a standard.

Note that certification is not denied to the organization unless one or more major non‐conformances occur (explained on the next page). APO Guidance Manual on GP and IMS for Facilitators 81 .Part 1: Manual Overview CHAPTER 9 The slide below shows the various steps involved in getting the organization’s IMS certified.

APO Guidance Manual on GP and IMS for Facilitators 82 . important definitions and examples: When is a major non‐conformance said to have occurred? CHAPTER 9 When one or more of the numbered requirements q or clauses of 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/or IMPORTANT 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.Part 1: Manual Overview Highlight tips.

simulation games. The case study has been so designed that the participants are placed in realistic situations of decision‐making. Thereby. To facilitate this approach. This approach appears to be particularly essential to training that has the underlying principles of “worker involvement” and “continual improvement”. and / or actual fieldwork that would significantly strengthen the learning curve.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. The approach is flexible and open for additional inputs like role‐ playing. APO Guidance Manual on GP and IMS for Facilitators 83 . 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. they experience simulated consequences of their actions and the interrelationship between decisions and resulting actions.

as a team. the case study here needs more input on the part of the trainer as well as trainees. methodology and adopting a systematic approach rather than on detailed technical calculations. Depending upon the type and response of the participants. participants are expected to identify. typically in the form of development of detailed instructions.g. The content of the Case Study stresses more on clarification of concepts. participants may make reasonable and realistic assumptions. while working on the Action sheets of this case study. Transcript. in the absence of accurate information. For e.Part 2: Case Study Using the descriptions and data provided in the case study (Background. Participants should be advised to use the Worksheets provided in the various modules of the e‐learning package. Remember. information collected during the Walk‐through. participants may be asked to identify only the most obvious aspects and risks.).. This information will form the basis for all Action Sheets which are included as part of this Case Study. Structure of GP Group Work Unlike conventional case study approach. APO Guidance Manual on GP and IMS for Facilitators 84 . procure or synthesize this information while developing an IMS for the Hotel. all such assumptions must be clearly indicated along with the rationale for making them. Facilitators may use their discretion in modifying the way the case study is used. etc. Calculations may used where required but it is not the main intent in this approach. The trainees on the other hand need to focus and read the instructions carefully and work intensively. during the work sessions. This includes preparatory work by the trainer. In such cases. etc. identify the key IMS Policy elements. The Case Study has been developed keeping in mind the time limit of 6 hours for Group Work in the Face‐to‐Face training.

You will need to make assumptions. Get on to the 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 Groups Dos and Don’ts for the Participants • Read Read. Behave well in the Group • Information will not be necessary in the complete form. 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. • Do not worry about the sector specific jargon. APO Guidance Manual on GP and IMS for Facilitators 85 .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.

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  Non‐conforming f  Products d   Worksheet kh Monitoring and Measurements Worksheet Corrective and Preventive Action Worksheet Records Management Worksheet Internal Audit Worksheet Management Review Worksheet APO Guidance Manual on GP and IMS for Facilitators 86 .

  products and services. i. Does the IMS Policy reflect the  nature and scale of our activities. how was  the organizational Policy developed?  2. Do we have an existing  organizational Policy? If yes. What other commitments does or  should our IMS Policy contain? 8. How does d  our Policy l  take k  into  account the quality. environmental.. Is the top management committed  to the IMS Policy? 6. When the organizational Policy was  last reviewed?  4. Can we adapt it towards an  IMS Policy? 5. does the  Policy relate specifically to our  business? 7.  and OH&S aspects of our products.  activities and services?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 87 .IMS Policy Worksheet *Attach additional pages if needed (page 1 of 3) Query 1.e. Is the Policy documented? 3.

 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. Will the achievement of these  objectives lead us towards continual  improvement? 12.IMS Policy Worksheet Contd… (page 2 of 3) Query 9. How would we demonstrate  conformance to our IMS Policy?  13.  contractors and other stakeholders?   Do they understand the critical  elements of our IMS Policy? How do we  know this?  14.  contractors or other interested  parties)? What happens when we  receive feedback on the IMS Policy?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 88 . Does the IMS Policy provide a  framework for setting and reviewing  IMS objectives and targets? 11. How is the IMS Policy  communicated to our employees. What feedback have we received  on the IMS Policy (from employees.

 How do we make our IMS Policy  available to external parties?  Is this  process effective?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 89 .IMS Policy Worksheet Contd… (page 3 of 3) Query 15.

  support. For each product / service delivery.  how do we ensure that all  discrepancies are resolved? 4.  (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 and  (c) statutory and regulatory  requirements applicable to the  product/service? 2. including those concerned  with delivery and post‐delivery  activities (training and installation. How do we ensure a clear definition  2 of product/service requirements.  how do we determine and record the  (a) requirements specified by the  customer. If contract or order requirements  differ from those previously expressed.  including in cases where the customer  provides no documented statement of  requirement? 3.Product Quality Requirements  Worksheet Query 1. etc). Do we have a system to maintain  records of results of the review and  actions arising from it? APO Guidance Manual on GP and IMS for Facilitators 90 *Attach additional pages if  needed  (page 1 of 2) Action  Needed Response  .

. How can we ensure that reviews are  conducted p prior to our commitment to  supply 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. What program exists to increase  customer satisfaction? Response  Contd…  (page 2 of 2) Action  Needed APO Guidance Manual on GP and IMS for Facilitators 91 .Product Quality Requirements  Worksheet Query 5. how will  relevant personnel be made aware of  g  requirements? q   the changed 7. In cases where the product / service  requirements are changed.

 related  to activities within the control of the  organization? APO Guidance Manual on GP and IMS for Facilitators 92 Response  Action Needed . Who needs to be involved in this  3 process within our organization?  Should any outside parties be  involved?  4. annual  planning or auditing cycles)?  5. Have we identified aspects  associated with  (a) routine activities  (b) non‐routine activities (c) foreseeable emergency situations  in the vicinity of the workplace as well  as outside it (in the latter case. When is the best time for us to  implement this process?  Can it be  linked to an existing organizational  process (such as our budget. Does that process need to be  revised?  In what way?  3. What sources of information can  5 we use to identify environmental  aspects? Have we looked at the legal  and other requirements and linked  them to the identified aspects? 6.Environmental Aspects Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. What process did we use to  determine aspects and their  significance? 2.

 How will we keep this information  up‐to‐date?  12. How are significant aspects  communicated to relevant  organizations? APO Guidance Manual on GP and IMS for Facilitators 93 .) do you identify the aspects prior  to their implementation? 8. What sources of information can be  used to determine the environmental  impacts of these aspects?  10. For any new development (actual or  proposed d changes h  i in the h  organization i i   with respect to materials. processes. How and when do we re‐evaluate  aspects and their significance? 13. What criteria would make sense  for our organization for determining  which aspects are significant?  11. Have we documented the  environmental aspects of our: • • • Operations and activities? Products? Services?  Response  Action Needed Are these readily available? 9.Environmental Aspects Worksheet Contd… (page 2 of 2) Query 7.  etc.

 What process did we use for hazard  identification and risk assessment? 2. Have we identified hazards  associated with  (a) routine activities  (b) non‐routine activities (c) foreseeable emergency situations  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 94 . annual  planning or auditing cycles)?  5. When 4 Wh  is i  the h  best b  time i  for f  us to  implement this process?  Can it be  linked to an existing organizational  process (such as our budget. Does that process need to be  revised?  In what way?  3.Hazard Identification and Risk  Assessment Worksheet  *Attach additional pages if needed (page 1 of 3) Query 1. Who needs to be involved in this  process within our organization?  Should any outside parties be  involved?  4. What sources of information can we  use to identify hazards and the  associated risks?  6.

 Have we identified hazards and the  associated risks of : (a) routine activities  (b) non‐routine activities ( ) foreseeable (c) f bl  emergency situations  outside  the workplace affecting  persons within the workplace? 8. processes.) 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. What activities / operations are  associated with unacceptable risk?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 95 .  etc.Hazard Identification and Risk  Assessment Worksheet  Contd… (page 2 of 3) Query 7. how should this be  accomplished? Who should be  involved?  10. For any new development (actual or  proposed changes in the organization  with respect to materials.

 How do we know whether these  controls are adequate (i. to achieve objectives?  14. How do we train employees and  contractors on relevant operating  controls?  15. to ensure  compliance.Hazard Identification and Risk  Assessment Worksheet  Contd… (page 3 of 3) Query 11. what  is our process for doing so? Who needs  to be involved in this process?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 96 . If new controls are needed (or  existing ones need to be revised). and appropriate  participation by our workers?  12.  13. How are activities / operations  associated with unacceptable risk  controlled? List methods.e. to manage  significant aspects. Does our risk assessment involve  consultation with.

 How do we ensure that we have  access to legal and other  requirements? (List any methods  used. such as on‐site library. commercial services services.) )  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 97 .Legal and Other Requirements  Worksheet  *Attach additional pages if needed (page 1 of 2) Query 1. Who needs to be involved in this  process within our organization?  Should any outside parties be  involved?  5. What sources of information do  5 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. etc etc. use of  web sites sites. Do we subscribe to any voluntary  commitments? Have we identified  these? 4. Does that process need to be  revised?  In what way?  3. What process did we use to  identify legal and other requirements  to which the Organization  subscribes? 2.

 How will we keep information on  legal and other requirements up‐to‐ date?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 98 . Who is responsible for analyzing  new or modified legal requirements  to determine how we might be  affected?  9. How do we communicate  information on legal and other  requirements to people within the  organization who need such  information?  8.Legal and Other Requirements  Worksheet  Contd… (page 2 of 2) Query 7.

 How are objectives and targets  measured and monitored? 6. What are our existing goals?  How  were these developed? Who was  involved? What factors were  considered in setting these goals?  2. does that process need  to be revised in line with IMS  requirements?  In what way(s)?  3.Objectives and Targets Worksheet  *Attach additional pages if needed (page 1 of 1) Action Needed Query 1. How do we ensure that objectives  and targets are consistent with the  commitment of continual  improvement? 5. Who needs to be involved in this  process within our organization?  Should any outside parties be  involved?  4. How often do we review our  objectives and targets to assess if they  are current and/or if new ones need  to be set? 7. How do we communicate the  results of this review?  Response  APO Guidance Manual on GP and IMS for Facilitators 99 . Do we have an existing process for  setting and reviewing objectives and  targets? If so.

 What are our existing programs?   How were these developed? Who was  involved? What factors were  considered in setting these programs?  3. What do we do if we don’t meet the  established objectives and targets? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 100 . planning or auditing cycles?)  6. Are our management programs  3 developed considering IMS objectives  and targets?  4.Management Programs Worksheet  *Attach additional pages if needed (page 1 of 2) Query 1. 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 our  budget. does that process need to be  revised in line with the requirements  of the standards for IMS management  programs?  In what way?  2. Do we have an existing process for  establishing management programs? If  yes.

 How will we otherwise keep our  programs up‐to‐date?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 101 . processes.Management Programs Worksheet  Contd… (page 2 of 2) Query 7. How would we amend the programs  if there are new developments that  can affect the objectives and targets? 8. equipment and  infrastructure are considered in our  programs?  9. How do we ensure that changes to  products.

Structure and Responsibility Worksheet
*Attach additional pages if needed (page 1 of 2) Query 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 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?  How are expenditures for the IMS  tracked?
APO Guidance Manual on GP and IMS for Facilitators 102

Response 

Action Needed

Structure and Responsibility Worksheet
Contd… (page 2 of 2) Query 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?  Response  Action Needed

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103

Training, Awareness and Competency  Worksheet
*Attach additional pages if needed (page 1 of 2) Query 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? 6. Who is responsible for training now?  Who else might need to be involved  within our organization? 
APO Guidance Manual on GP and IMS for Facilitators 104

Response 

Action Needed

 post‐training  testing. behavior observation. How do we evaluate training  effectiveness? List methods used. Who is responsible for ensuring that  employees receive appropriate  training? How do we track training to  ensure we are on target? 8. Awareness and Competency  Worksheet Contd… (page 2 of 2) Query 7. Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 105 .Training. such  as course evaluation.

 What system do we use for  communicating i i  with i h customers: a) Product specifications and  information (salesmen. contracts. etc. change orders  and new orders c) Customer feedback including  customer complaints 3. web site. What mechanisms are adopted / shall  be adopted to communicate the IMS  Policy?  6.Communication Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. With regard to our organization. Who are our key external  stakeholders? t k h ld ? H How were th these  stakeholders identified?  4.  specification sheets. How do we ensure that  communication of quality issues is  communicated throughout the  organization (what process or document  defines this flow)? 2. what  are the key concerns of these  stakeholders? How do we know this? 5. What community outreach efforts are  6 we making now (or have we made in  the recent past)? How successful have  these efforts been? APO Guidance Manual on GP and IMS for Facilitators 106 Response  Action Needed .) b) Inquiries.

Communication Worksheet Contd… (page 2 of 2) Query 7. How do we communicate internally  (as well as with our suppliers and  )   What p processes do we  contractors)? have to respond to internal inquiries. How do we gather and analyze  i f information i  to b be communicated? i d? Who h   has responsibility for this?  9.  concerns and suggestions? How  effective are these methods? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 107 . What methods do we use for external  communication?  Which appear to be  the most effective? Who has primary  responsibility for external  communication? 8.

 Have we created a system for  management of records that  demonstrate compliance with the  standards? d d? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 108 .g.Documentation Worksheet *Attach additional pages if needed (page 1 of 1) Query 1. core and  supporting elements of IMS)? 5. Do we have a structured system of  documentation (e. Have we created the required  d documentation t ti  f for th the IMS? Is I  the th   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.

 How are users alerted to the  existence of new IMS documents or  revisions to existing ones?  7. Who has authority to generate new  documents or modify existing ones?  How is this process managed?  6. Who needs access to controlled  copies of IMS documentation?  How do  we ensure that they have access? 4. How do we ensure that obsolete  documents are not used?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 109 . How do we ensure that IMS  4 documents are periodically reviewed  and updated as necessary?  5. Who needs to be involved in this  process within our organization?  3.Document Control Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. does  that process need to be revised?  In  what way? 2. Do we have an existing process for  controlling IMS documents? If yes yes.

 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? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 110 . Is our IMS document control process  integrated with other organizational  functions? If so.Document Control Worksheet Contd… (page 2 of 2) Query 8.

 How do we know (the evaluation  process) whether these controls are  adequate for their suitability and  APO Guidance Manual on GP and IMS for Facilitators effectiveness (i.. 5. How do we train and employees and  contractors t t  on relevant l t operating ti   controls? 6. How do we communicate relevant  operational control procedures to  employees  contractors and suppliers? employees. signage. Have we identified operations and  activities associated with significant  environmental aspects and  unacceptable risks? If not. 7. etc. How are the above operations and  activities controlled?  List the  procedures. to manage significant  Response  Action Needed 111 .Operational Controls Worksheet  *Attach additional pages if needed (page 1 of 2) Query 1. What operations and activities are  associated with legal requirements?  4.e. work instructions. access controls. E. how will this  be accomplished? Who should be  involved? 2. work instructions or  approved app o ed working o g methods et ods (as  applicable).  barriers. What operations and activities are  2 associated with significant  environmental aspects and  unacceptable risks? 3. procedures.  alarms.g.

g. what  is our process for doing so? Who needs  to be involved in this process? 9. the client’s site)? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 112 .Operational Controls Worksheet  Contd… (page 2 of 2) Query 8. 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. If new controls are needed (or  existing ones need to be revised). What is the process for review of  operational controls of suppliers as it  relates to the IMS? 10.

 What  equipment  we    for Facilitators maintain? How do we know that this 113 Response  Action Needed . Have we prepared  an emergency  response procedure? If yes. Have we trained personnel on their  roles and responsibilities during  emergencies?  APO emergency Guidance Manual  on GP  do and  IMS 7. Have 3 H  we considered id d and d  communicated with local emergency  services? 4.Emergency Preparedness and Response  Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. Have we reviewed our operations and  activities for potential emergency  situations? If not how will this be  accomplished? Who should be  involved? 2. does it  address all foreseeable emergencies? If  not how will these be accomplished? 3. Do our existing emergency plans  5 describe how we will prevent incidents  and associated impacts? If not how will  this be accomplished? Who should be  involved? 6. 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.

Emergency Preparedness and Response  Worksheet Contd… (page 2 of 2) Query 8. Have we established a feedback  l loop  for f  to t  incorporate i t  previous i   emergency response experience?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 114 . How do we test our emergency  response procedures?  Is there a plan /  schedule for conducting future drills?  10. How do we record incidents? 11. How do contractors and other visitors  know what to do in an emergency  situation?  9.

 If non‐conforming product is  detected after delivery or use. can we modify it to  meet the requirements of the  applicable standard? If not. product with concessions? Who will be  involved? 5. Do we have a process to ensure that  a product / service which does not  conform to the requirements is  identified? If yes. release or accept p  non‐conforming g  use. is  appropriate action taken by the  organization to correct the problem? 4. What process is used to authorize  . how will  this be accomplished? Who will be  involved? 2. Are records maintained identifying  non‐conformities and any subsequent  actions ti  t taken k  t to use th the product d t with ith  concessions? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 115 . How do we control such non‐ conformities to prevent unintended  use or delivery? What actions can we  take to eliminate identified non‐ conformities? How do we determine if  and what concessions are allowable in  such cases? Who will be involved? 3.Non‐conforming Products Worksheet  *Attach additional pages if needed (page 1 of 2) Query 1.

 How do we train employees and  contractors on relevant l  controls? l ?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 116 . Do we have a returned goods  process or equivalent to take  appropriate actions when the non‐ conforming product is detected after  delivery or use has started? If yes.Non‐conforming Products Worksheet  Contd… (page 2 of 2) Query 6.] What do  we do if the established controls are  inadequate? 8. How do we know whether the  established controls are adequate? List  applicable methods [GP tools to track  non‐conformities over time. can  we modify it to meet the requirements  of the applicable standard? If not. how  will this be accomplished? Who will be  involved? 7.

 significant  environmental aspects and  unacceptable risks. Have we identified the key  characteristics that we need to  monitor and measure to ensure that  operational controls are being  implemented correctly? 4.Monitoring and Measurements  Worksheet  *Attach additional pages if needed (page 1 of 2) Query 1. we subscribe to? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 117 . Have we identified the key  characteristics that we need to  monitor and measure to ensure that  e a are e complying co p y g with t  applicable app cab e legal ega   we requirements? 5. Do we have monitoring and  measurement process for the product  being done at an appropriate stage in  the product realization (production)  process? 3. legal requirements  and IMS objectives?  If not how will  this be accomplished? 2. Have we identified the key  characteristics that we need to  monitor and measure to ensure that  we are complying l  with h the h  other h   requirements. Have we identified operations and  activities associated with quality  requirements.

 Have we identified the equipment used for any of the monitoring or  measurement listed above?  If not  how will this be accomplished? 9. How will we ensure that monitoring  and d measurement equipment i  is i  properly calibrated and maintained? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 118 .Monitoring and Measurements  Worksheet  Contd… (page 2 of 2) Query 6. Have we identified the key  characteristics 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? q p   8.

 etc. employee  suggestions. How do we track the status of our  APO Guidance  Manual on  GP and  corrective  and preventive  actions?  IMS for Facilitators Response  Action Needed 119 . What are the methods / tools used  3 for identifying non‐conformities and  other potential system deficiencies?  List methods such as audits. does that process need to be  revised?  In what way? 5. 4.Corrective and Preventive Action  Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. Who needs to be involved in the  5 corrective‐preventive action process  within our organization?  6. How do we identify non‐ conformance 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. How do we determine the causes of  non‐conformities and other system  deficiencies?  How is this information  used? 7. Do we have an existing process for  corrective and preventive action? If  yes. ongoing monitoring.

 in management review  meetings. in employee training  sessions.) 10. How is / can information on non‐ conformities and corrective‐preventive  (for  actions be used within the IMS ( example.Corrective and Preventive Action  Worksheet Contd… (page 2 of 2) Query 8. How do we ensure the  effectiveness ff i  of f our corrective i  and d  preventive actions?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 120 . in review of procedures. How do we verify the closure of all  non‐conformances? f ? Who Wh  are  responsible for this verification? 9. etc.

 Have we identified what records  need to be maintained for the IMS?   Where is this defined?  2. How do we dispose IMS records? 6. For electronic records. how do we  ensure back‐up and security of the  records? Response  APO Guidance Manual on GP and IMS for Facilitators 121 . Have we determined records  retention times?  Where is this  d fi d?  defined? 3.Records Management Worksheet *Attach additional pages if needed (page 1 of 1) Action Needed Query 1. Who determines the retention time  of the records? 4. Have we established an effective  storage and retrieval system?  5.

Internal Audit Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. 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? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 122 . Is there another audit schedule with  which our IMS audits could be linked? 3. Have we selected IMS auditors?  What are the qualifications of our  auditors?  5. Have we determined an appropriate  audit frequency?  What is the basis for  the existing frequency?  Should the  frequency of audits be modified? 4. Do any of our auditors ever audit  their own work? 7. Have we developed an IMS audit  schedule?  If not. What training has been conducted or  i  planned is l d  f for our IMS auditors? dit ?  6. how will this be  accomplished? Who need to be  involved in the audit process? 2.

 How are the records of these audits  12 maintained?  Response  APO Guidance Manual on GP and IMS for Facilitators 123 . Do follow‐up audit activities include  verification of the actions taken and  reporting of the results? 11.Internal Audit Worksheet Contd… (page 2 of 2) Action Needed Query 9. How are the results of IMS audits  communicated to top management?  12. What system is in place to ensure  that h  audit di  non‐conformities f i i  and d their h i  causes are corrected and eliminated  without undue delay? 10.

 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 this  information? 5.Management Review Worksheet *Attach additional pages if needed (page 1 of 2) Query 1. How do we ensure that changing  circumstances (both internal and  external to the organization) are  considered in this process? Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 124 . Do we have an existing process for  2 conducting management reviews? If  yes. 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. does that process need to be  revised?  In what way? 3.

 How do we ensure that the  recommendations of management  reviews are tracked and acted upon?  Response  Action Needed APO Guidance Manual on GP and IMS for Facilitators 125 . How do we ensure that the outputs  from the management review given the  proper resources for corrective and  preventive action? 7.Management Review Worksheet Contd… (page 2 of 2) Query 6.

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