IUMSS HAND BOOK Sistemas Integrados

ISO
HANDBOOK
Second edition
2018‐11
The Integrated Use of Management

System Standards (IUMSS)
Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA (oscarlopez@americantrust.com.mx)
ISO Store Order: OP-360372 / Downloaded: 2019-04-08
Single user licence only, copying and networking prohibited.
© ISO 2018
The Integrated Use of Management System Standards (IUMSS)
COPYRIGHT PROTECTED DOCUMENT

© ISO 2018
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH‐1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
2 © ISO 2018 – All rights reserved

Contents Page
Foreword...........................................................................................................................................................................5
Introduction .....................................................................................................................................................................6
Chapter 1: Management system................................................................................................................................9
1.1 Management system features .......................................................................................................................................... 9
1.2 Organizational context, risks and opportunities .................................................................................................. 12
1.3 Components of a Management System ..................................................................................................................... 16
1.3.1 Objectives ..................................................................................................................................................................... 17
1.3.2 Processes ...................................................................................................................................................................... 19
1.3.3 Organizational structure and resources .......................................................................................................... 23
1.3.4 Performance feedback............................................................................................................................................. 26
1.4 Understanding the relationships of management system components ...................................................... 29
1.4.1 Understanding the systems approach .............................................................................................................. 29
1.4.2 Establishing a systems approach ........................................................................................................................ 33
Chapter 2: Management System Standards ....................................................................................................... 37
2.1 Purpose and objectives of management system standards ............................................................................. 39
2.2 Uses and needs for management system standards ........................................................................................... 40
2.3 Application of management system standard requirements .......................................................................... 43
2.3.1 Relationships of management system standard requirements to the organization’s
management system ........................................................................................................................................................... 43
2.3.2 Implementation of management system standard requirements ........................................................ 44
Chapter 3: Integration of Management System Standard Requirements into the Management
System ............................................................................................................................................................................. 47
3.1 Lead the integration ......................................................................................................................................................... 50
3.2 Determine the scope of integration ............................................................................................................................ 53
3.3 Plan the integration .......................................................................................................................................................... 56
3.4 Connect the management system standard requirements and the organization’s
management system ................................................................................................................................................................ 59
3.4.1 Structure the management system .................................................................................................................... 59
3.4.2 Structure management system standard requirements ........................................................................... 62
3.4.3 Map management system standard requirements against the management system .................. 65
3.5 Incorporate the management system standard requirements into the organization’s
3.5.1 Identify and analyze gaps ...................................................................................................................................... 70
3.5.2 Close the gaps ............................................................................................................................................................. 74
3.5.3 Confirm gap closure ................................................................................................................................................. 76
3.6 Maintain and improve integration .............................................................................................................................. 78
3.7 Apply lessons learned in the organization .............................................................................................................. 82
© ISO 2018 – All rights reserved 3

Annex A – Generic Case Study – Jim the Baker ................................................................................................. 85

A.1.1 Management system features ................................................................................................................................... 85
A.1.2 Organizational context, risks and opportunities .............................................................................................. 85
A.1.3 Components of a management system ................................................................................................................. 86
A.1.3.1 Objectives ................................................................................................................................................................. 86
A.1.3.2 Processes .................................................................................................................................................................. 86
A.1.3.3 Organizational structure and resources ...................................................................................................... 88
A.1.3.4 Performance feedback ........................................................................................................................................ 89
A.1.4 Understanding the relationships of management system components.................................................. 89
A.1.4.1 Understanding the systems approach .......................................................................................................... 89
A.1.4.2 Establishing a systems approach .................................................................................................................... 90
A.2.1 Purpose and objectives of management system standards ......................................................................... 92
A.2.2 Uses and needs for management system standards ....................................................................................... 93
A.2.3 Application of management system standard requirements ...................................................................... 93
A.2.3.1 Relationships of management system standard requirements to the organization’s
management system ........................................................................................................................................................... 93
A.2.3.2 Implementation of management system standard requirements .................................................... 94
A.3.1 Lead the integration ..................................................................................................................................................... 94
A.3.2 Determine the scope of the integration ................................................................................................................ 94
A.3.3 Plan the integration ...................................................................................................................................................... 95
A.3.4 Connect the management system standard requirements and the organization’s
A.3.4.1 Structure the management system ................................................................................................................ 95
A.3.4.2 Structure management system standard requirements ....................................................................... 96
A.3.4.3 Map management system standard requirements against the management system .............. 97
A.3.5 Incorporate the management system standard requirements into the organization’s
A.3.5.1 Identify and analyze gaps .................................................................................................................................. 98
A.3.5.2 Close the gaps ...................................................................................................................................................... 100
A.3.5.3 Confirm gap closure .......................................................................................................................................... 101
A.3.6 Maintain and improve integration ....................................................................................................................... 102
A.3.7 Apply lessons learned in the organization ....................................................................................................... 102
Annex B – Graphical Representations of Survey Responses ..................................................................... 103

Foreword
This Handbook was written at the request of the ISO Technical Management Board for organizations
seeking guidance on how to integrate requirements of multiple ISO standards into an organization’s
management system, both effectively and efficiently.
Since the publication of the first edition of this Handbook in 2008, there have been a substantial number
of changes in both ISO and non‐ISO management system standards, affecting all types of organizations.
These include the introduction of the ISO High Level Structure, provided in ISO/IEC Directives Part 1,
Clause SL.9. The Handbook has been updated to account for the changes.
Any feedback or questions on this document should be directed to the user’s national standards body.
A complete listing of these bodies can be found at www.iso.org/members.html.

Introduction
General
It is recognized that organizations will have some form of a management system. Whether the system is
formal or informal in nature is dependent on the scope and context of the organization.
Many organizations will continually reassess their scope and the context in which they operate as their
organization evolves in alignment with the changing needs and expectations of their interested parties.
When the context and scope of an organization changes, this is a useful trigger for the organization to
learn from others to ensure that the requirements influencing their business processes are integrated
and support the organization’s objectives.
This Handbook uses the phrase ‘integrated management system’ to refer to the outcome of the process
of integrating requirements from multiple management system standards into a singular management
system within an organization.
The process for the updating of the Handbook was guided by the participation of voluntary
organizations in answering a questionnaire on their integrated management systems. These
organizations are representative of countries across the globe. This Handbook makes reference to this
questionnaire as ‘the Survey’ with results shown in Appendix B.
The challenges faced by an organization in developing an integrated management system will vary
based on the size and maturity of the organization.
Having an integrated management system can assist in maintaining a sustainable business model
through changing environments.

Layout of this Handbook
This Handbook contains three chapters, as illustrated in Figure 1:
 Chapter 1 describes the fundamentals of a management system and how it links an organization’s
strategies, plans, and operations.
 Chapter 2 describes the structure and content of different management system standards and their
application.
 Chapter 3 describes how an organization integrates the requirements of multiple management

system standards into their management system.
Figure 1: Chapter Content Diagram
It also contains two annexes:
 Annex A details an extended generic example of “Jim the Baker” designing, implementing and
integrating new requirements as the business evolves and grows.
 Annex B details the graphical representation of Survey answers.
Each chapter follows a specific layout and acts as signposts for action.
Guiding question(s) – Prompts for the reader to think about the subject matter covered in the section
and how it relates to their organization.
Overview – Foundational elements outlining the subject matter.


Approach – A practical guide to applying the subject matter.
Case(s) in Point – Illustration of the subject matter as applied in different real‐world organizational
contexts. The case studies have been edited for clarity and are illustrative only.
“Jim the Baker” – Illustration of the subject matter through the use of a generic example.
Practice questions – Prompts for the reader to apply the principles and methods to their own
situation.
How to use this handbook?
The handbook is intended to help organizations understand and apply management system standards,
MSS, and the framework to implement a single management system or for integrating multiple
management systems.
This Handbook has been designed so that the reader can start at any chapter depending on the context
of the organization and the problem which the reader is attempting to solve. For example, in an
organization already using one or more management system standards, a reader may simply move to
Chapter 3 for guidance on the integration of the requirements of those or additional standards into the
organization’s management system. Alternatively, if the reader’s organization wishes to improve and
have a greater understanding of its management system through the implementation of one or more
management system standards, they may begin reading at Chapter 1 or 2.
The reader may use Figure 1 Chapter Content Diagram to establish the most appropriate sections with
which to start.
This handbook does NOT:
 Provide a specific structure for an integrated management system, either as a requirement or as a

guideline;
 Give preference to any standard;
 Contain any auditable requirements or additional obligations;
 Give preference to an individual organization’s approach or practice, as described in any case study.

Chapter 1: Management system
The chapter sets out the purpose and components of a management system. Then the chapter describes
how an organization’s management system fits into and is related to their business context. This
understanding is the foundation of an integrated approach to the management system.
By the end of this chapter, the reader should be able to define the interrelationships between an
organization and their management system.
1.1 Management system features
Guiding questions
 What is a management system?
 Why is it important?
 How do you know if you have a management system?
 What are the main features of a management system?

Overview
An organization exists to satisfy the needs and expectations of their interested parties. This is achieved
through the presence of a management system. This Handbook uses the definition of a management
system as being a set of interrelated or interacting elements of an organization to establish policies and
objectives, and processes to achieve those objectives. See ISO/IEC Directives Part 1, Clause SL.9 High
Level Structure.
Organizations have differing operating models with varying levels of complexity. Based on this
complexity, the scope of the management system may apply to a sub‐set of an organization or the entire
organization. When integrating multiple standards into the management system it is important to
consider the scope of that management system.
The foundational principle of a management system is an understanding of the context in which an

organization operates. An organization gains this understanding by examining its external issues and
internal issues that determine their success and sustainability.
The organization plans their processes in consideration of their external and internal issues. They then
implement the plan, monitor the efficiency and effectiveness based on data, and make appropriate
adjustments. The management system should be documented to ensure continual improvement
activities and retention of organizational knowledge.
An organization that follows and improves its management system will likely achieve performance
improvements faster than those that continue to follow ‘business as usual’ without regularly identifying,
prioritizing and implementing improvements.
Approach
For an organization to be effective and efficient in carrying out its activities, it needs to, first and
foremost, understand its environment and market in which it operates, including the organization’s
competitive position. Then, the organization needs to pull together the processes, resources, tools, and
work force into one coherent and functioning management system. This allows the system to produce
the desired and saleable products or services. Each element of the organization is a process and must
understand the interrelationship of the various processes and parts of the organization.
Whether an organization is small or large, simple or complex, the environment in which it functions
influences the design and implementation of its management system. Regardless of whether the
management system is formally defined and documented or less formal, the needs, objectives, products,
services, processes, size and structure of the organization changes over time. As such, a management
system will also need to be agile, adaptable and responsive to these changes.
Survey responses (see Annex B, Q1 and Q2) show that organizations of diverse sizes have integrated
standards into their management system.

Jim the Baker
A.1.1
Cases-In-Point
MRS Group Limited
Schematic of the management system supporting the Health, Safety and Environment function of MRS
Group Limited:
Johnson Controls
An illustration of the “Johnson Controls Manufacturing System (Principles)”:

“The Johnson Controls Manufacturing System (JCMS) is a key element of the Manufacturing platform
within the overall Johnson Controls Operating System
 JCMS has a maturity model at its core that is based upon nine manufacturing principles
 JCMS is the way that all 130+ manufacturing locations around the world are expected to perform and
defines the expectations for excellence in manufacturing
 The maturity model within JCMS provides a roadmap for the plants to deploy and execute
manufacturing practices and governing behaviors across five levels of maturity, within each of the
nine principles
 JCMS provides a standardized approach and expectations for all manufacturing locations, regardless
of their individual maturity at the start of the JCMS journey”
Practice questions
 How have you defined the scope of your management system?
 What are the internal issues affecting your management system?
 What are the external issues affecting your management system?
 How is your management system documented?
1.2 Organizational context, risks and opportunities
Guiding questions
 How does your organization’s context influence its management system?
 How does your organization address uncertainty in its business planning?
 Who are your organization’s interested parties?


Overview
When considering its context, the organization needs to understand both the internal and external
issues, which influence the organization’s purpose, objectives and its sustainable success, such as:
 The needs and expectations of interested parties.
 External issues such as political stability, economic and competitive environment, cultural and
social norms, technological advancement, environmental protection and preservation, and legal
compliance that needs to be addressed.
 Internal issues such as leadership, management, communications, competencies, and the like.
 Understanding their operating environments and the way the organization differentiates and
competes.
The organization’s management system is impacted by the needs and expectations of various interested
parties. Determining the needs and expectations is a key step in the process of developing the
organization’s objectives. This can involve balancing competing and, sometimes, conflicting needs of
various interested parties.
As the organization considers their context, the determination of their risks and opportunities provides
valuable inputs into the design, implementation, maintenance and improvements of the management
system.
There are a wide range of tools and techniques available to determine and address risks and
opportunities in an organizational context. These should be chosen to suit the context of the
organization.
Approach
There are many common techniques for identifying and analysing internal and external issues
impacting an organization’s management system. These include force field analysis, environmental
scanning and benchmarking, Strengths ‐ Weaknesses ‐ Opportunities ‐ Threats (SWOT), and Political‐
Economic‐Societal‐Technological‐ Legal‐Environment (PESTLE) (e.g., see ISO/TS 9002:2016).
Regardless of the method or tool, it is important for the organization to take into consideration these
contextual, external and internal issues, and the identified high‐level risks and opportunities.
Jim the Baker
A.1.2
Cases-In-Point
FCC Construction
“FCC Construction Policy” supports their management system with the strategic objectives and
interested parties:

© ISO 2018 – All rights reserved
14
Specialty Fasteners
Specialty Fasteners’ consideration of the context of the organization, including the mapping of their
stakeholders and interested parties to the needs of the business. Their SWOT and PESTEL templates
follow as inputs to their Business Plan on a Page with a goal to integrate ISO 45001 within their QMS.

Practice questions
 How do you ensure the organization’s strategy is relevant and adaptive in responding to the
markets within its context?
 How have risks been determined and addressed?
 How have opportunities been determined and capitalized upon?
1.3 Components of a Management System
In every management system, there are several essential components for it to function. These are:
 Objectives
 Processes
 Organizational structure and resources
 Performance feedback

1.3.1 Objectives
Guiding questions
 Are there objectives in place that address the needs of the organization’s interested parties?
 How do these objectives relate to the organization’s management system?
Overview
An organization starts with an idea to accomplish their objectives. In pursuing those objectives an
organization is dependent on several interested parties. However, objectives cannot be viewed in
isolation. When objectives are considered in the context of the organization, the results are likely to be
far more beneficial to the organization. The organization’s challenge is to understand how to set
objectives that match their business context. Prioritization of competing objectives and the impact on
planning and resources can be complex. This results in the need for effective communication.
Approach
Objectives should be an output from the organization’s planning processes, supporting the integrated
management system. The objectives then need to be cascaded throughout the organization. Planning for
the deployment of the strategy reflected in the objectives is imperative to the overall success of the
management system.
The Survey identified a range of metrics utilized by organizations with integrated management systems
(see Annex B, Q20). The key aspects are that metrics should be chosen and aligned based on the context
in which the organizational objectives have been set and that they be consistent throughout the
organization.
Jim the Baker
A.1.3.1
Cases-In-Point
Johnson Controls
One approach in setting objectives is given in the case study of Johnson Controls. Johnson Controls
utilizes a process based on Hoshin Kanri style of planning. First, the process involves an Environmental
Scan, which encapsulates the issues affecting the context of Johnson Controls and their interested
parties to develop a strategy.
Secondly, a Plan Deployment Matrix is developed to determine the long term and annual objectives,
which are fulfilled through the creation of annual projects. In order to ascertain the progress and impact
of the projects, metrics are chosen and aligned to these objectives. The projects are monitored on a
continual basis. In the case of Johnson Controls formal project teams report out monthly.

“The Johnson Controls Manufacturing Excellence team at the corporate-level utilizes a strategy
deployment matrix approach, based on Hoshin Kanri planning practices
a. Develop strategic projects on the annual basis that cascade from the multi-year strategic goals for
the Manufacturing Excellence team
b. Based upon a Hoshin Kanri approach to planning and cascading strategic plans into deployable
projects
c. Specific strategic metrics are determined to assure that projects are achieving the desired impact
d. Regular reviews are conducted monthly to assure that projects are on track to achieving metrics and
mitigating actions are taken, as appropriate
e. This process has been used and refined over several years and is embedded into the management
practices of the Manufacturing Excellence team”

Orbital Gas Systems Ltd
The first two paragraphs in the Orbital Gas Systems Ltd’s “Quality, Environmental, Health and Safety
Policy Statement”:
Practice questions
 What is your organization’s strategy and direction?
 How do your objectives align with the strategy and direction?
 How are your objectives defined and articulated?
 How are your objectives linked to your organization’s interested parties?
1.3.2 Processes
Guiding questions
 What are the processes used for product and service realization, support, and management of the
organization?
 How are they interrelated?
 How are the processes documented?
Overview
All work in an organization occurs through its processes. Therefore, an organization should have a deep
understanding of the timing, interdependences, interactions, and interfaces within the processes of the
organization’s management system. Product and service realization processes provide the means to
achieve the organization’s objectives and therefore form the backbone of the organization’s
management system. When seeking to understand the need for integration it is equally important to
understand those processes supporting the product and services realization processes.

Processes need to be both efficient and effective in transforming inputs into outputs. The output then
needs to meet interested parties’ requirements. Maximizing process efficiency and effectiveness is a
fundamental concept for a successful organization. Where possible, processes will have a ‘verb and a
noun’ like Make Product or Deliver Service. It is recommended that the processes do not carry names of
areas or departments of the organization.
Approach
Processes are in place for every organization. For a single or integrated management system, they need
to be described and related in some form, for example the Suppliers‐Inputs‐Process‐Outputs‐Customers
(SIPOC) and/or “turtle” diagrams, flowcharts/process maps and value chain diagrams.
Process performance, its measures, ownership and resources need to be captured and represented
within a management system. Combining the process requirements is an effective approach in
designing and developing an integrated management system. The Survey results (see Annex B, Q15)
show a variety of process frameworks and approaches used.
Jim the Baker
A.1.3.2

Cases-In-Point
Waiward Steel
Interrelationship between “Product Realization” and “Supporting” processes from the “Integrated
Management Systems Manual” of Waiward Steel:

Reliance Hexham
Reliance Hexham’s “Core Business Process” interfaces and relationship with “Support Processes” and
“Management Processes” is shown in two parts.

Practice questions
 How have you defined the interactions of your organization’s processes?
 What is the process for realizing your products and services?
 How does your organization define the differing service, manufacturing, test and delivery processes
and procedures?
 What are the support processes?
1.3.3 Organizational structure and resources
Guiding questions
 How does the organizational structure support the achievement of their objectives?
 How does the organization approach their use of resources?
 How does your organization define and communicate the roles and responsibilities of their human
resources?

Overview
The organizational planning process is an integral part of the overall management system. Careful
consideration of the external and internal issues will allow the organization to develop a robust strategy
to meet the needs of the interested parties. Cascading the strategy into organizational planning leads to
the design and improvement of the management system to provide sustainable performance.
The organizational structure and resources of the organization directly impact the ability of the
organization to design, implement, maintain, and improve their management system. Further, the
organizational structure and resources must be aligned directly to their objectives through the defined
and assigned process owners and managers.
Approach
The specific structure of the management system is dependent on the context of the organization.
Smaller or less complex organizations may not utilize a formal structure. Larger or more complex
organizations have a greater need for a more formal structure. This becomes apparent as a means for
execution and control of the components of the management system in a coordinated manner.
The organization uses a variety of resources to accomplish its objectives and to meet the expectations of
its interested parties. These resources form an integral part of the organization’s management system
and include:
 People (job roles, responsibilities, authorities, etc.),
 Materials (raw materials, graded products, by products, etc.),
 Information (measurements, monitoring, feedbacks, etc.),
 Infrastructure (machinery, equipment, operating conditions, employee welfare, etc.),
 Finances,
 Organizational knowledge, and
 Other resources (e.g. knowledge and skills, time and space for improvement projects, etc.).
An effective and efficient management system looks to balance these in an integrated way and
appropriately structures its management system.
An organization that is more effective and efficient in delivering on the objectives is more successful.
They may take the following into consideration:
 establish the functions, roles and responsibilities of everyone within the organization;
 determine the responsibility and accountability of the IMS;
 clarify the decision‐making processes;
 ensure effective coordination of the organization’s activities;
 enhance and clarify different communication channels;
 Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA (oscarlopez@americantrust.com.mx)
structure information exchange;

 monitor and analyze the organization’s activities effectively;
 co‐ordinate various resources;
 deploy strategies and initiatives;
 identify, acquire, and deploy resources.
Jim the Baker
A.1.3.3
Cases-In-Point
Reliance Hexham
The organizational structure, roles and levels built around its processes within HESQ management
system and including NATA accreditation in Reliance Hexham:

MRS
Alignment of resources and responsibilities to objectives from the MRS’ “HSE Management System”
document.
Practice questions
 How are resources determined, acquired, and deployed?
 How do you coordinate the use and deployment of resources?
 How are the major organizational initiatives and strategies resourced?
 Are there process owners who have cross‐functional responsibility for the major initiatives of the
organization?
1.3.4 Performance feedback
Guiding questions
 How does your organization determine their expected process outputs?
 How does your organization monitor and measure whether processes are effective?
 How does your organization monitor and measure whether processes are efficient?
Overview
All management systems must consider the methods in which the organization obtains feedback on
their performance. There are objectives at both strategic and tactical level. The organization should be
able to adapt the deployment and implementation of their management system to continue to meet
their objectives.

The monitoring of performance alone is not sufficient. There is a need to determine and take the
appropriate actions to continually improve and drive towards achieving the objectives of the
organization. Taking ownership and accountability of the feedback is facilitated through effective
communication and resolution of actions.
Approach
The organization needs to monitor and measure performance at all levels of the organization to
determine their performance relative to established objectives. Understanding performance through
analysis of data allows the organization to learn and develop actions for improvement and increasing
organizational knowledge.
For an integrated management system, it is important that the scorecard and inherent key performance
indicators and other metrics for specific processes do not sub‐optimize the overall performance.
Jim the Baker
A.1.3.4
Cases-In-Point
CEPSA
An illustration of CEPSA’s “Process Management” including process ownership and methods for
calculating process performance.

Johnson Controls
The Johnson Controls case study details the process for how an organization may standardize the
analysis and resolution of actions through a cascading plant scorecard. This is achieved through having
common metrics developed and standardized at enterprise, business unit and cross‐functional specific
metrics levels.
Johnson Controls utilizes a monthly coordinated schedule for monitoring their ongoing performance
across the enterprise. Having a standardized scorecard allows the organization to readily analyse and
compare at any level.
“Within the Johnson Controls Manufacturing System (JCMS) there are key metrics that have been
identified to drive the expectations for performance across the manufacturing system
 Leading Metrics – Metrics that measure the extent of process deployment and execution
 Performance Metrics – Metrics that measure the performance due to the deployment and execution
of the manufacturing system
 The JCMS key metrics are linked directly during regular reviews to the individual business unit
metrics that are expressed at the plant
 The expectation is that the JCMS “process drives performance”

Practice questions
 How does your organization review its performance?
 How is the performance reviewed in terms of frequency and sequence between parts of the
organization?
 How is feedback provided and implemented?
 How do you ensure accountability through the feedback process to drive the organization’s
objectives?
1.4 Understanding the relationships of management system components
1.4.1 Understanding the systems approach
Guiding questions
 What is meant by relationships and linkages in an organization’s management system?
 How do linkages impact the effectiveness of the management system?
 How do the documented information and metrics fit within the management system?
Overview
Organizations operate through many formal or informal arrangements that are interlinked to achieve
the organization’s objectives. This includes the framework of processes and resources used to ensure
that an organization can achieve its objectives. In a systems approach, the processes that make up the
framework are not isolated or independent, rather, they are linked, measured and have feedback with
means to evaluate performance.
Analysis of the individual components of the management system is important to explain how they
work. Integration of the components reflects the systems approach. This integration includes
comprehending the interaction among the processes, resources and performance feedback as they
work together to achieve the objectives.
A systematic approach includes understanding the interaction of the processes which support the
product and service realization process, such as planning, finance, accounting, purchasing, supply chain,
and many others. Ensuring the support processes work effectively with the product and service
realization processes requires the monitoring of process performance. Most organizations document
their processes, for example, by using flowcharting, text documents, or other methods. A variety of such
documents used is shown in Survey (see Annex B, Q19).
Approach
Viewing the organization as a system can lead to conclusions that are different as compared to
analyzing the individual components of the system. The case studies demonstrate that taking the
systems view has many advantages for the organization in seeking to improve and achieve its
objectives.

The case studies also show that there are benefits to utilizing a systems approach through the linkage of
their processes within the management system, for removing redundancies and gaining synergies.
Jim the Baker
A.1.4.1
Cases-In-Point
FCC Construction
An additional systems approach taken by FCC Construction is demonstrated in their case study where
they show interconnected process maps. This graphically represents the entire management system
and includes the relationships between their objectives, processes and resources.

Adjudicación de la obra, nombramiento del Jefe

de Obra y comunicado
300 Listado de Control de Documentos
301 Listado de documentos en vigor
304 Planificación de acvidades y recursos de proyecto
305 Registro de toma de decisiones de proyecto
FORMATOS 300
355 Programa de Equipos somedos a control

356 Listado de Control de Equipos
357 Instrucciones de verificación de equipos
Sistema de Gesón
306A Entrada de correspondencia de proyecto 358 Ficha de verificación de equipos
100
PROCESOS DE
DIRECCIÓN
DF.306.01 Estudio previo al inicio de la producción
ACTIVIDAD RESPONSABLES INFORMAC. INFORMAC.
306B Salida de correspondencia de proyecto
307 Lista de documentos en vigor de proyecto
308 Verificación / chequeo de proyecto
310 Portada de Planificación de obra
311 Índice de la Planificación de obra
312 Descripción de obra
358A Ficha de verificación de equipos de plantas
359 Hoja de uso de hormigones
360 Listado de incidencias
361 Informe de incidencia
365 Listado de Acciones de mejora
366 Acción de mejora
y Sostenibilidad
Nº Descripción E.O. D.D.
A UTILIZAR RESULTANTE 313 Organización de la obra 370 Aspectos y actuaciones medioambientales
Procesos de obra
314 Distribución de funciones (obra con oficina técnica) 371 Objevos medioambientales
314A Distribución de funciones (obra sin oficina técnica) 372 Plan de emergencia
1 Estudio de la viabilidad económica.
Oferta Modificac. 315 Acta de previsión de actuaciones técnicas 375 Actuaciones de Prevención de Riesgos Laborales
300 316 Acta de reunión de obra 376 Ficha de control de Puntos Crícos
200 500 posibles
PLANIFICACIÓN Y 317 Lista de decisiones 377 Seguimiento de acvidades crícas
CONTRATACIÓN ADMINISTRACIÓN 2 Comprobación de la viabilidad del
EJECUCIÓN 318A Informe de cierre de obra 378 Control de Documentación de G.P.R.L.
Y FINANZAS proyecto en la ubicación.
DE LA OBRA Proyecto Modificac. 318B Experiencias a transmir 380 Análisis del Proyecto y de la oferta
necesarias 320 Listado de revisión de proyecto 381 Datos Legales Edición 2 Fecha 12 03 2009
321 Revisión de proyecto 382 Producción por U.P.
3 Estudio de la viabilidad técnica. Proyecto Modificac. 325 Listado de acvidades 383 Producción por Capítulos
posibles
326 Programa de hitos 384 Expedientes
400
RELACIONES
327 Estudio de acvidades de gesón
328 Hoja de acvidad
385 Coste Directo por U.P.
386 Resumen de Coste Directo
DF.305.01 Control de distribución y archivo de
EXTERNAS 4 ¿Es una obra de inicio inmediato? No Sí
600 800 330 Listado de Compras 387 Costes Indirectos
GESTIÓN DE RECURSOS
HUMANOS
INFORMACIÓN Y
DOCUMENTACIÓN
331 Especificaciones de Compras 388 Costes Indirectos documentos en obra
700 5 Elaboración de un Estudio que recoja Proyecto. 325, 330, 332 Informe de recepción 389 Otros Costes Indirectos y Costes de Estructura
PROCESOS Oferta 340, 341, 333 Informe de evaluación previa del proveedor 390 Resumen de Planificación ACTIVIDAD RESPONSABLES INFORMACIÓN A INFORMACIÓN
el análisis del proyecto y de la oferta.
DE APOYO 380, 335 Listado de exigencias de idenficación y trazabilidad 391 Objevos de la Planificación Nº Descripción E.O.
UTILIZAR RESULTANTE
Programa de 336 Autorización de envío 392 Distribución Temporal
Obra para 337A Contrato con subcontrastas e industriales de obra 393 Producción por U.P.
acvidades
337B Contrato de suministros de obra 394 Producción por Capítulos
anteriores a
340 Formato procedimiento específico (portada y hoja interior) 395 Resumen de Producción
la Planificac.
341 Instrucciones de trabajo 396 Coste Directo Previsto
351 Programa de puntos de inspección 397 Resumen del Seguimiento 1 ¿De qué po de documento se trata? a byc
Anexo 1
352 Programa de Ensayos a.- D o c u m e n t o s q u e i n d i c a n c ó m o s e
353 Ficha de Control de Ejecución hacen los trabajos.
6 Propuesta de aprobación del inicio de b.- Documentos que indican el estado de
DF.304.01 Desarrollo y control del diseño OTROS PROCEDIMIENTOS Y PROCESOS DEL SISTEMA DE GESTIÓN
la obra.
RESPONSABLES
otros (Listados).
c.- Documentos que indican cómo se han
hecho los trabajos.
ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN PR-FCC-100 Manual de gesón de la calidad AJ.: Departamento de Adjudicación
A UTILIZAR RESULTANTE PR-FCC-120 Organización general y funciones Modificac. Propuestas de C.EX. Consultor Externo
Nº Descripción C.EX. D.D. J.P. J.O. E 7 Preparación de la reunión del A.P.A.T. 2 ¿Se trata de un documento de No
necesarias y modificación D.D. Director de Delegación
PR-FCC-130 Informes para la Dirección caracteríscas?
posibles.
PR-FCC-140 Análisis y mejora de actuaciones Det. Responsable de la organización que detecta la no conformidad
1 Necesidad de redactar un proyecto Sí
PR-FCC-200 Preparación y seguimiento de ofertas DF D.O. Dirección de Obra
por exigencia contractual. 306.02 3 Anotar en el original del documento las
PR-FCC-210 Concesiones D.T.Z. Dirección Técnica de Zona
personas, y fechas, a las que se distribuye
PR-FCC-308 Plan de calidad D.Z. Dirección de Zona
E Estudios copia.
Licitar DF.310.02 Contratos nacionales
2 ¿Es un proyecto para licitar o para DF.310.03 Recepción de materiales, equipos y elementos E.O. Equipo de Obra
4 ¿Se trata de un documento válido para No
construir? DF.315.03 Control de patrones de calibración J.D.C. Jefe de Departamento de Construcción
J.O. Jefe de Obra construir?
Construir
DF.315.04 Recepción de viviendas

3 Desarrollar el proyecto de Bases de Proyecto de
PR-FCC-312 Archivo de obra J.P. Jefe de Proyecto Sí
licitación licitación
licitación.
Datos de
parda
PR-FCC-400
PR-FCC-410
Relaciones con clientes
Relaciones con instuciones, promoción e imagen de empresa DF.306.02 Reunión de previsión de actuaciones LAB.
L.C.
Laboratorio de ensayos
Laboratorio de Calibración (incluso si se trata del Laboratorio Central de FCC Construcción, S.A.)
5 Comprobar la validez del documento en
obra y definir a quién se distribuirá.
Documento Documento
comprobado y
4 Designar al Jefe de Proyecto PR-FCC-500 Contabilidad financiera P.C.M. Parque Central de Maquinaria distribución al
PR-FCC-510
PR-FCC-520
Fiscal
Tesorería
técnicas PROV. Proveedor o suministrador
R.D. Técnico responsable del diseño 6 Introducirlo en el “Listado de control de
dorso
5 Esmar los recursos necesarios e PR-FCC-530 Gesón de facturación, cobros y pagos R.E. Responsable del estudio documentos”. 300 300
PR-FCC-600 Gesón de los recursos humanos ACTIVIDAD RESPONSABLES INFORMAC. INFORMAC. R.Ev.: Responsable de la organización que realiza la evaluación del proveedor
informar de los costes al Director
de Delegación. PR-FCC-610 Desplazamiento temporal de personal al extranjero Nº Descripción E.O. D.D. D.T.Z. T.D./R.E. D.Z.
A UTILIZAR RESULTANTE RPB. Responsable de realizar las pruebas 7 ¿El documento recoge cambios o No
PR-FCC-710 Asesoría jurídica R.V. Técnico responsable de la verificación modificaciones?
PR-FCC-720 Auditorías DF S.A. Director del Servicio de Administración
6 Aprobar el gasto. 306.01
PR-FCC-730 Actuaciones de I+D+i S.C. Servicio de Compras Sí
8 Sellar el original, hacer las copias 300 y 301 300 y 301
PR-FCC-800 Gesón y Seguridad de la información S.M. Servicio de Maquinaria de la Zona o Delegación a la que pertenezca la obra en la que está el patrón
1 Propuesta de convocatoria de la necesarias, y distribuir el documento.
PR-FCC-810 Formatos ST Directores de los Servicios Técnicos Centrales
7 Analizar la documentación existente Documentación 304,305,
PR-FCC-820 Glosario de términos reunión. SUBC. Subcontrasta
del contrato 306A, 306B 9 Comprobar que la gesón de los cambios
y establecer la planificación inicial. T.D. Técnicos de Delegación DF 300 y 301 300 y 301
T.P.D. Técnico de Prevención de Delegación y actualizaciones se ha realizado según 305.01.09
2 Convocar la reunión. DF.305.01.09.
No
8 ¿El proyecto se subcontrata, total o PR-FCC-310 Contrato
parcialmente, a consultores consultor 10 Distribuir o exponer el “Listado de 301
externos? Sí
3 Celebrar la reunión. documentos en vigor”.
Oferta Organización
Proyecto. de la obra
9 ¿Se subcontrata el proyecto Sí
lvo que se incluya expresamente en el contrato.
No
completo? 4 Redactar el borrador del A.P.A.T. 315 11 Archivar el documento en el Archivo de la
borrador Obra.
10 Realizar el diseño. Datos de Proyecto de 5 ¿Es una obra de inicio inmediato? Sí

parda construcción
(Ver DF 306.01.4)
No No Sí
11 ¿El consultor o consultores están 6 ¿Se aprueba el inicio de la obra?
cerficados por ISO 9001 y enen
experiencia reconocida por los
Sí
DF.305.01.09 Cambios y actualizaciones de
Servicios Técnicos de FCC No 7 Devolución del estudio a la Delegación
Construcción? documentos válidos para construir
Documentos de Informe de
12 Revisar y verificar el diseño 8 Realizar la transcripción definiva del 315 315 ACTIVIDAD RESPONSABLES
proyecto verificación INFORMACIÓN A INFORMACIÓN
308 A.P.A.T. borrador UTILIZAR RESULTANTE
Nº Descripción E.O.
13 El diseño se realiza total o DF. Datos de Proyecto de
304.01.13 315 y, en su 305.01.09
parcialmente por FCC parda construcción 9 Remir copias del A.P.A.T.
caso, 380 y
Construcción.
documentac. 1 ¿Se trata de una obra pequeña? Sí
Documentos de Proyecto resultante de
14 Aprobar, emir y distribuir la la acv. 5 del
proyecto aprobado
documentación DF.306.03 DF.306.01 No
DF.306.04 2 Tratamiento específico de cambios y Juego de planos Planos con
DF.309.01
Sí modificaciones en obras pequeñas. modificaciones
15 ¿Se generan modificaciones
DF.309.01 Revisión del proyecto y/o croquis y/o
odificar este diagrama de flujo cuando lo considere conveniente. Este diagrama de flujo no genera ningún derecho de cliente, sa
posteriores?
No documentos
a b
ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN 3 ¿De qué po de cambios y modificaciones
304,305,306A, A UTILIZAR RESULTANTE se trata?
16 Archivar la documentación Nº Descripción E.O. J.D.C. D.O.
306B, 307
a.- El documento deja de ser válido en su
Doc. del
proyecto
Inf. de verif. y
DF.306.03 Previsión de recursos para el inicio de la DF.306.04 Organización y funciones
DF
306.02
totalidad.
b.- E l documento se modifica
validación parcialmente.
obra Nº
ACTIVIDAD
Descripción
RESPONSABLES
E.O.
INFORMACIÓN
A UTILIZAR
INFORMACIÓN
RESULTANTE 1 Idenficar y analizar los requisitos. Proyecto. Estudio Medición real.
4 Se anula y ¿se sustuye?
Sí
de Seguridad. 320, 321.

ACTIVIDAD RESPONSABLES INFORMAC. INFORMAC. No
DF Normava a Docum. válidos
A UTILIZAR RESULTANTE 306.02 ulizar. 315. para construir 5 Se sella como "Anulado” y se recogen las 300 y 301 300 y 301
Nº Descripción E.O.
Propuestas de (300). copias distribuidas. Documento Documento
Organigrama surgido 313 modificación tras Requisitos anulado
1 Adecuación del equipo de obra.
DF en el A.P.A.T. el Estudio Previo.
DF.304.01.13 Diseño total o parcial por FCC 306.02 Guías básicas de

gesón.
6 ¿El documento que deja de ser válido se
sustuye totalmente y sólo por otro?
No
2 Asignación de funciones a los 313 314 ó 314A Guías básicas de

1 Realizar tareas previas al inicio de la obra.
Construcción componentes del equipo de obra. legislación y
requisitos de PRL 7 Se incrementa en un número la revisión
Sí
300 y 301
Documento
300 y 301
Nuevo documento
y MA del documento y recogen las copias de la
2 Elaborar el Plan de Seguridad. (ver DF.324.01) DF Estudio de Plan de
ACTIVIDAD RESPONSABLES Seguridad del Seguridad 3 Establecimiento de las interfases revisión anterior.
INFORMACIÓN INFORMACIÓN 324.01 313, 314 ó 314A 313 2 Realizar chequeos en las unidades de
Proyecto. Chequeo. 308
A UTILIZAR RESULTANTE Proyecto organizavas. obra consideradas en el APAT de mayor
Nº Descripción R.D. J.P. R.V.
8 Se generan los nuevos documentos que
3 Solicitar las licencias y autorizaciones necesarias. riesgo. 300 y 301 300 y 301
Licencias y sustuyen al documento original, y se Documento Nuevos
304.01.08
304.01.09 autorizac. recogen las copias de éste. documentos
3 Elaborar propuestas de solución de los 320 320, 321
problemas detectados. 321 modificados.
4 Prever los recursos necesarios.
4 Establecer la forma en la que se va a 9 Se emiten los documentos que conenen
1 Idenficar y analizar los requisitos y datos 316 ó 317 300 y 301 300 y 301
Documentación 304,305, realizar la coordinación de la obra. los cambios, marcándose las zonas
de parda y revisar la planificación. del contrato 306A, 306B Documento Documento
Acta de modificadas en el documento original, y
5 Firmar el Acta de Comprobación del Replanteo. 4 Proponer la aprobación de las soluciones modificado y
comprobac. rerándose las copias obsoletas. documentos
DF
a la Dirección de Obra.
del replanteo complementarios
2 Definir la normava, metodología y Documentacion Memoria del 306.05
del contrato proyecto
herramientas.
DF 5 ¿Se aprueba la solución propuesta?
Sí 305.01.09
306.05
3 Realizar el diseño. Documentación Proyecto de No

del contrato construcción
304,305, 306A
6 ¿Es aceptable la solución aprobada por la
Dirección de Obra?
Sí
DF.317.01 No conformidades
4 Revisar el diseño.
Documentos Jusficación de
DF.307.01 Planificación técnica DF.306.05 Planificación integrada de la obra No
ACTIVIDAD RESPONSABLES
del proyecto las soluciones
adoptadas ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN
7 Actuaciones en caso de soluciones
aprobadas disntas a las presentadas y
320, 321. DF.307.01 Planificación técnica
Nº Descripción Det. E.O. D.O.
INFORMACIÓN
A UTILIZAR
INFORMACIÓN
RESULTANTE
(Memoria del ACTIVIDAD RESPONSABLES A UTILIZAR RESULTANTE Documentación

1 D e t e c c i ó n A dC e
proyecto)
INFORMACIÓN INFORMACIÓN
Nº Descripción E.O. técnicamente no sasfactorias. complementaria T I V Il D
a A Di n c i d e n c i a ( n o RESPONSABLES INFORMACIÓN INFORMACIÓN
A UTILIZAR RESULTANTE
Nº Descripción E.O. conformidad, incidencia ambiental o A UTILIZAR RESULTANTE
DF.306.03 (croquis, cartas)
Nº i n c i d e n c i a d eD pe rs e c rviepnc icói ó
nn d e r i e s g o s E.O.
DF DF.306.04 (300)
5 ¿Es correcto el resultado de la revisión? DF.309.01 laborales): DF
No 306.05 8 Actuaciones en caso de soluciones 306.05
aprobadas disntas o no a las 320, 321 . Recepción de materiales y/o
Sí 1 Establecimiento de planteamientos
Oferta. Contrato. 312 Documentación equipos.
1 Comprobación de las mediciones. generales y acvidades de gesón. presentadas y técnicamente sasfactorias.
Proyecto Mediciones Proyecto complementaria 1 .C oI nmsppreocbcai o c inóens d e p l arsa cmecdaidcai os n
, e se. n s a y o s Proyecto Mediciones
6 Verificar el diseño. Documentos Informe de 315 (croquis, cartas)
y pruebas realizados.
del proyecto verificación 2 Definición del proceso de ejecución (300)
2 Definición de los recursos y Listado de 328 9 Tratamiento contractual de las . Auditorías del Sistema y Visitas de
308 general de la obra, idenficación de
acvidades 325, 326, 327
2 DE e vfianl ui caicói ónn T édcen i c al od se C ornesct ruurcscoi ós n . y Listado de 328
rendimientos. acvidades y sus riesgos. modificaciones adoptadas.
acvidades
No .r eDned ti m
e ci ecni ó t ons . p o r t e r c e r a s partes a
7 ¿Es correcto el resultado de la través durante la ejecución de la
DF
verificación? 325, 326, 327 325, 328, 330, 355 obra
Sí
3 Cálculo de las duraciones de las 306.05
328 328 3 Estudio de acvidades de ejecución.
3 .C áD lect ue cl oc i ódne d il raesc t da uproarc il o
a n eps r odpei e d l aasd 328 328
acvidades.
él no debe ser divulgada, total ni parcialmente, sin previo consenmiento de la Empresa. La Empresa se reserva el derecho de m
a co v si duasd erse. p r e s e n t a n t e s y p o r l o s

8 Realizar, si procede, la validación del Documentos Informe de Ver PR-FCC-307, PR- Ver PR-FCC-307, PR-
4 Establecimiento de las relaciones entre 327, 328 328 FCC-308, PR-FCC- FCC-308, PR-FCC- responsables de la ejecución de
del proyecto validación
diseño. 4 E sl taa o
bbl er cai.m i e n t o d e l a s r e l a c i o n e s e n t r e 327, 328 328
9 ¿Es correcto el resultado de la validación? No

las acvidades. 4 Elaboración de la planificación inicial
de la obra.
310; PR-FCC-314;
PR-FCC-315, PR-
310; PR-FCC-314;
PR-FCC-315, PR- DF.310.01 Compras y subcontratación .l aCs uaaclqvui ideardoe tsr. o medio de detección.
Listado de FCC-324, PR-FCC- FCC-324, PR-FCC-
Listado de 360
acvidades, 327, Planificación técnica 327 Y PR-FCC-329 327 Y PR-FCC-329 ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN
5 Elaboración del programa de obra. 2 Registrar los datos necesarios. acvidades, 327, P l a nCi fiocdai fi
c icóanc itóénc n i c a
Sí 326, 328 A UTILIZAR RESULTANTE
5 Elaboración del programa de obra.
Sí Nº Descripción E.O. DD/DZ SC/CZ 326, 328
Ver PR-FCC-307 Y Ver PR-FCC-307 Y
Listado de 5 ¿Es necesario ajustar la planificación PR-FCC-329 PR-FCC-329
304.01.14 306.05 3 ¿Se hace informe detallado en función No Listado de
6 ¿Es preciso ajustar el programa de Sí 326 acvidades, 327, inicial de la obra? No 326 acvidades, 327,
Planificación técnica 328 6 d¿ eE sl a pi rmepcoi sr toa nacj iuas dt ae rl ae il n p
c irdoegnrcai am?a d e Sí
obra? Planificación técnica 328
Planificación técnica Ver PR-FCC-307, PR- Ver PR-FCC-307, PR- Planificación obra?
1 Iniciar la fase de compra de acuerdo Sí
No técnica 330 Planificación técnica
FCC-308, PR-FCC- FCC-308, PR-FCC-
6 Elaboración de la documentación con la planificación de la obra. No
310, PR-FCC-314, 310, PR-FCC-314,
7 Realizar el seguimiento y revisión de la Listado de Listado de necesaria. PR-FCC-315, PR- PR-FCC-315, PR- Mediciones del
planificación técnica. 2 ¿Se han comprobado las mediciones No Sí Proyecto 47 ERsetauldi zi a
a rr leal isnecgiudiemnicei n
a tion cyl ur e
yev insdi óon: d e l a Listado de L i s t a3d6o1 d e
acvidades, 326, acvidades, FCC-324, PR-FCC- FCC-324, PR-FCC-
anteriormente? .p lEavnai lfiucaacciióónn dt eé clnoisc ae .f e c t o s . acvidades, 326, a c v( ii d
d ae dn esfi,c a n d o
327, 328 326,327, 328 327 Y PR-FCC-329 327 Y PR-FCC-329
. Determinación de las causas y riesgo 327, 328 3 2 6 ,á3r2e7a,, m 3 2a8t e r i a l ,
Planificación técnica Planificación técnica
Proyecto y Mediciones en PRL. Planificación técnica P l a nei fiq cuai pc ioó, nt rtaébc anjioc ao
DF 3 Medir las unidades de obra componente
7 Obtener la aprobación de la DF
DF.310.01.11 Gesón centralizada de compras 314.01
planificación inicial de la obra.
DF
correspondientes.
Modificac. actualizadas
en Planificac.
Económica
. Propuestas de resolución.
. Acciones de emergencia.
314.01 afectado)
305.01 4 ¿Es un suministro de menor valor y Sí . Necesidad de acciones correctoras.

puntuales 8 Distribución de la documentación
necesaria. transcendencia?
No
DF.329.01 Planificación económica 5 Realizar el comparavo y el pedido. Comparavo 5 Emir el informe y designar al
ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN 9 Realizar el seguimiento y revisión de la 314.01.05 361
y pedido responsable de su cierre.
A UTILIZAR RESULTANTE ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN planificación.
Nº Descripción SC/CZ No
A UTILIZAR RESULTANTE 6 ¿Es un producto suministrado por el 330
Nº Descripción E.O. D.D. DF
314.01 cliente?
310.01.10 DF Sí
306.05 6 Aprobar el informe de incidencia (si es
7 Gesonar con el cliente el suministro.
361 aprobado
necesario, preferiblemente, por
1 El Jefe de Obra requiere la gesón del Relac. contratos escrito).
330 Planificación Técnica 381, 382, 383, 384, 8 ¿Se gesona la compra en base a un
Servicio de Compras o del 1 Valorar la producción. nacionales y
391 contrato nacional o regional? Si
regionales
Departamento de Compras de Zona.
No
9 Ordenar el suministro de acuerdo con Contrato
2 Analizar la información proporcionada
por la Obra.
Document. de
Obra (331,
2 Valorar los costes directos. 381, 382, 383, 384,
391
385, 386
DF.314.01 Desarrollo de acvidades el contrato nacional o regional.
310.02
nacional o
regional
7 Cierre de la incidencia. 360
361
medición)
Sí No ACTIVIDAD RESPONSABLES INFORMAC. INFORMAC. 10 ¿Se requiere la gesón del Servicio de Relac. de
No Sí
3 ¿Se requiere información adicional o 3 Valorar los costes indirectos otros A UTILIZAR RESULTANTE acvidades
381, 382, 383, 384, 387, 388, 389 Nº Descripción E.O. SUBC. Compras o del Departamento de
realización de actuaciones costes indirectos y costes de puntuales de
391 Compras de Zona?
estructura. DF apoyo en
complementarias? 306.05 contratación
4 Visitar el emplazamiento. 4 Determinar el resultado final.

381, 382, 383, 384,
390
1 ¿Hay actuaciones derivadas de la
11 Desarrollar el apoyo por parte del
Servicio de Compras o el DF.310.01.11
DF.317.02 Acciones correctoras y prevenvas de obra
Sí No
385, 386, 387, 388, revisión de proyecto no resueltas que Departamento de Compras de la Zona. ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN
OBRALIA y Aplic.
389, 391 la afecten? A UTILIZAR RESULTANTE
5 Recopilar información. informáca Nº Descripción E.O.
12 Seleccionar posibles proveedores
1 Decidir la apertura de una acción
2 Obtener solución a los problemas 320 320 331 Ofertas de
5 Realizar la distribución temporal de los 390 392 DF correctora / prevenva.
derivados de la revisión de proyecto 321 321 13 Obtener ofertas de los proveedores. Mediciones proveedores.
6 Determinar posibles alternavas Experiencia Alternavas objevos. 309.01
Document. actualizadas
recopilada. construcvas que afecten al inicio de la acvidad.
construcvas. Complement. 2 Abrir una acción correctora /
Alternavas (ver DF.309.01) 366 365; 366
14 Realizar el comparavo de las ofertas Ofertas de Comparavo prevenva, y comunicar la apertura al
construcvas Sí
6 ¿Es necesario realizar ajustes? proveedores ofertas de los Director de Delegación.
3 ¿Hay actuaciones de contratación de Sí No de los proveedores.
proveedores.
Aplicación
No suministros que condicionen el 366 366
7 Seleccionar posibles proveedores. informáca 15 Negociar con los proveedores. 3 Idenficar y definir la causa del
comienzo de la acvidad? Ofertas de Oferta y
Conocimiento 7 Obtener la aprobación de la problema.
proveedores 331
del mercado planificación económica de la obra.
4 Desarrollar las actuaciones de definivos
OBRALIA DF
400.01
330 330
16 Seleccionar un proveedor de entre los Comparavo 4 Definir la acción correctora/ 366 366
contratación que afecten al inicio de la 310.01
8 Enviar peción de ofertas y obtener 8 Realizar seguimientos mensuales. 331 331 ofertas de los prevenva.
331 Ofertas de 381 a 392 393, 394, 395, 396, acvidad. (ver DF.310.01) comparados.
(ver DF.330.01 “Sistema de Pedido o proveedores
ofertas de los proveedores. Aplicación proveedores 397
El presente diagrama de flujo es propiedad de FCC Construcción, S.A. y su edición está controlada. La información contenida en
contrato.
informáca información económica (SIE)”) 5 Implantar la acción correctora/ 366 366
5 ¿Se ha subcontratado la acvidad? 17 Verificar la calificación del proveedor.
Aplicación 333
OBRALIA No Sí DF.310.01.17 prevenva.
(ver DF.310.01.17) informáca
9 Realizar el comparavo de las ofertas Comparavo 9 Realizar las revisiones cuatrimestrales. 381 a 392
Ofertas de ofertas de
de los proveedores. 340 ó 340 ó 341 18 Enviar el comparavo, propuesta Comparavo 6 Comprobar la eficacia de la acción
proveedores proveedores 6 Acordar con el subcontrasta el 366 366
341 iniciales definivos. 333 correctora/ prevenva.
método construcvo a emplear según firmada por el J. Obra y el J. Dpto., y
10 Negociar con los proveedores. 10 ¿Es necesario realizar ajustes? 351, 352,
Sí
se estableció en la planificación. resultado de evaluación, en su caso, al
programa de
pruebas D.D/D.Z para su autorización.
No 7 ¿La acción correctora / prevenva fue No
No
11 Enviar el comparavo de las ofertas al Comparavo eficaz?
7 Distribuir la documentación necesaria 19 ¿Autoriza la propuesta?
Jefe de Obra y copia de las ofertas ofertas de 11 Obtener la aprobación de la revisión DF Sí
300, 301,
proveedores a las personas y/o organizaciones que 305.01 Sí
que solicite. de la planificación económica de la 316 ó
las necesiten. (ver DF.305.01)
obra. 317 Contrato 8 Cerrar la acción correctora /
20 Elaborar y firmar el contrato. 365; 366 365; 366
12 Seguir la gesón de la compra hasta el prevenva, valorar su coste, y
8 Recepción en obra de los suministros
final. 12 Realizar las integraciones DF comunicar el cierre al Director de
que se precisan para la ejecución de 310.03 332 332
cuatrimestrales. Delegación.
la acvidad. (ver DF.310.03) cumpliment. 21 Ordenar el suministro de acuerdo con
310.01.16 el contrato, o bien comienzo de los Contrato
DF 9 Ejecución de los tajos. trabajos de subcontratación.
314.01 340 ó
341
definivos
310.03
314.01 DF.315.02 Control de equipos de inspección,
10 Control de los tajos. (ver DF.315.01) DF 351, 352, 353. Partes
DF.324.01 Prevención de riesgos laborales

315.01 353,
programa de
de inspecc.
Resultado de
DF.310.03 Recepción de materiales, equipos y medición, ensayo y pruebas
pruebas ensayos y
11 Control económico. (ver DF.330.01) DF ACTIVIDAD RESPONSABLES
ACTIVIDAD RESPONSABLES pruebas. INFORMACIÓN INFORMACIÓN
DF.310.01.17 Verificación de la calificación de Nº Descripción E.O. T.P.D.

INFORMACIÓN
A UTILIZAR
INFORMACIÓN
RESULTANTE
330.01
Estado de
inspección y
elementos Nº Descripción E.O.
1 Idenficación de las acvidades, DF

Proyecto ensayo.
proveedores trabajos, y equipos de trabajo
(máquinas y medios auxiliares ) a ulizar
306.05 Estudio de
Seguridad
12 Seguimiento y revisión
Planificación. (ver DF.306.05)
de la DF
306.05
360, 361
Nº
ACTIVIDAD
Descripción
RESPONSABLES
E.O. PROV.
INFORMACIÓN
A UTILIZAR
INFORMACIÓN
RESULTANTE
315.01.03
en la obra. 1 ¿Quién es el propietario del equipo de

ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN F.C.C. CONSTRUCCIÓN, S.A. Proveedores
PR-FCC-306 314.01.07 inspección, medición, ensayo y
Nº Descripción R.Ev. 2 Idenficación de los requisitos legales PR-FCC-530 pruebas?
Contrato
en materia de prevención aplicables a 1 ¿Es necesario visitar las dependencias
310.01.17 No Sí 331 Proyecto 355
la obra. 2 Idenficar individualmente cada
del proveedor para inspeccionar
equipo a controlar en la obra
previamente el envío?
1 ¿El proveedor seleccionado está dado
No Catálogo
de alta en la aplicación informáca? proveedores 3 Evaluación de los riesgos previsibles 3 Definir los responsables de los equipos 314 ó 314A; 355
que pueden derivarse para la 2 Visitar las dependencias del proveedor 355
Sí
seguridad de las personas que Contrato 336
para inspeccionar previamente el
2 ¿Está calificado en los sectores Catálogo 331 Patrón de
necesarios?
No
proveedores
trabajan en la obra.
DF.330.01 Elaboración del S.I.E. envío.
4 ¿Se trata de un patrón de verificación
verificación Equipo
4 Selección de aquellas acvidades, Proyecto 375 o de un equipo?

Sí Catálogo Catálogo ACTIVIDAD RESPONSABLES 3 Realizar la recepción en obra de los 332 332
3 Recoger la información necesaria para Estudio de INFORMACIÓN A INFORMACIÓN
proveedores proveedores trabajos, y equipos de trabajo materiales, equipos y/o elementos. preelaborad. cumpliment.
Seguridad UTILIZAR RESULTANTE DF
introducir en la aplicación informáca 333 (máquinas y medios auxiliares ) que se Nº Descripción EO DD SA o Albarán 5 Control de patrones de verificación. 355 356
315.02.05
los datos generales de la empresa, consideren más importantes por su (ver DF.315.02.05) Protocolo de
realizar un Informe de Evaluación especial riesgo o por su incidencia en 1 Analizar los datos económicos de la obra. Contrato Sí No Calibración.
4 ¿El resultado de la recepción es
Previa del Proveedor o, si se puede, materia de seguridad. aceptable?
asumir la evaluación reciente 6 Calibrar / verificar el equipo. 355, 357 355, 356
375 376 357, 358
efectuada por otra obra, y establecer 5 Establecimiento de Acvidades Crícas 2 Apertura del S.I.E. 5 Aceptación del suministro. Cerficados
las precauciones a adoptar. a parr de las acvidades calibración
Sí
Catálogo seleccionadas. Inf. reparac.
Sí
4 ¿Es apto el proveedor? proveedores 6 ¿Se rechaza el suministro? Equeta
No
6 Definición de las actuaciones a 3 Gastos de obra Facturas
375 375
contabilizadas No
Sí realizar para eliminar o reducir los
7 Incluir los requisitos correspondientes 331
5 ¿Rechazar al proveedor? riesgos previstos. 7 Devolución del suministro al Contrato
No en el Contrato
375 Plan de
Plantec (PLT) proveedor. Cerficados
7 Elaboración y aprobación del Plan de 4 Producción y costes previstos mes. Planeco
Estudio de Seguridad
Sí Seguridad. Seguridad 8 Reposición de los materiales, equipos
6 ¿Se obenen las autorizaciones 8 Idenficar, en su caso, los elementos 358 360, 361
o elementos rechazados.
superiores necesarias? examinados o ensayados con un
No Inventario de
8 Implantación de la prevención de Plan Segur., Documentos 5 Valoración de almacén. equipo fuera de calibración /
almacen 9 Actuar sobre los suministros que
riesgos laborales en la obra. 375, Manual necesarios verificación. (ver DF.317.01)
Comparavo presenten defectos.
7 Se elige otro proveedor. de Seguridad Plan Segur.
ofertas de los
proveedores Valorada
315.01.03
9 Comprobación del funcionamiento de 6 Costes reales mes. subcontrat.,
375, 376, 375, 376,
la prevención de riesgos laborales en albaranes,
310.01.17 377, Plan de 377, 378 314.01.09
baremos, etc.
la obra. Seguridad Registros
inspección
Cuadros desfases
10 Revisión de la prevención de riesgos 7 Resultado mes obra y envío a Delegación.
laborales de la obra.
DF
314.01
375, 376,
Plan Segur.
375, 376,
Plan Segur.
Cuadros
normalizados DF.315.01 Inspección, ensayo y pruebas DF.315.02.05 Control de patrones de verificación
Traspasos de Datos básicos ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN
obras Integraciones ACTIVIDAD RESPONSABLES INFORMACIÓN INFORMACIÓN A UTILIZAR RESULTANTE
8 Integración mensual S.I.E. obras. Nº Descripción L.C. P.C.M. S.M. E.O.
Traspaso A UTILIZAR RESULTANTE
Nº Descripción E.O. LAB/RPB
Delegación
DF.700.01 Apoyo de los Servicios Técnicos a las obras DF.327.01 Planificación medioambiental 314.01.10
315.02.05
ACTIVIDAD RESPONSABLES 9 Gastos generales Delegación. 1 Idenficar los patrones de verificación

INFORMACIÓN INFORMACIÓN ACTIVIDAD RESPONSABLES DOCUMENT. DOCUMENT. ENSAYO O Listado de
A UTILIZAR RESULTANTE A UTILIZAR RESULTANTE
1 ¿La acvidad es objeto de inspección, INSPECCIÓN PRUEBAS controlados por el P.C.M.
Nº Descripción DD JO ST DTZ TD AJ Nº Descripción E.O. patrones de
de ensayo o de pruebas?
1 Comunicar a los Servicios Técnicos la Listado verificación
1 Idenficación de los aspectos DF
Proyecto 370
adjudicación de una obra 603 GBPCMA
medioambientales. 306.05 10 Tasa estructura Delegación. Listado de
2 Realizar el seguimiento y control
2 ¿Es necesario usar equipos de documental de las calibraciones de los patrones de
No No
2 ¿Se ha parcipado en el estudio o es No
inspección, medición, ensayo y verificación
3 7 0 , GBPCMA 370 patrones de verificación.
una obra importante? 2 Idenficación de los requisitos legales 11 Distribución del coste de carga financiera pruebas?
Legisl. Local,
Sí y demás requisitos aplicables a la obra Sí Sí No Listado de
Contrato, real. 3 ¿Va a caducar la calibración del
3 Establecer contacto con el Director de patrones de
desde el punto de vista Decl. Impacto 3 Realizar las actuaciones necesarias de DF DF patrón en los próximos 15 días? verificación
Delegación y/o el DTZ. medioambiental. Ambiental, control de los equipos a ulizar. (Ver 315.02 315.02 Sí
etc.
12 Resultado S.I.E. Delegación y su envío al DF.315.02) 4 ¿Dónde se encuentra el patrón de P.C.M. Obra
4 Es necesaria la parcipación de los No 3 Evaluación de los aspectos Servicio de Administración
370 370 verificación?
Servicios Técnicos Centrales antes del medioambientales idenficados. 4 Realizar las inspecciones y anotar los 351 Registro de
GBPCMA
APAT. Sí inspección
resultados. 5 Noficar la caducidad de la Noficación
13 Integración S.I.E. Delegaciones. calibración del patrón de verificación
5 Enviar información a los Servicios Proyecto 4 Definición de las actuaciones 370 370 5 ¿Los resultados son aceptables? No
Nº con 15 días de antelación.
Técnicos Centrales medioambientales a realizar: GBPCMA
• impuestas por los diferentes requisitos
Proyecto Estudio de Sí 6 Enviar el patrón de verificación al
6 Realizar el estudio encargado. aplicables a la obra, 14 Gastos generales División. 6 ¿Se subsanan las deficiencias sobre la
soluciones P.C.M.
• los que traten de prevenir/reducir los Sí
marcha?
impactos sobre el medio relacionados
7 Parcipar en el estudio previo Proyecto Estudio previo con los aspectos que hayan resultado 15 Resultado División y demás datos del No
7 Recibir el patrón de verificación.
realizado por el equipo de obra. significavos en la evaluación, Informe Económico Financiero. 7 Anotar la incidencia en el registro de Registro de Registro de
• y las voluntariamente adoptadas. inspección. inspección inspección
8 Coordinar los estudios manteniendo cumpliment.
Proyecto 8 Enviar el patrón de verificación al
una visión global de soluciones. 5 Elaboración, para todos los
370 372
352 Informes de
laboratorio de calibración.
potenciales accidentes 8 Realizar los ensayos/pruebas y
9 Realizar el APAT (ver DF.306.02 Programa de ensayos y
Proyecto 315 medioambientales , de planes de documentarlos. pruebas pruebas
Reunión de previsión de actuaciones Estudios emergencia que reflejen las medidas
técnicas). prevenvas adoptadas y las acciones a 9 Realizar el seguimiento de los Informes de Informes de 9 Recibir, calibrar y devolver el patrón Cerficado
No considerar en los momentos iniciales ensayos/pruebas. ensayos y ensayos y Calibración
315 de verificación.
10 ¿Se solicitan apoyos en el APAT, o de producirse el suceso. pruebas pruebas
posteriores a este durante la Sí
10 ¿Los resultados de los ensayos/ visados
realización de la obra? No Cerficado 356
Sí No pruebas son aceptables? 10 Recibir el patrón de verificación.
6 Calibración Equeta
Establecimiento de los objevos 370 371
11 ¿Los apoyos enen coste para la obra? medioambientales. GBPCMA 11 ¿Se abre una no conformidad? Sí
12 ¿Se aceptan las propuestas de coste? Sí Ofertas

OG
Gesón de la facturación, cobros y pagos No
aceptadas 11 ¿El patrón se encontraba en obra? No Sí
No
7 Elaboración de la documentación
necesaria.
370, 371 Documentos
necesarios (PR-FCC-530) 12 Abrir una no conformidad, incidencia
Sí
DF 12 Devolver el patrón a la obra, junto con

13 Realizar el apoyo. Proyecto 315 Documentos ambiental resolverla, y volver a Copia de
317.01 copia del cerficado de calibración. Cerficado
del apoyo 8 Seguimiento y revisión de la 370, 371 Registros de inspeccionar / ensayar / probar, en su
14 Aceptar el trabajo y, en su caso, los Calibración
planificación medioambiental de la Documentos inspección caso. (Ver DF.317.01)
costes previstos facturados. obra. necesarios 370, 371
Documentos 13 Almacenar el patrón de verificación.
DF
necesarios Actuaciones de fin de obra, antes y después de 13
Idenficar el estado de inspección y
Registros de
inspección y
Estado de
inspección y
15 Dar por finalizadas las actuaciones de ensayo.
resultados de Ensayo
apoyo.
314.01
la rerada total del equipo de obra (PR-FCC-306) 314.01.10
los ensayos y
pruebas
315.02.05

CEPSA
CEPSA’s illustration of the relationships of management system components.
Practice questions
 When reviewing the process model for your organization, are there multiple management systems?
 How are the processes integrated?
 How have you determined the relationships between the processes?
 Where are the redundancies or non‐value‐adding processes?
 How could you link requirements to your organizational processes?

1.4.2 Establishing a systems approach
Guiding questions
 How are management processes used to control your organization?
 How is the management system used to support the organization’s business activities and
processes?
Overview
To establish a systems approach, the organization needs to understand how its system works and how
success is measured. This includes an understanding of the relationship between the objectives,
processes, resources and performance measures. Once there is a clear understanding, the organization
can clearly design, implement, maintain and improve their management system.
How a system responds to issues is an indicator of the level of continual improvement and the overall
performance of the system. The concept of the systems approach is a key element when considering the
integrated use of management system standards.
Approach
The definition and analysis of the processes and their linkages provides a foundation for the
management system. Using this foundation, the organization can examine the opportunities for
synthesis of all the major components of the management system to achieve objectives more effectively
and efficiently.
Jim the Baker
A.1.4.2

Cases-In-Point
MRS
An illustration of the MRS’ “HSEQ Management System Framework”:

Centro Cerro
The Centro Cerro case study illustrates a method for a company to connect different processes and
resources across the management system, for example, from establishment of policy objectives through
planning to continual improvement. The graph below also shows responsibilities across a broad range
of activities.
Practice questions
 How do the supporting processes of your management system interact with the product and
service realization processes of your organization?
 How well are they integrated into the overall management system?
 How do they relate to the objectives, interested party requirements, and the use of resources and
other components of the management system?


Chapter 2: Management System Standards
A management system standard is a set of structured requirements that provide an organization with
the capability to meet the specific purpose of the standard, such as the establishment of environmental,
energy, information security, asset or risk management systems. These standards have different
objectives and they affect multiple interested parties.
This chapter describes the content of management system standards and their relationship with the
organization’s existing management system.
One of the most significant changes to ISO management systems standards in recent years is the
development of the High‐Level Structure (HLS) that all these standards are to be based upon. Therefore,
it is important to have a general understanding of this HLS when the organization is implementing ISO
management system standards.
The HLS provides a common structure, some common text, terms and definitions for management
system standards. For reference, the following is the clause structure taken from the HLS:
1. Scope
2. Normative references
3. Terms and definitions

4. OP-360372
ISO Store Order: Context of/ Downloaded:
the organization
2019-04-08

5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement
All ISO management system standards that are revised or written since its publication are required to
follow this structure.
This commonality may make it easier for the organization to read and understand
the management system standards. It may also make it easier for the users during
analysis and implementation of management system standard requirements
to identify their commonalities and differences.
For example, the following table shows excerpts from clause 5.1 of four ISO management system
standards with highlighted commonalities.
ISO 9001 ISO 14001 ISO 27001 ISO 45001

5.1 Leadership and 5.1 Leadership and 5.1 Leadership and 5.1 Leadership and
commitment commitment commitment commitment
“Top management shall “Top management shall “Top management shall “Top management shall
demonstrate leadership demonstrate leadership demonstrate leadership demonstrate leadership
and commitment and commitment with and commitment with and commitment
with respect to the respect to the respect to the information with respect to the
quality management environmental security management OH&S management
system by: management system by: system by: system by:
… … … …
c) ensuring the integration c) ensuring the integration c) ensuring the integration c) ensuring the integration
of the quality management of the environmental of the information security of the OH&S management
system processes and management system management system system processes and
requirements into the processes and processes and requirements into the
organization’s business requirements into the requirements into the organization’s business
processes;” organization’s business organization’s business processes;”
processes;” processes;”
It should be noted that it is not necessary, or intended, for the organization to adapt their processes or
documents to the HLS. Rather, they should follow their strategic objectives and operating processes.
The remainder of this Chapter sets out to elaborate on the purposes and objectives of standards, the
uses and needs of standards and finally the application of the standards to your management system.

2.1 Purpose and objectives of management system standards
Guiding questions
 Which standards have you deployed in your organization?
 Why are standards necessary for my organization?
 Which standards relate to the needs and expectations of interested parties?
Overview
Successful organizations understand the need to control their important activities. The primary
purpose of a management system standard is to provide a framework enabling the organization to
accomplish this objective. Another purpose is to meet the needs and expectations of the organization’s
interested parties and improve.
Approach
Management system standards provide a tool to enable a systematic and verifiable approach to
organizational control in an environment that encourages good business practices. The Survey results
show that organizations already have multiple standards deployed in their organization (see
Annex B, Q12). This highlights that organizations are using these to provide a framework for analysis
and implementation of internationally recognized good business practices. Some common
requirements of management system standards generally apply to all organizations:
 Management and employee responsibility, authority and accountability;
 Competence and awareness;
 Planning and deployment of resources;
 Internal and external communication;
 Risk evaluation and impact on objectives;
 Performance review related to organizational objectives;
 Internal audits;
 Control of documented information.
Jim the Baker
A.2.1

Cases-In-Point
Informatica El Corte Ingles
In their response to the survey, Informatica El Corte Ingles listed three implemented standards, namely
ISO 9001, ISO 20000‐1 and ISO 27001 and one regulation. Their response to the survey question: “How
did you show the relationship of your organization's processes to the requirements on an ISO or non‐
ISO MSS?” was:
“ISO 20000-1 establishes very clearly which processes you need to comply with, and the minimum
requirements for each of them.”
Tradeco
Tradeco’s response to the survey question “What external ISO or non‐ISO Standards are integrated
within your management system”:
“ISO 9001, ISO 14001 and OHAS 18001”
Plexus Corp
Plexus Corp’s response to the survey question “What external ISO or non‐ISO Standards are integrated
within your management system”:
“ISO 9001, AS9100, ISO 13485, TL9000, ISO 14001, OSHAS 18001, ATEX, IRIS, ISO 50001,”
Practice questions:
 Is the authority and responsibility of management and employees known and understood?
 Are there differences in your organizational objectives that have been developed for your deployed
standards?
 How are the requirements of these standards communicated?
 How are they monitored?
2.2 Uses and needs for management system standards
Guiding questions
 When are management system standards necessary for your organization?
 Which management system standards should you use?
 What are the risks and opportunities to integrate multiple management system requirements?

Overview
Management system standards identify requirements that are of importance because of the potential
risks to the organization. Failing to address these risks may be an obstacle to the organization’s ability
to satisfy its interested parties, and to meet its objectives.
Management system standards focus on a topic or theme that applies to a functional aspect of an
organization, such as quality, environment, safety, security and energy or to industry specific
requirements.
Management system standards tell the organization what is required, but typically do not address how
to fulfil the requirement. This is for the organization to determine.
The decision to apply a management system standard to an organization is typically determined by

customer and other interested parties’ demands, or by an organization’s internal need for systematic
control and improvement.
Organizational, interested parties or customer needs drive the implementation of management system
standards.
These decisions may include implementation of multiple management system standards. Since
individual management system standards focus on different scopes and objectives, this may lead to
separate implementation of the standards in the organization. This Handbook encourages the
integrated use of multiple management system standards.
Approach
Organizations may determine which management system standards are necessary, based on industry,
global and societal influence. For example, ISO 9001 is one of the most widely known standards for
Quality Management. ISO 14001 was developed as a standard for environmental management. There
are many other widely‐used and recognized management systems standards, including:
 ISO 37001 – Anti‐bribery,
 ISO 45001 – Occupational Health and Safety, and
 ISO 50001 – Energy management
Several industries have developed management system standards which contain requirements that are
specific to a that industry. Examples of such standards, sometimes referred to as sector specific, include:
 TL 9000 – Telecommunications,
 AS 9100 ‐ Aerospace,
 IATF 16949 – Automotive, and
 SA 8000 – Social Responsibility
The decision to choose a management system standard or to implement multiple standards is driven by
the objectives of the organization.

Jim the Baker
A.2.2
Cases-In-Point
Orbital Gas Systems
Orbital Gas Systems, operating within the infrastructure industry, responded as follows to the survey
question “What are the Standards used to achieve?”:
“Clients will not do business with us unless we have certification to ISO 9001, ISO 14001 and Achilles
UVDB Verify”
Waiward Steel
Waiward Steel, operating within the manufacturing industry, responded as follows to the survey
“At first, it was due to customer demand. Now, they are used as part of a continual improvement
platform”
Aurecon
Aurecon, operating within the engineering services industry, responded as follows to the survey
“Standardisation across the business and implement continuous improvements”
Practice questions
 Where is the demand for a management system standard coming from?
 How will application of a management system standard improve business value?
 How will application of a standard help your organization to meet interested parties’ needs?

2.3 Application of management system standard requirements
2.3.1 Relationships of management system standard requirements to the organization’s

management system
Guiding questions
 What management system standard requirements are important to your organization?
 What is the effect of the requirements on your organization?
 How do the requirements affect the efficiency of your organization?
Overview
Typically, there are two primary reasons why organizations choose to implement management system
standards:
 The organization is confronted with a specific request by an interested party;
 For improvement and in anticipation of future interested parties’ demand.
An organization needs to understand:
 how its business needs relate to the requirements of the management system standard,
 how the organization’s existing management system addresses them, and
 which interested parties are affected.
It is up to the organization to determine the level of importance of the standard to its specific business
or function.
Approach
There are different ways to approach how standards’ requirements are applied. They all have several
things in common including an understanding of:
 The purpose of the requirement;
 The internal areas affected by the requirement;
 The external interested parties who affect the requirement.
The Survey results illustrate how different organizations looked at their own needs and implemented
specific management system standards to address them.
Jim the Baker
A.2.3.1 ISO Store Order: OP-360372 / Downloaded: 2019-04-08

Cases-In-Point
Waiward Steel
Waiward Steel responded as follows to the survey question “How did you show the relationship of your
organization's processes to the requirements on an ISO or non‐ISO MSS?”:
“We established an IMS Manual”
SunPower Corporation
SunPower Corporation’s response to the survey question “How did you show the relationship of your
“Requirements are built into the EHSQ Manual sections and the high-level processes are cross referenced
in appropriate sections”
MRS
A description related to the management system standards from the MRS’ “HSE Management System”
document.
“3.2 HSEQ Standards

The HSEQ standards are subordinate to the core and process elements and other documents such as
procedures, instructions, forms and registers will be developed relevant to each specific standard.”
Practice questions
 What is the impact of standards on your organization’s management system?
 What part of your organization is responsible for implementation?
 Who are the interested parties?
 What functions are affected?
 What is the relationship of the standard requirements to the functions and the interested parties?
2.3.2 Implementation of management system standard requirements
Guiding questions
 What are the requirements of the standards?
 How are the requirements stated in the standards?
 How are these requirements met by your organization?
 Who is responsible for implementation and maintenance of requirements in your organization?


Overview
Many management system standards requirements are related to the organizational structure, such as,
leadership, commitment, provision of resources, communication and interactions between the
processes and specific activities associated with the processes. A typical approach of an organization is
to assign process owners to understand this relationship and performance of their processes and the
management system standards.
Approach
The requirements are stated in general terms such as “the organization shall” or “top management
shall”. They refer to actions that must be taken by management, or must be included in the processes,
for example:
 “The organization shall define the criteria and scope of each audit”. The process owner needs
to include this task in the process and ensure the audit criteria and scope are defined for each audit.
 “The organization shall retain documented information on the management system

objectives”. The process owner needs to include this task in the process and ensure that
management system objectives are documented and retained.
The results of the Survey illustrate the ability of organizations to utilize the High Level Structure as a
means to understand and map the requirements across multiple standards without necessarily
requiring a change to the overall content of their management system (see Annex B, Q13).
Jim the Baker
A.2.3.2
Cases-In-Point
Aurecon
Aurecon’s response to the survey question: “How did you show the relationship of your organization's
processes to the requirements on an ISO or non‐ISO MSS?”:
“We have a mapping document that lists the ISO MSS requirements and then links to the relevant sections
of our methodology”
Waiward Steel
An excerpt from Waiward’s “IMS Manual”, the “Foreword” section:

“The integrated management system (‘IMS’) is based on the following standards:

 ISO 9001:2015 Quality Management Systems;
 ISO 14001:2004 Environmental Management Systems;
 BS OHSAS 18001:2007 Occupational Health and Safety Management Systems;
 Manufacturers’ Health and Safety Association Certificate of Recognition / MHSA COR Health and
Safety Management System;
 Alberta Construction and Safety Association Certificate of Recognition / ASCA COR Health and Safety
Management System.
 AISC 201-06 Standard for Steel Building Structures”
UNAM
Excerpts from “stages 3 to 4” of the “Plan for the Implementation of a Quality Management System” of the
Metrology Unit (MU) of the Faculty of Chemistry at UNAM.
“Stage 3. Definition and analysis of the processes

Once confirmed the need to establish a quality system, it was decided to use as basis two standards:
NMX-CC-9001-IMNC-2008 and NMX-EC-17025-IMNC-2006. (…)
Stage 4. Construction of the philosophical elements of support to the management system

Definition of policies, vision, mission and quality objectives of the MU. The definition of this base allowed
to establish the essence of the MU, as well as its future visualization.”
Practice questions
 Are the processes of your organization identified?
 Does each process have an owner?
 Does the owner of each process have authority and responsibility for process performance?
 Are associated tasks and activities clearly defined?
 Who is responsible for task performance?
 How is it monitored and reported?

Chapter 3: Integration of Management System Standard Requirements into

the Management System
Figure 4: Chapter content diagram
The methodology utilized by an organization to make decisions and manage its resources is often
referred to as a management system. A management system exists in every organization or enterprise.
Some management systems are well defined and understood, and others are not.
Management system standards and the related requirements will impact an organization’s management
system. The impact of such requirements may be large or minimal depending on the level of
implementation and compliance by the organization. In other words, the extent to which an
organization meets the requirements may vary.
In recent years, organizational needs and interested parties’ demands have increased the necessity to
utilize multiple management system standards. Often the organization is faced with the challenge of
implementation. Individually implementing each standard is one approach. This singular approach
tends to isolate each standard through implementation by functional areas, such as purchasing,
customer service, quality or production, in the organization. Such an approach may then lead to sub‐
optimization of the management system.
A more effective and efficient approach for an organization is to integrate the requirements of multiple
standards into the management system. In this way, the organization cross‐functionally considers the
impact of the multiple standards and related requirements. Furthermore, the total organization,
including its infrastructure, product and service realization processes, support processes, and
interested parties, is considered during the implementation.
The purpose of this chapter is to provide guidance, benefits, challenges, and examples for organizations
to consider in implementing multiple standard requirements through an integrated approach.

Although organizations referenced in this chapter are diverse, the important theme connecting all of
them is the successful implementation and organizational value achieved by utilizing an integrated
approach in the implementation. Two points learned from these examples and practices are:
 Integration is the process of unifying requirements of multiple standards into an organization’s

overall management system;
 The result of integration is a single integrated management system that meets the requirements of
multiple standards.
This integration can be done as a project or a series of projects, with each project referring to an
implementation of one or more standards and the integration of the related requirements into one
integrated management system. Examples of integration projects with different scenarios are shown in
Table 3‐1.
Table 3-1: Scenarios and examples of integration projects
Example
Scenario The organization The organization
has… wants to…
(1) Integrating the use of multiple MSSs that have … ISO 9001 and ISO 14001 … integrate the use of
already been implemented in the organization implemented separately ISO 9001 and ISO 14001
separately
(2) Implementation of (a) a previously‐ … ISO 27001 implemented … implement ISO 14001
a new MSS and implemented MSS
integration of its
requirements into (b) separately‐ … AS 9100 and ISO 14001 … implement ISO 45001
the MS with: implemented multiple implemented separately
MSSs
(c) an already‐integrated … the requirements of … add ISO 45001
use of multiple MSSs ISO 9001 and ISO 14001
integrated into its MS
(3) Implementation of (a) not previously‐ … not implemented any … implement IATF 16949,
new multiple MSSs implemented MSSs MSSs AS9100, ISO 45001,
and the integration of ISO 50001 and ISO 55001
their requirements
into the MS with: (b) a previously‐ … ISO 22000 implemented … implement ISO 14001
implemented MSS and ISO 45001
(c) separately‐ … ISO 50001 and … implement ISO 27001
implemented multiple ISO 14001 implemented and 45001
MSSs separately
(d) an already‐integrated … the requirements of … implement ISO 28000
use of multiple MSSs ISO 9001 and ISO 14001 and 45001
integrated into its MS
Figure 3‐1 shows a flowchart of a generic outline for integration. An integration project can follow the
steps illustrated in the flowchart. Once that integration project is completed, lessons learned from it can
be used in a subsequent integration project.

Figure 3-1: Integration outline
Whilst there are many ways in which an integration project may be managed, Chapter 3 is organized
according to the steps in Figure 3‐1.

3.1 Lead the integration
Guiding questions
 How does the organization take the decision to integrate?
 What is the importance of leadership in the decision process?
 What are the business case considerations for the integration?
Overview
The leadership decision to integrate can be based on various attributes, such as the organizational need,
strategic or operational necessity, and maturity in implementing management system standards.
Understanding the standards’ requirements, realizing the benefits, and considering the consequences
for the organization are also important for this decision and for the direction taken in the integration
process.
The timing of the management decision to take an integrated approach can vary among organizations
(see Table 3.1). Some organizations establish this commitment before they implement any standards at
all (e.g., scenario 3a). Others see the opportunity for integration after dealing with the updated
requirements of an already implemented standard. In some of these organizations, the integration
decision can take place after applying a sector‐specific standard on top of an established, generic
management system standard. The integration decision can also come at the time when a new standard
affects an additional organizational function (e.g., scenario 3c) or focuses on another interested party
(e.g., scenario 3b).
The process of integrating new standards within an organization may not only be a strategic issue, but
also an operational necessity. There is no suggestion here that there is a right or wrong approach.
Typically, interested party requirements or a perceived organizational need is the underpinning reason
for adopting a standard. In many cases, multiple standards are necessary to meet these requirements or
needs and efficiency and effectiveness of implementation are the drivers for an integrated approach.
Understanding the current reality or situation of the organization compared to the perceived objective
is important in determining strategy. The decision by the organization’s leadership provides the policy,
direction and enablers, including planning, resources, accountability, monitoring and communications.
Approach
Important issues that can be considered in the leadership’s integration decision include context,
objectives, interested parties’ needs and expectations, strategy and tactical initiatives. Additionally, the
key aspects of the decision to use an integrated approach will generally include:
 Justification (proof of the need for integration);
 Risks and opportunities (advantages/challenges of integration);
 Direction (decision made/policy regarding integration).
The survey results and case examples demonstrate a common theme of benefits to support an
integrated approach to implementing multiple management system standards requirements (see
Annex B, Q22).

The ultimate benefit appears to be the development of the organization’s capacity to have a systematic
integration process capable of absorbing any changed or new requirement in a standard, or that
received from the customer/interested parties. Additional benefits to the organization include
eliminating redundancy, establishing consistency in approach, reducing bureaucracy, strengthening
accountability, optimizing processes and resources, reducing maintenance of the management system,
consolidation of assessments, reducing costs, facilitating decision‐making and improving performance
(see Table 3‐2).
Table 3-2: Integration benefits
Benefit Explanation
Eliminating An integrated approach to implementing multiple management system standards can result
redundancies in common or single management system components, i.e., policies and objectives, processes
and resources. Examples include single procedures in areas such as training, document
control, management reviews, internal audits and improvement. Although the management
system standards requirements may have a common intent and meaning, they may be
expressed in different words. If the organization’s underlying approach is consistent in
understanding the intent and comparing the requirements to its processes, the results can be
a more effective and efficient management system. Relating new management system
standards to those already implemented in the organization should avoid creating multiple
documents or procedures or adding new resources.
Establish Using an integrated approach facilitates the consistency of the management system. The
consistency system is now less complicated and is better understood by everyone in the organization.
There is improved focus on achieving a common set of objectives that are important to the
organization.
Consistency is reflected in:
 Communications of policy and direction
 Decision making
 Setting organizational priorities
 Measurement and monitoring
 Utilization of resources
 Implementing processes, procedures and practices.
This approach provides a consistent framework for use at all levels, functions and locations
of the organization.
Reducing The idea of reducing bureaucracy is closely related to eliminating redundancy. The
bureaucracy proliferation of multiple MSSs can create a management dilemma for organizations
attempting to streamline decision‐making or reduce layers in the hierarchy. A systematic
approach with processes that can accommodate or absorb any change or new requirements
represents added value to the organization in reducing bureaucracy. Establishing process
owners with cross‐functional teams having assigned responsibility and accountability is an
effective approach to breaking down barriers to decision making and deployment.
Strengthening Another effect of integrating management system objectives, processes and resources can be
accountability improvement in accountability.
Reducing costs Reducing maintenance, consolidation of audits and assessments, as well as the optimization
of processes and resources can contribute to reducing costs.

Benefit Explanation
Optimization of Management system standard requirements do not have to be an added load to the
processes and organization, but rather can be a wheel to drive customer, interested parties and the
resources organization’s requirements smoothly and effectively into the organization’s processes.
Resources can be optimized because they are now focused on process implementation and
adding value rather than additional system maintenance. Innovation is enhanced as the
organization learns more about itself and compares its infrastructure to the requirements of
the standards. Optimization is achieved where there is, for example, a common process for
identification of requirements or management review instead of one for each standard, or
usage of consolidated resources for training.
Reducing Maintenance refers to ensuring compliance and upholding the intent of management system
maintenance standard requirements. Compliance with multiple standards needs to be maintained
concurrently. An integrated approach streamlines the process, allowing an organization to
focus its improvement efforts rather than maintaining multiple individual systems. This is
particularly important in the maintenance of information systems. Another example is
maintaining a single internal auditing procedure and as part of the integrated approach
versus individual procedures for each standard.
Consolidation of When there is an integrated management system as the foundation, the organization can
audits and consolidate internal audits and/or assessments. As a result, there is less work interruption
assessments and potentially less time needed for internal audits or assessments. Interrelationships
among the processes are better understood and managed, which can lead to more in‐depth
audits or assessments. Separate management system audits or assessments drive a
functional response to the findings and often those findings do not identify linkages between
processes. With the integrated approach, management system audits and/or assessments
place the linkages of processes as a high priority and often identify critical system failures.
Facilitating By eliminating redundancy and establishing consistency, the organization has a more
decision making complete view of the functional needs and performance of the business. This integrated
approach enables the organization to break down functional and department barriers to
improve communication and decision making.
Improving Integrated use of management system standards can have a positive impact on specific
performance management system components and outcomes, such as quality, safety, risk, and
productivity.
Jim the Baker
A.3.1
Cases-In-Point
Bosch
Bosch decided to integrate after management system standards had been implemented.
Waiward Steel
Waiward Steel leadership team described within their IMS Policy Manual, the reason for rationalizing
multiple management system standards as critical to their service delivery strategy.
“Waiward has integrated its existing Health, Safety, Environmental and Quality management systems in one
coherent Integrated Management System (IMS)... It makes good business sense to have a single integrated
management system to better manage ISO and
Storeimplement our HSEQ
Order: OP-360372 policy,2019-04-08
/ Downloaded: objectives and obligations.”

Orbital
Orbital’s response to the survey question: “What are the Standards used to achieve?”
“Clients will not do business with us unless we have certification to ISO 9001, ISO 14001 and Achilles
UVDB Verify”
Practice questions
 Where are the opportunities and synergies in your organization to achieve real benefits?
 What are the key issues that leads to significant costs?
 How do the key issues result in significant costs?
 What is the hierarchy in terms of priorities?
3.2 Determine the scope of integration
Guiding questions
 Which standards will be implemented?
 In what order will the standards be implemented?
 How will the integration affect organizational functions and the management system?
 How strongly, or to what depth in the organization will different components of the management
system be integrated?
Overview
Upon making the decision and ensuring the commitment to integrate the requirements of multiple
standards into the management system, the organization’s top management commonly establishes the
scope of the integration process. This involves identifying the specific standards to be implemented and
the related timing and other issues, as well as determining the impact of integration on the existing
management system.
Case study organizations featured in this Handbook have applied different standards, in different
orders, with differing levels of integration among processes, objectives and resources used in their
management systems. This illustrates a wide variety of possibilities in the selection of the most
appropriate scope of integration for each organization.
The choice of the specific standards to be implemented in an integrated manner, and the
implementation sequence, depends on many issues, including organizational priorities and interested
parties’ demands. There are situations in which organizations must react to interested parties’ requests
to comply with their requirements for certain standards and therefore implement these first.

On the other hand, an internal proactive quest for an improved performance in a functional area or
overall in the organization can also lead to the application of management system standards. The case
examples also show that organizations have embarked on integration due to their internal needs for
better effectiveness and efficiency, without specific interested parties’ pressures.
In addition, the organizational aspects of integration need to be determined at this point, including the
specific objectives, processes and resources of the management system selected for integration, the
strength of such unification in each case, and the hierarchical levels, products and locations impacted by
the integration. Some organizations may opt for a complete integration in all management system
components. Others may choose a less rigorous approach.
Approach
Identification of the drivers for the implementation of new standards involves recognizing the external
issues and operating environment. In addition, the organization needs to examine its internal
mechanisms that may demand or create the opportunity for implementation.
Some of these drivers can result from the influence of one or more of the following factors:
 Customer requirements: expectation, need or market opportunity,
 Internal need or value to the organization: opportunity to improve efficiency or effectiveness of the
organization,
 Regulation: new or existing legislative or administrative demands from regulatory bodies or

government agencies requiring or recommending compliance.
Questions such as the following can assist the organization in determining the impact of integration on
its management system (see Annex B, Q12.1, Q12.3, Q21, Q31 and Q32):
 Who will be impacted by the integration?
 What are the conditions, organizational areas and processes involved?
 What documented information will be integrated?
 How will the resources for the integrated and function‐specific processes be provided, including
financing?
 What parts of the organization will be impacted by the integration?
 Which locations and products will be impacted?
 When will integration be implemented and accomplished?
Depending on the size of the organization and the scope of its management system, the implementation
may be done incrementally or organization‐wide immediately.

Jim the Baker
A.3.2
Cases-In-Point
Reliance Hexham
Reliance Hexham implemented three standards, namely ISO 9001, ISO 14001 and the Australian/New
Zealand standard for occupational health and safety (AS/NZS 4801). Their response to the survey
question: “In what sequence did you implement the standards?” was:
“9001, 4801, 14001”
FCC
In their response to the survey, FCC listed 13 implemented standards being ISO 9001, ISO 14001 and
ISO 50001, as well as sector‐specific and national standards, for example UNE 166001 (innovation,
research and development). Their response to the survey question: “In what sequence did you
implement the standards?” was:
“9001, 14001, Madrid Exelente, 18001, 10005, 166001 R&D, 14064-1 GHG, 27001, 31000, 50001, 139803,
17001, 73401, 15896”
CEPSA
CEPSA’s response to the survey question “What external ISO or non‐ISO Standards are integrated within
your management system”:
“Standards (list):
 ISO 9001; ISO 14001; ISO/TS 16949; ISO 50001.
In addition (not integrated with previous): OHSAS 18001 (developed in all our facilities); FSSC 22000
(ISO 22000); ISO 17027 (Laboratories), ISCC/RBSA (Sustainability of biofuels), EFR (Family-friendly
company), SIGES (Healthy company)
Regulations (list):
EMAS, PECAL 2120 (Spanish Defense Ministry), Quality of service and environmental performance in
Maritime Terminals (Spanish State Ports), EN-13924/EN-12591/EN-13808/EN-14023 (Asphalt CE
Marking)
In what sequence, did you use standards?

1st priority: OHSAS 18001/ISO 9001/ISO 14001
2nd priority: ISO 50001, EMAS, ISO/TS 16949, PECAL, Maritime Terminals, ISCC/RBSA, Asphalt CE
marking
3rd priority: (the rest)”

Practice questions
 Which standards will be integrated and where will you start?
 Where in your organization would it be appropriate to apply them?
 How many people are needed on the team?
 What other resources are needed?
 How long will it take?
3.3 Plan the integration
Guiding questions
 How can project planning be used to launch and manage the integration?
 What are the elements of a project plan for the integration?
 How – where – when – by whom will the integration be accomplished?
Overview
Once the organization has established the scope, it needs to plan for the integration, including the
related risks and opportunities. Although there are many ways to successfully accomplish this,
organizations have had success using a project approach to integration. This approach is advantageous
for organizations regardless of their integration maturity.
For instance, organizations that are just embarking on the integration process can get started more
effectively and efficiently if they undertake a project to unify the application of the existing management
system standards. On the other hand, organizations that have already accomplished integration can also
use this approach to apply new standards into their integrated management system.
Approach
The typical characteristics of a successful project plan include:
 Owner: Who owns the project? An identified individual(s), from the organization, who is
responsible for launching and implementing the project.
 Project committee: A cross‐functional team made up of individuals having the skills, knowledge and
availability to complete the work.
 Project leader: This should be someone with experience of improvement projects. This may or may
not be the same person as the owner.
 Communication strategy: Organizational awareness and consistency with strategic direction. The
way an organization communicates depends on issues such as the organizational structure, number
of employees, and number and location of sites.

 Risks and opportunities: Related to the integration project.
 Resources: Including competent personnel and appropriate facilities, access to systems,

information, supporting materials and equipment.
 Integration activities: The detailed steps, with assigned roles and responsibilities, and a timeline
required to realize project objectives. The steps provided in this Chapter and the corresponding
sections are listed below.
o Define or design the management system model that will accommodate the scope of
integration. [Subsection 3.4.1]
o Structure or configure the standards requirements to be integrated into the management

system, for example the common versus the unique. [Subsection 3.4.2]
o Map or link the standards requirements against the organization’s defined management system
(processes). [Subsection 3.4.3]
o Analyze gaps including identifying the level of conformity and integration or the absence of the
organization’s processes to meet requirements. [Subsection 3.5.1]
o Close gaps: [Subsection 3.5.2]
 Is a new process/procedure required?

Integrate it into the organization’s management system
 Does an existing process/procedure need to be modified?

Assure consistency in the organization’s management system
 Are there implementation or integration failures, including a lack of understanding?

Corrective action should be focused on how the organization’s management system can be
impacted or improved.
o Verify that the gap closure is working. [Subsection 3.5.3]

Monitor the effectiveness of the corrective action.
o Measure, monitor, and continually improve by determining the key process indicators and
reviewing performance and progress. Management review is critical in tracking progress and
making plan/policy adjustments. [Section 3.6]
o Focus on learning by identifying and realizing opportunities for more effective and efficient
integration. [Section 3.7]
Jim the Baker
A.3.3

Cases-In-Point
Waiward Steel
Waiward’s description of activities related to integration planning:
“● Waiward's COO, the senior manager championing the move to an IMS, initially set the company on
this path to eliminate waste in terms of overlapping MSSs, and to make Waiward more competitive;
● By the time Waiward started down the path toward an IMS, the company was certified to ISO 9001
for many years, Alberta Manufacturers Health and Safety Association's COR, and the Alberta
Construction Safety Association COR;
● The plan was to integrate these three management systems (and their MSSs) with an IMS compliant
with OHSAS 18001 and ISO 14001;
● The COO gave the responsibility for executing this work to our IMS Team, under the direction of the
Corporate HSEQ Manager;”
Reliance Hexham
An excerpt from the Reliance Hexham’s response to the survey question “What have been the benefits
of integrating?”:
“(…) updating to integration with the new standards and high-level structure will streamline the system.”
UNAM
A laboratory at UNAM used the following ten “stages” for integration:
“Stage 1. To make the commitment

Stage 2. Analysis of the situation
Stage 3. Definition and analysis of the processes
Stage 4. Construction of the philosophical elements of support to the management system
Stage 5. Documentation of system elements
Stage 6. Training, dissemination and understanding of the system
Stage 7. Implementation of the quality system elements
Stage 8. Validation of the implementation
Stage 9. Quality assurance
Stage 10. Obtaining certification and accreditation”
Practice questions
 What is your plan to accomplish the integration?
 Where do the resources come from?
 Who will lead this project?


 What are the elements of your project plan?
 What specific problems can be solved?
 To whom will the plan be communicated?
3.4 Connect the management system standard requirements and the organization’s
management system
3.4.1 Structure the management system
Guiding questions
 Which model is appropriate for your organization?
 How are management system processes, resources and objectives organized to integrate
management system standard requirements?
 What tools are used to adapt the organization’s management system to achieve compliance with a
specific management system standard?
Overview
The first step in linking standards’ requirements with the organization’s management system is to
consider the relationships among the different processes, resources and objectives of the organization.
This involves understanding the connection of the product and service realization processes with the
support processes, as well as with the needs of interested parties. Using this understanding,
organizations can consolidate the standards’ requirements into their management system.
The management system structure established above provides the foundation for defining and
documenting the management system. In addition, the relationship of the standards to the
organization’s management system can be described using this structure. The processes, resources and
objectives can be addressed in the corresponding procedures and other documents. Cases in point given
in this section illustrate how different organizations described and documented their management
system.
Approach
Each organization can structure its management system in its own unique way. Some organizations
develop “integrated management system models” by adapting or combining different models or
approaches that exist in specific standards. Two such examples are the “Process Approach” or the
“Plan‐Do‐Check‐Act Cycle” approach of ISO 9001 and ISO 14001. Others have comprehended their
management systems with the help of process maps, which they subsequently used to connect different
standard requirements. Common to all the featured cases in point is that they all used a structured,
single management system as the basis for integration. However, there were variations in how the
organizations achieved a single management system. The most important point is that all the
approaches were driven by the understanding and focus on the underlying system of the organization.
An organization manages its activities, resources and objectives through a set of interrelated processes.
The organization can address the requirements of multiple standards by relating and connecting them
with this integrated arrangement of processes. In many cases, the relationship was defined by mapping

the requirements against the organization’s processes, i.e. the underlying system. Because the product
and service realization processes represent the essential backbone of the management system, they are
also commonly used as the basis for integration. Various case studies illustrate the use of the process
approach in integration.
Jim the Baker
A.3.4.1
Cases-In-Point
UNAM
An illustration of the management system structure at a laboratory at UNAM:

CEPSA
An illustration of CEPSA’s management system structure in the managing of occupational health and
safety, environment, quality and energy (HSEQE) is provided below. The organization of the CEPSA
system details four key components of the management system and illustrates the interrelationships
between these components and their processes. Specifically, CEPSA have detailed their management
system to include their ‘management responsibility’ (objectives), ‘product realization’ (processes),
‘resource management’ (resources) and ‘measurement, analysis and improvement’ (performance
feedback).

FCC Construction
An illustration of eight groups of processes within the management system of FCC Construction:
Practice questions
 How is your management system structured?
 Does the current management system include any requirements from standards?
 How would you integrate multiple standard requirements into your organization?
 What structure of your MS would enable an integrated approach?
 Are there changes needed in the current structure to accomplish integration?
3.4.2 Structure management system standard requirements
Guiding questions
 How can the management system standard requirements be analyzed for commonalities?
 Can some specific standard requirements be unified?
 How can requirements that have commonalities but are not identical be integrated?
Overview
After identifying the management system structure, organizations need to analyze the management
system standard requirements to be integrated. These requirements may come from one or more
standards.

The analysis of standard requirements is accomplished by first comparing the requirements of any new
standard with the requirements that are already established in the management system. Subsequently,
the requirements found to share the purpose, meaning and content are fitted into the management
system (e.g., objectives, internal auditing and management review).
These requirements may be found under the same clause titles for ISO management system standards
(see ISO/IEC Directives Part 1, Clause SL.9).
Requirements that are deemed specific to the standard also need to be addressed and included in the
management system (for example, requirements from 7.1.6 “Organizational knowledge” in ISO 9001,
4.4.5 “Energy Performance indicators” in ISO 50001, and 8.3 “Outsourcing” in ISO 55001).
Each time a new standard is implemented or changed, the organization needs to analyze the
requirements for commonalities and incorporate them into the management system. Integration of new
or changed requirements can bring changes in the processes, resources and objectives of the
management system. However, this does not change the underlying structure of the management
system.
The identification of commonalities and unique requirements provides an effective and efficient
approach to integration. The question the organization needs to answer during its analysis is whether it
has processes that address common requirements as well as those that are unique or specific. Analysis
of the commonalities allows the organization to improve efficiency and eliminate redundancy. Analysis
of specific or unique requirements assures that the organization also has processes in place to address
and incorporate these.
Approach
Organizations have applied different methods to structure management system standard requirements.
Generally, the following steps can be used:
 Understand the standard to be implemented in the organization, including its purpose, application,
context and content.
 Determine the requirements that will be applied in the organization.
 Determine the commonalities of requirements in the multiple standards to be incorporated. The

requirements that are presented in the clauses of standards with similar, common or identical titles
may provide a starting point for the identification of commonalities.
 Adopt a method of harmonizing requirements that are common in intent but not identical in
content. Where there are differences, the organization needs to decide to incorporate either the
most comprehensive or the minimum shared level of detail as the basis to integrate the
requirements.
 Incorporate the requirements found to have commonalities into the management system structure.
 List the requirements specific to the organizational function or area covered by the standard.
 Connect and incorporate the identified specific requirements into the management system
structure.

Jim the Baker
A.3.4.2
Cases-In-Point
Plexus Corp
Plexus uses a “Standard to Standard Comparison Tool” to analyze commonalities between the
requirements of management system standards.
Informatica El Corte Ingles
Informatica El Corte Ingles’ response to the survey question “What lessons were learnt or challenges
found integrating your management systems?”:
“Before Annex SL, you had to be cautious in considering every single req. from each standard included in
the integrated MS. At the end, you must comply with the requirements of the most strict standard (in our
case ISO 27001)”
UNAM
UNAM showed the correlation between the requirements of standards and the management system
“activities”, including the people “responsible”, the timeline, the “communication way” and “deliverables”,
in their plan.

Practice questions
 What are the management system standard requirements that need to be applied in your
organization?
 How do you determine commonalities with the requirements from existing standards or new
standards to be implemented?
 How will the organization incorporate requirements that have commonalities?
 Which requirements are specific to the organizational area or function addressed in the standard?
 How are they to be incorporated into the management system?
3.4.3 Map management system standard requirements against the management system
Guiding questions
 How do the standard requirements connect to or fit into your organization’s existing management
system?
 How do the standard requirements impact your organization’s processes, resources and objectives?
 What integration opportunities that can be identified from the mapping?

Overview
The challenge for the organization is to understand how the standard requirements fit into its
management system. A further question to be answered is where value can be added by modifying the
management system to accommodate the standard. It is therefore necessary to analyze the standard
requirements against the management system processes, resources and objectives. This analysis is
called mapping. Mapping is useful in eliminating the creation of separate standard‐focused systems in
the organization, minimizes unnecessary redundancies and maximizes synergy.
The mapping of standard requirements against the organization’s management system should be
performed every time a new standard is integrated into the organization. This step is equally useful to
all organizations, regardless of the maturity of their integration activities or the scope of integration. In
situations where the requirements of two or more standards are being integrated at the same time,
mapping provides an efficient approach by focusing on the determination of commonalities among
these standards and their unification into the single set of processes of the organization’s management
system.
The examples show that where organizations had separate management systems to address the
requirements of multiple standards, use of mapping enabled them to identify the overlaps. Because
mapping makes it easier to comprehend and integrate the requirements of additional standards, it is
also beneficial for the organizations with only one implemented standard, as well as for those having
already integrated the requirements of multiple standards into the organization’s management system.
Organizations can start from different perspectives and objectives. Generally, organizational processes
drive the mapping, with similar results as to the value provided to the organization. The focus should be
on:
 Detecting non‐value‐adding processes
 Identifying redundancies in the processes
 Determining the minimum processes needed by identifying the ones necessary to:
o Satisfy standard requirements, and
o Do business
 Establishing the level of commonality in standard requirements
 Considering whether new standard requirements:
o Are already covered in the existing processes
o Can be addressed with an adaptation of existing processes
o Require an addition of new processes
 Analyzing the possibilities for further integration of standard requirements into the organization’s
management system.

Approach
Many methods exist for the mapping of the requirements of management system standards against the
management system of the organization. Each organization featured in the handbook has selected the
approach that they determined to be the most suitable, depending on its situation and integration
objectives (see Annex B, Q17).
Some organizations have used the matrix approach. This technique involves placing the requirements
of the standards to be incorporated in the organization against the management system in a matrix, and
subsequently denoting the relationship between each requirement and each component of the
management system.
Others have linked these two by overlaying the common requirements on top of the management
system structure and then linking the specific requirements with the corresponding components of the
management system.
Regardless of the approach used, organizations have performed this mapping to identify the impact of
the requirements on the management system, and to integrate them more effectively and efficiently.
As an example, a matrix approach for mapping Management System Standard (MSS) requirements
against the processes of the Management System (MS) is shown in Figure 3‐2. Such mapping requires
knowledge of both the requirements and the organization’s processes. This often demands
collaboration through input and judgment of the process owners. It is particularly important to
determine the possibilities for integration in both the requirements and the impacted processes. The
matrix can subsequently be used as a tool to assess the current state of the organization’s management
system in applying either new or existing standard requirements.
The horizontal strip on the matrix below refers to a listing of requirements that have commonalities
and that impact the same or similar processes.
The vertical strip relates to the identification of processes, procedures and other resources that are
truly necessary versus those that are redundant.
For an example of a matrix, see Figure 3‐2.


Figure 3-2: Matrix approach for mapping MSS requirements against the MS processes
Jim the Baker

168B
A.3.4.3
95H
Cases-In-Point
169B
Sunpower Corporation
SunPower Corporation’s response to the survey question: “How did you show the relationship of your
“Requirements are built into the EHSQ Manual sections and the high-level processes are cross referenced
in appropriate sections”


FCC Construction
An example from FCC Construction’s approach of mapping standards requirements against their
management system:
Waiward Steel
Waiward showed the correlation between the requirements of standards and the management system
components in the sections of their “Integrated Management Systems Manual”.
Practice questions
 When reviewing your organization’s processes, resources and objectives against the requirements
of a single standard first and then multiple standards, where do you find integration opportunities?
 When reviewing standard requirements that have commonalities, how are these requirements
being met in your organization’s processes, resources and objectives?
 Following the question above, what is the degree of integration among different organizational
functions that are impacted by the commonalities?
 When reviewing requirements specific to a standard, which process would be impacted?
 Following the question above, are new processes needed, and if so, how can your organization best
integrate these requirements into their management system?

3.5 Incorporate the management system standard requirements into the organization’s
management system
3.5.1 Identify and analyze gaps
Guiding questions
 Are there standard requirements that are not addressed by the organization’s management
system?
 Where are the gaps between the standard requirements and the management system?
 What is the extent of any gaps?
 What is the extent of actions needed to achieve compliance and more effective integration?
Overview
The previous section demonstrated how mapping established linkages of the organization’s
management system with the corresponding standard requirements. The next step is to identify and
understand the extent of the differences between the existing management system and the
requirements given in the standards. Such gaps can be eliminated later with appropriate policy,
process, procedure or practice. It is also important to assess the level of integration accomplished once
the requirements have been incorporated into the organization. Following this analysis, it will be
possible to further minimize redundancies and unnecessary activities and resources.
Gap identification and analysis is a comparison of multiple sets of standard requirements against the
management system of the organization. This includes an understanding of the organization’s defined
processes, resources and objectives, and to what extent they comply with the requirements. For
example, there may be documented information that addresses the standard requirement, but its
implementation has not been effective or cannot be demonstrated. Identifying and analyzing gaps can
also provide important feedback relative to the extent and effectiveness of an integrated approach in an
organization’s management system. For example, there may be duplication in processes that are
impacted by the same standard requirement.
Understanding and analyzing the processes, including the related resources and objectives of the
organization, is the first important step. The next step is to compare the standard requirements with
the organization’s product and service realization processes, in addition to their support and other
processes, to understand their impact and related risks and opportunities. This can be achieved by
using a variety of tools and techniques, including matrix diagrams.
The gap analysis is a key step in the integrated approach because it allows the organization to adopt any
new or changed requirements. This is regardless of whether the requirement comes from the interested
parties or a standard.
Approach
Organizations can have different levels of compliance with the related requirements of one or more
standards. For example, ISO 9001 and ISO 14001 require that documented information be created and
retained to monitor quality and environmental performance, respectively. An organization may find
that it has a variation in the compliance levels for the documented information related to the

environment, compared to such information with respect to quality, based on Clause 7.5.3, “Control of
documented information” of ISO 14001 and ISO 9001, respectively.
A gap analysis can help answer some important questions. Is there an organizational practice to address
control of documented information, particularly for quality or environment? To what extent is the
documentation practice compliant with the organization’s objective to meet the requirements of
ISO 9001 and 14001? An organization may utilize an integrated internal audit to help identify the gaps
in their practice related to these standard requirements.
An organization should identify and analyze gaps each time a new standard or other requirement is
introduced in the organization. If two or more standards are being incorporated at the same time, the
organization can take an integrated approach and perform a common or joint gap analysis against
multiple sets of requirements.
The organization’s defined processes and their relationships to the management system standard
requirements are critical inputs in gap identification and analysis. In addition, other inputs may include
management system documentation, a matrix of management system standard requirements and a gap
analysis plan. The identification and analysis of gaps is not an easy task because it requires skills and
collaboration across the organization for agreement on the defined processes and the relative impact of
the management system standard requirements.
It is possible for an organization to individually adopt or incorporate the requirements of standards into
its management system and perform a gap analysis. A more effective and efficient manner is to do this
through an integrated systems approach.
The gap analysis essentially follows the steps that are relevant to typical management system audits
and self‐ assessments:
1. Identify and understand management system standards requirements.
2. Collect and verify information regarding the management system.
3. Compare the management system information with the requirements for evidence of compliance.
4. Identify the opportunities for integration, including overlaps and synergies:
(a) across the requirements from different standards, and
(b) across the different components of the management system (e.g., processes, resources and
objectives).
The output of a gap analysis is a report of the findings from steps 3 and 4 above, either is a summary or
a detailed form.
A summary gap analysis report may include:
 Purpose of the gap analysis,
 Gap analysis approach,
 Summary of findings, and
 Recommendations.

A detailed gap analysis report may include:
 Completed gap analysis matrix,
 List of management system standard requirements analyzed,
 Processes examined,
 Documented information reviewed,
 People interviewed,
 Findings, including integration opportunities, and
 Actions necessary to close the gaps, including resources and timing plans.
Gap identification and analysis requires collaboration throughout the organization as well as an
understanding of the defined processes and applicable management system standard requirements.
The defined product and service realization processes of the organization will define the mainstream
plan for developing a gap analysis. This approach establishes the overall picture of the organization’s
management system. The task can then be broken down into components, such as defining the
procurement process and conducting a gap analysis of applicable management system standard
requirements regarding conformity and integration opportunities. In the procurement example,
knowledgeable resources active in the sourcing process will be important to the collaboration.
A generic example of the principles described above is illustrated in Figure 3‐3.
Figure 3-3: Example of an MSS requirements - MS processes gap analysis matrix
Jim the Baker
A.3.5.1

Cases-In-Point
MRS
An excerpt from a description of “Step 5” from the MRS’ “HSE Management System” document.
“3.1.5 Measure and Evaluate Performance – (Step 5)

(…) We will measure and evaluate the adequacy of our systems and processes and include legislative
references, company objectives/ requirements into our systems and processes. Techniques for
measurement and evaluation may include:
 Adequacy audits – internal and external ”
Waiward Steel
Waiward’s description of activities related to gap identification and analysis:
“● Initial work included developing a matrix of the five MSS being integrated, and conducting an
internal audit/assessment to confirm the sections of this IMS Matrix where Waiward was compliant
(i.e. we developed a gap analysis);”
Johnson Controls
An illustration of the “Johnson Controls Manufacturing System (Workflow)”:
“● JCMS has a specific workflow that has been deployed to more than 130 manufacturing locations
worldwide
● The JCMS maturity model is used as a roadmap for a plant to assess the gaps between current
manufacturing practices and JCMS model for excellence”

Practice questions
 How well do your organization’s processes comply with the requirements of single or multiple
standards?
 What did you find interesting or useful if your objective is to comply with the requirements of
multiple standards?
 When reviewing standard requirements that have commonalities, to what extent are your
organization’s processes, resources and objectives integrated to meet the requirements?
3.5.2 Close the gaps
Guiding questions
 What new process, resources and objectives are required to close gaps?
 What needs to be modified to close the gaps?
 How can causes of the gaps be eliminated?
 Can multiple gaps be closed through common corrective or improvement actions?
Overview
The organization needs an agreement on the gaps that exist and a plan for their closure. This plan
should include identifying objectives and indicators. Identified gaps may be the result of failures, such
as an incomplete understanding of how to apply a requirement of the standards. There may be systemic
weaknesses that relate to broader organizational issues, such as insufficiently‐defined interrelations
between processes or an absence of processes to address the standards’ requirements. Opportunities
for improvement related to the integrated use of standards may also exist.
Typical steps in gap closure may include:
 Determine corrective and improvement actions: Based on the gap analysis findings, identify the
components of the management system affected and determine the actions needed to close the
gaps. Examples of actions include developing the required processes and documented information
or providing education and training.
 Perform corrective actions: This should involve a change in the components of the management
system to conform with management system standard requirements.
 Perform improvement actions: This should involve addressing integration opportunities by

integrating multiple management system standards requirements or multiple management system
components into a single component, e.g., combining multiple processes for control of documented
information into a single process or unifying function‐specific policies.
 Following gap closure, verification regarding whether the steps above have been implemented and
sustained over time is performed.

Approach
There are several kinds of gaps, including:
a. The management system does not fully meet the management system standard requirement.
b. There is no management system component that addresses the management system standard
requirement.
c. There is an opportunity for improvement in the integration.
The integrated approach is to:
 Focus on the organization’s processes.
 Evaluate the management system with respect to whether a management system standard
requirement is new or is already used.
 Decide on the action to close the gap. Some possibilities include:
o Amend the existing management system component (e.g., a process, resources and objective)
to fulfil the new management system standard requirement
o Replace the existing management system component
o Add a new management system component, after reviewing the opportunities for combining
with an existing management system component.
Jim the Baker
A.3.5.2
Cases-In-Point
Johnson Controls
Johnson Controls’ description of an activity related to gap closure:
“● Subject Matter Experts are designated to coach the local functional experts through the assessment
process and most importantly, to work with the plant to develop formal action plans to close the gaps
to higher levels of maturity”
UNAM
Excerpts from “stages 5 to 6” of the “Plan for the Implementation of a Quality Management System” of the
Metrology Unit (MU) of the Faculty of Chemistry at UNAM.

“Stage 5. Documentation of system elements

The document where the MU makes evident how the requirements of certification and accreditation are
met, is its Quality Manual. The Quality Manual is constructed by following the numerals of the official
standard 17025, and throughout the document it is indicated in brackets to which numerals correspond
to the standard 9001. (…)
Stage 6. Training, dissemination and understanding of the system.

All UM staff, including academic, technical and administrative staff, are considered. (…)”
Waiward Steel
Waiward’s description of activities related to gap closure:
“● The IMS Team developed individual action plans to close each individual gap discovered, mainly in
the ISO 14001 sections (where Waiward had not developed a MS previously)”
Practice questions
 How does your organization adopt a new standard, or a new or changed requirement?
 How well does the organization understand the application and impact of management system
standard requirements on its key and support processes?
 What is the level of organizational conformance in satisfying each of the requirements?
 What is the plan for closing the gaps?
3.5.3 Confirm gap closure
Guiding questions
 Is the gap closed?
 What was the method used to verify for gap closure?
 Is the gap closure sustained and not a temporary fix?
 Are there other areas or other systems in the organization where the gap closure might apply?
 What is the method for monitoring and management review?
Overview
Performance of the organization’s management system over time is the true indicator of whether the
management system is working successfully. There are internal measures within the organization that
can be lead indicators of organizational performance versus objectives. The organization needs to look
at the processes, resources and objectives, and their linkages across functions and multiple
management system standards requirements.

To confirm the closure of any gaps and to sustain improvements, the organization should review the
outcomes through the internal audit and management review processes. Once the gap is closed, it is
important to verify the continued implementation of the gap closure actions and their benefits.
Approach
The organization can use internal or external assessments to determine whether initiatives including
gap closure processes are working and effective. Management system standard requirement
assessments provide important clues and direction to the organization in determining its performance
level and whether the corrective action is effective. After the actions have been implemented, an
internal audit or self‐assessment focused on the identified gap and the related corrective action can be
conducted to ensure effective, efficient and full implementation (see Annex B, Q26, Q27, and Q28).
Jim the Baker
A.3.5.3
Cases-In-Point
Johnson Controls
Johnson Controls’ description of activities related to gap closure verification:
“● There are formal processes in place to monitor, track, and report on the actions for closure
● The continual assessment process verifies the closure of actions and the associated achievement of
the manufacturing practices that represent higher levels of maturity”
Waiward Steel
Waiward’s description of activities related to gap closure verification:
“● As gaps were closed, the IMS Team completed internal audits to obtain objective evidence of the
system functioning;
● Where relevant (ISO 9001, MHSA COR, ACSA COR), external audits were also completed on the
system;”
UNAM
A description of how the Metrology Unit (MU) of the Faculty of Chemistry at UNAM uses audits and
management reviews:
“Stage 8. Validation of the implementation

In both accreditation and certification audits are carried out by the corresponding accreditation body
and certification bodies. In these exercises, compliance with the applicable regulation is monitored.
Annually there are also two internal audit exercises, one for standard 9001 and one for 17025. Each area
coordinator and section head, reports on their activities considering the elements that the coordination of
the MU defines
Licensed and TRUST
to AMERICAN requires, to integrate
REGISTER, and use
S.C. / OSCAR them as
MANUEL a basis
LOPEZ for their
BATISTA own review.
(oscarlopez@americantrust.com.mx)

Stage 9. Quality assurance.

Management review is the most important exercise performed at MU. It is performed by senior
management and gives the guideline to review the state of processes and products as well as services. The
exercise identifies training needs, improvement actions and strategic decisions in the course of the
activities of the MU.”
Practice questions
 How does your organization plan to verify the gap closure actions?
 What method would your organization use?
 How would you start the verification process?
 What outcomes would you expect?
3.6 Maintain and improve integration
Guiding questions
 Are there activities in place to monitor continued conformance?
 How is the integrated management system reviewed regularly for successful performance?
 What activities are in place to improve the integrated system?
 How are new or changed requirements determined and incorporated?
Overview
After an organization completes the gap analysis and successfully closes the identified gaps, the next
step is to ensure that the requirements of the management system remain properly implemented. The
value of integration is reflected in the performance of the organization. Verifying implementation by
monitoring and reviewing the system regularly is an integral part of maintaining and improving an
effective management system.
Test the management system for success by:
 Checking for continued top level management commitment, for example, with management
reviews, and
 Reviewing and updating documentation so that targets and measurements are reported, and risks
and opportunities are acted upon.

Improve the management system by:
 Looking for areas to add value,
 Looking at better ways to use resources, and
 Checking to see if it is integrated as much as possible.
These are just a few examples of maintenance activities.
Maintain what you have and change when necessary to meet the objectives and continually improve the
management system. Careful consideration should be given when making changes in order to ensure
that the changes realize the benefits in a sustainable manner.
Monitoring also includes the organization’s awareness of new and changing requirements that come
from interested parties, both internal and external. The objective is to sustain the effectiveness of the
organization’s management system for the life of the organization.
This section focuses on the internal activities which can be performed to maintain and improve an
effective and efficient management system. The case studies provided include many examples of
immediate improvements realized. Maintaining and improving the management system is an ongoing
activity.
Approach
A key factor in maintaining an effective integrated management system is to ensure that the system
remains integrated and all the gaps that have been closed remain closed and are sustained. There are
several methods which can be used, such as internal audit, self‐assessment, process implementation
and validation (see Annex B, Q24 and Q25). Models such as Plan‐Do‐Check‐Act may be applied to the
improvement of the now integrated management system.
Maintaining and improving an integrated management system to ensure it remains effective over a
sustained period is more than confirming it is implemented or simply meeting improvement
requirements in the standards. These activities include updating the management system as the
operating environment changes and looking for additional integration possibilities. Legal requirements
at a local or global level can change, management system standards are updated, new standards that
affect a business may be published, and interested parties can influence customer requirements and
demands. Awareness of how these changes can affect an organization and implementing them into the
processes and procedures of the management system is essential to maintaining effectiveness.
Jim the Baker
A.3.6

Cases-In-Point
Waiward Steel
An excerpt from Waiward’s “IMS Manual”, the “Check Phase” section:
“Waiward has developed a process for the monitoring, measurement, analysis, and improvement of
processes needed to:
 demonstrate conformity of the product;
 monitor the effectiveness of controls;
 monitor the extent to which the organization’s HSEQ objectives are met;
 address both qualitative and quantitative measures, appropriate to the needs of the organization;
 define proactive and reactive measures of performance;
 record the data and results of monitoring and measurement;
 ensure conformity to the IMS;
 continually improve the effectiveness of the IMS.
This includes identifying applicable methods, including statistical techniques, and determining the extent
of their use.”

FCC Construction
FCC Construction’s process for corrective and preventive actions:
MRS
A description of the step related to maintenance and improvement of their integrated management
system from the MRS’ “HSE Management System” document.
“3.1.6 Review and Improve (Step 6)

Periodic reviews of the HSE System will be undertaken to identify areas for improvement, to re-assess
objectives and to facilitate best practice. We will strive to adopt a pro-active approach to HSE
Management whilst being prepared to learn from history.
These reviews will focus on legislative requirements, MRS amendments/requirements and any other
changes to Standards or Codes of Practice that could affect our performance and the associated KPI’s.”

Practice questions
 How does your organization currently monitor the effectiveness of their integrated management
system?
 Is there an audit, assessment or monitoring method?
 Is there a method that provides recommendations for areas of better or further integration?
 Does it include assessment of all of the components of the management system as well as the
standards?
 Have you analyzed your objectives, processes and resources and evaluated improvements from the
integration?
 How does your organization plan and perform additional improvements?
3.7 Apply lessons learned in the organization
Guiding questions
 How can the organization improve the application of the integrated approach?
 How can improvements be embedded into the integrated management system?
 How can lessons learned during the integration be applied to other areas of the organization?
Overview
There is no single way to achieve integration or maintain and improve an integrated management
system. Organizations have continued to improve their management systems through understanding
the results of the integration process. The value and benefits of the integrated approach have been
thoroughly addressed in this Handbook. As organizations go through the integration process, there are
many lessons that are learned and challenges that may arise (see Annex B, Q30).
These lessons and challenges may be used to improve current or future integration projects. In
addition, they can be taken as an opportunity to improve other aspects of the organization, including
organizational knowledge, which may not have been part of the original integration project.
Approach
Organizations may learn various lessons during the integration process including the challenges to
integration which may have existed for many reasons. Understanding the lessons learned from your
organization or by others may help those responsible for the integration.
The survey results (see Annex B, Q23) and case examples show different challenges related to
integration (see Table 3‐3).

Table 3-3: Integration challenges
Challenge Explanation
Resistance In some organizations, the structure itself creates a natural resistance to change. For
to change example, functional managers and process owners have different responsibilities,
perspectives and approaches that may result in opposition to an integrated approach and its
perceived risks. The examples illustrate several ways these obstacles can be addressed by
utilizing cross‐functional teams, training or coaching, consistent communication, and
management support.
Competence The right competencies are necessary to effectively and efficiently integrate the
requirements of management system standards into the organization. Process owners as
well as functional managers and technical experts need to participate in the integration
process and understand the standards’ impact. For example, technical experts who
understand the processes should work with management system standards experts to
incorporate the standards’ requirements into the organization’s processes.
Different Coming from different professional cultures, disciplines (e.g., quality, environment, safety,
professional energy, and information security) and experience with management systems and standards
culture can be an issue.
Meeting MSS Challenges can also be related to the fulfilment of the requirements of customers and other
requirements interested parties through an integrated management system.
Sustaining Proactively improving an effective integrated management system is an ongoing activity. One
integration of the important tools for sustainability is expanding the application of an integrated
approach to other areas of the business, including new locations and functions. The examples
show the need for realistic and ongoing assessments of the integrated management system
to uncover weaknesses and incorporate corrective actions and improvements. Assessments
also identify strengths and what is working well. Awareness of the external environment and
impact on the organization is also important in keeping the MS current and effective.
Jim the Baker
A.3.7
Cases-In-Point
Plexus Corp
Plexus Corp’s response to the survey question “What lessons were learnt, or challenges found
integrating your management systems?”:
“Systems thinking is challenging; people tend to address local needs without considering the benefit/risk
to the shared QMS used across multiple sites”

SunPower Corporation
SunPower Corporation’s response to the survey question “What lessons were learnt or challenges found
“(1) Do integration in phases. Do not rush or force. Organization may not be ready, people many not be
ready, culture may not be conducive. (2) Do not dilute the system, process and control effectiveness for
"name sake" integration.”
FCC Construction
FCC Construction’s response to the survey question “What lessons were learnt or challenges found
“Training is essential when implementing a traditional system; Integration allows very fast deployments;
It is necessary to have a thorough knowledge of the organization for the implementation; audit time is
optimized; the adaptation of common procedures when a new standard is implemented is crucial; No
processes are duplicated.”
Practice questions
 When considering the lessons learned, how can your management system be improved?
 Does the actual integration fit the objectives of the intended scope?
 How do the actual benefits compare to the perceived or expected benefits?
 Have you been able to reduce or eliminate redundant or non‐value‐added documentation?
 How can your organization encourage improvement and innovation in your integrated management
system?

Annex A – Generic Case Study – Jim the Baker
A.1.1 Management system features
Jim the Baker runs a bakery in the centre of a small town. He started the shop on his own six years ago
and has managed to gradually expand. He now employs four people and the business is doing very well.
Jim has been successful because he applied some basic principles of systematically managing an
organization, although he was not really aware of it. For example, when he started his bakery, the
purpose of his business was to provide fresh bakery products and he deliberately chose not only to sell
bread and pastries directly to customers, but also to supermarkets.
He did so as a result of talking to a number of people in the neighbourhood. While some preferred to
buy in a real bakery shop, others wanted to do all their shopping in one location, but still wanted to buy
fresh bread and ‘real’ pastries. Based on this identification of customer needs, Jim set some objectives
and defined how to best organize his bakery to be able to achieve his objectives and satisfy his clients.
This was the basis for the success and growth of his bakery.
[Back to main text.]
A.1.2 Organizational context, risks and opportunities
When Jim the Baker established his bakery, he looked for information about customer demand for his
bakery products, market prices, competition, availability and cost of raw materials and labour, and
work environment for his employees.
As his bakery grew, Jim thought about improving other aspects of his business, for example reducing
energy consumption by using more efficient ovens and mixers, as well as vehicles for deliveries. He is
also anxious to meet all the government requirements that apply to his bakery, for example food, health
and safety regulations.
Therefore, Jim determines that the following groups would show interest in his bakery business:
— Customer: the local clients and supermarkets that buy Jim’s bread and pastries.
— Government: food regulation, occupational, health and safety law.
— Employees: people who produce and deliver the product.
— Society: not genetically modified flour and handcrafted baked products.
— Suppliers: producers of bakery ingredients and machinery.

A.1.3 Components of a management system
A.1.3.1 Objectives
Jim’s goals:
— Have a comfortable and profitable life.
— Make the best bread and pastries in the region.
— Have satisfied customers that never complain to me or my staff.
— Have happy staff.
— Have good equipment that does not break down.
— Have fun!
Jim’s objectives:
— Provide a wide variety of fresh bread and pastries at convenient locations.
— Develop a highly trained workforce with low employee turnover.
— Include suppliers in seasonal planning and customer feedback.
— Expand in the region with new shops.
— Market to supermarket chains.
— Comply with all applicable regulations and customer requirements.
— Increase sales by 50 % in two years.
— Reduce costs by 10 % without affecting quality.
A.1.3.2 Processes
Jim the Baker decides to have the following main processes in his bakery:
— Marketing,
— Planning,
— Baking,
— Selling,
— Delivering, and
— After sales support.


To ensure that all these processes function well and are adequately interrelated, Jim needs to manage
them. In order to do that, for example, in the case of the baking process, Jim first looks at the main
inputs, activities and outputs, as shown in Figure A.1.
Figure A.1: Jim’s baking process
Then, he considers the various baking stages and decides where he needs detailed work instructions or
other internal controls:
— Purchasing raw materials and supplies,
— Storing raw materials,
— Mixing materials as per recipes,
— Baking, and
— Packaging for delivery.
This gives Jim an understanding of all his main processes and their interrelations, as shown in
Figure A.2.
Figure A.2: Jim’s main processes

A.1.3.3 Organizational structure and resources
It is important for Jim to have a clear understanding of the capabilities and assets of his bakery, and the
total range of resources, including people, that are available to him.
Jim has the following people in his organizational structure (see Figure A.3):
— Jim is the owner and general manager. He is in charge of making the major decisions, coordination,
communication, marketing, sales, as well as production and people management.
— The baker is in charge of the bread and pastry production.
— The shop assistant is in charge of selling the products in the bakery.
— The driver is in charge of the delivery of products to the customers.
— The administration assistant is in charge of supply planning and accounting.
Figure A.3: Jim’s organization
Jim’s additional resources include:
— Baking material stock, such as flour, yeast, chocolate, butter, spices, and eggs.
— Recipes and instructions for machine handling and baking.
— Bakery with baking equipment, shop with displays and shelves, and the delivery van.
— Bank account with money to operate the bakery and for contingencies.

A.1.3.4 Performance feedback
Jim currently asks his shop assistants and the driver about customer feedback on a daily basis. He also
checks inventory and talks to his supermarket customers regarding their preferred breads and pastries
delivered from his bakery. He started to track the time for the delivery by asking the driver to record it.
A.1.4 Understanding the relationships of management system components
A.1.4.1 Understanding the systems approach
Jim the Baker recognizes that, as his business is growing significantly, he needs more formal
arrangements than he originally planned.
When he had only one employee working for him, the weekly planning and the daily arrangement of
who would do what was easy and almost automatic. Now that he has four employees working in
different ‘departments’ (the bakery, the shop, and the delivery), he has to consider a more formalized
way of planning activities and division of work.
Jim’s overview and control of activities have also become more complex and he gradually sees the
benefits of developing documents, such as flowcharts and operating checklists. Jim sees the benefits of
managing his business in a more systematic way and gradually he becomes a ‘managing baker’.
In Figure A.4, Jim’s adds his management activities, such as planning and scheduling, to his day‐to‐day
bakery process.
Figure A.4: The bakery process
He goes further and develops flowcharts for his sub‐processes to better understand the relationships of
tasks, interested parties and risks. For example, Jim looks at the delivery process in Figure A.5.

Figure A.5: The delivery process
A.1.4.2 Establishing a systems approach
Now Jim wants to have a complete picture of his bakery business, including the establishment and
relationships of the objectives, organizational structure and the resources needed, and the
organizational processes, shown in Figure A.6.

Figure A.6: Jim’s management system
Figure A.7 shows how Jim related the activities and resources in his delivery process to the other
components of his management system, in this case objectives and the corresponding performance
indicators.

Figure A.7: Jim’s systems approach for the delivery
A.2.1 Purpose and objectives of management system standards
Jim has been using his management system to show conformity with food safety regulations from the
local authority. Recently, a major supermarket customer has included a requirement for ISO 9001
certification. Although Jim understands his management system, he now needs to understand how it
relates to a formal management system standard.
To be ahead of competition, Jim decides to also become certified to the ISO 14001 environmental and
ISO 22000 food safety standards, and to add the ISO 45001 occupational health and safety management
system standard later. In addition, he identified ISO 50001 energy and ISO 55001 asset management
system standards for possible future implementation, due to increasing energy costs for his food
preparation and delivery, as well as efficient use of his ovens and other bakery equipment.
His first thoughts were that he would eventually need five or six independent systems, one each for
quality, food safety, environment, health, energy and assets. He fears this would complicate his
business.
[Back to main text.] ISO Store Order: OP-360372 / Downloaded: 2019-04-08

A.2.2 Uses and needs for management system standards
Jim examines the four standards he needs. He sees that they cover important aspects of running his
business and that they relate to his current management system. Now he must determine if he has
missed any issues and decide on an efficient way of including their requirements into his system. To do
that, he decides to implement the most urgently required standard right away, which is ISO 9001.
A.2.3 Application of management system standard requirements
A.2.3.1 Relationships of management system standard requirements to the organization’s

management system
Jim linked his business activities to the management system standard, as illustrated in Figure A.8.
Figure A.8: Linkages of Jim’s management system with ISO 9001: 2015

A.2.3.2 Implementation of management system standard requirements
Jim now determines the requirements in ISO 9001:2015 by highlighting all sentences with “shall” and
then searches for existing objectives, processes and resources in his management system to incorporate
these requirements. For example, he already knows his “interested parties” and their “needs and
expectations” (ISO 9001:2015, 4.2), has a list of his “quality objectives” (6.2.1) and an illustration of his
bakery processes (8.5). However, he needs to develop a quality policy (5.2) and plan and perform audits
(9.2). Ultimately, he connects and implements all the missing requirements in his management system.
Subsequently, he applies for and obtains ISO 9001 certification.
A.3.1 Lead the integration
Jim is the company executive. He needs to provide direction for the integration of the requirements of
management system standards into the management system of his bakery. Therefore, Jim:
— Identifies the need for integration;
— Adapts the company policy to include integration;
— Determines the strategic initiatives needed for integration;
— Sets the objectives for integration;
— Determines the opportunities and risks of integration;
— Communicates the decision to integrate.
A.3.2 Determine the scope of the integration
Jim is now certified to ISO 9001. He already decided to implement ISO 14001 for environmental
management systems due to interested parties’ recommendations and marketing reasons, as well as
ISO 22000 for food safety management systems due to regulatory requirements and operational
demands.
He identifies ISO 45001 for occupational health and safety management systems as a useful standard to
implement, but decides to delay this for the next integration project. Subsequently, Jim decides to:
— Implement ISO 14001 followed by ISO 22000.
— Apply the requirements of ISO 14001 and ISO 22000 throughout the bakery, including all relevant
activities (e.g., planning, procurement, baking, storing, selling, and delivery).
— Determine the impact integration will have on resources (e.g., costs, workload, and equipment),
processes (e.g., additional or streamlined activities) and objectives (e.g., policies) in the bakery.
— Fully integrate the requirements in all relevant components of his management system.
— Jim then communicates these decisions and related effects on the business to all his staff.


A.3.3 Plan the integration
Now, Jim needs a plan to guide integration. He reflects on the following nine major parts of the plan:
— He himself will lead this project.
— The team members will be all his staff.
— He will use internal resources only.
— All employees and the whole bakery will be affected.
— He decides who will do what.
— The highest risk is resources.
— The team will start integration next week.
— The integration project will be completed in six months.
— He will conduct weekly progress meetings with all staff.
A.3.4 Connect the management system standard requirements and the organization’s
management system
A.3.4.1 Structure the management system
Jim the Baker structures his management system in a simple manner. Figure A.9 depicts the main
components of his management system and their relationships from his point of view. He explains this
structure to all his staff, using now the standardized terminology.

Figure A.9: Jim’s structured management system
A.3.4.2 Structure management system standard requirements
Since Jim’s management system already fulfills the requirements of ISO 9001, he understands the
general structure and content of ISO management system standards and the related requirements. Now,
Jim needs to identify and structure the requirements of ISO 14001 and ISO 22000.

First, Jim reads both standards and identifies a number of requirements that have commonalities (e.g.,
in 7.5 “Documented Information” and 10.3 “Continual Improvement”). For most of these, he chooses to
apply the most comprehensive requirements as the basis of the common process established in the
bakery (e.g., 5.2 “Policy” and 9.3 “Management Review”).
He recognizes some requirements are specific to environment and food safety (e.g., 8.2 “Emergency
Preparedness and Response” and “HACCP”, respectively). These also need to be addressed with
processes and procedures in his management system.
A.3.4.3 Map management system standard requirements against the management system
Jim the Baker needs to study how the requirements of ISO 9001, ISO 14001 and ISO 22000 relate to his
management system. He uses a matrix to list the activities in all his processes (e.g., purchasing, baking,
selling and delivery) and the clauses of the three management system standards containing the
requirements. In the matrix, Jim then denotes whether or not the requirements impact the activity. He
starts with the process of baking bread and illustrates how it is impacted by the requirements of
ISO 14001 and ISO 9001. This is an excerpt from the full mapping study that Jim did. The first matrix
(Figure A.10) illustrates the setup to start the analysis. The second matrix (Figure A.11) shows the
impact of the requirements on the process.
The vertical column on the left represents the major activities of the bread baking process. The
horizontal row on top represents the clauses containing the standards’ requirements that Jim the Baker
determined have an important impact on the bread‐making process.
Non-conforming
Documented
Documented
Competence
Information
Information
Operational
and service
Production
Control of
Control of
provision
Aspects
control
Output
↓Activity / ISO 9001 ISO 9001 ISO 9001 ISO 14001 ISO 14001 ISO 14001 ISO 14001
requirements → 7.5.3 8.5 8.7 7.5.3 8.1 6.1.2 7.2
Providing ingredients
Mixing
Fermentation
Dough preparation
Baking
Figure A.10: Jim’s matrix example (mapping setup)
For example, when analyzing the requirements from clause 7.5.3 “Control of documented information”
of ISO 9001 and ISO 14001, Jim realized that they are almost identical, except that there is an additional
ISO 9001 requirement in the last sentence before the note about “unintended alternations”. He decides
for practical reasons to take this requirement to cover both quality and environment. Therefore, he
merges the columns related to clause 7.5.3 in the second matrix. However, with respect to the
requirements on competence from clause 7.2, Jim decides to leave separate columns, since he considers
them to be sufficiently different in the two standards.

Nonconforming
Documented
Competence
Competence
Information
Operational
and service
Production
Control of
provision
Aspects
control
Output
ISO 9001 /
↓Activity / ISO 9001 ISO 9001 ISO 14001 ISO 14001 ISO 9001 ISO 14001
14001
requirements → 8.5 8.7 8.1 6.1.2 7.2 7.2
7.5.3
Providing ingredients       
Mixing     ×  ×
Fermentation       ×
Dough preparation       
Baking       
Legend:
 Requirement impacts the process
× Requirement does not impact the process
Figure A.11: Jim’s matrix example (mapping completed)
A.3.5 Incorporate the management system standard requirements into

the organization’s management system
A.3.5.1 Identify and analyze gaps
Now, Jim analyzes the gaps, using colour coding in Figure A.12. The matrix below is an excerpt from the
full gap analysis that Jim did, representing Jim’s opinion regarding the extent of fulfilment of ISO 9001
and ISO 14001 requirements.

Nonconforming
Documented
Competence
Competence
Information
Operational
and service
Production
Control of
provision
Aspects
control
Output
ISO 9001 /
14001
requirements → 8.5 8.7 8.1 6.1.2 7.2 7.2
7.5.3
Providing ingredients       
Mixing     ×  ×
Fermentation       ×
Dough preparation       
Baking       
Legend:
 Requirement impacts the process
× Requirement does not impact the process
Figure A.12: Jim’s matrix example (gap analysis)
Examples of the reasoning behind Jim’s usage of colour coding:
— Green (ISO 9001, 8.5 – Baking): “I have attached to the oven a list of bread types and the
corresponding settings of temperatures and times to make a perfect bread and the oven is regularly
serviced.”
— Green (ISO 14001, 7.5 – Mixing): “I have a process for controlling all documents related to my
quality management system that I already implemented. I will just use the same process for
environmental documents.”
— Yellow (ISO 9001, 7.5 – Providing ingredients): “I changed the recipe for a new type of bread, but
did not document it. I know I must do it, but simply forgot it. I have all the documents for the other
types of bread.”
— Yellow (ISO 9001, 8.7 – Dough preparation): “I recognized that it was not clear in the current
instruction that I am the only one that should make a decision on what to do with the dough that
was found to be unacceptable (e.g., missing salt).”
— Red (ISO 14001, 6.1.2 – Fermentation and Baking): “I have not yet thought of environmental
aspects of fermentation and baking. I need to deal with this immediately.”
— White (ISO 14001, 6.1.2 – Mixing and ISO 14001, 7.2 – Fermentation): “I decided that these
requirements are not applicable here. Because we do mixing by hand, no extra energy is needed.
For fermentation, we do not need to train our bakers specifically regarding environment, but we do
it with respect to quality.”

A.3.5.2 Close the gaps
Jim the Baker now needs to close the gaps identified by his gap analysis.
Jim has an idea of what he needs to do to close the gaps as he prepares for further implementation. This
is a real bonus to Jim because he realizes he is improving his overall business management at the same
time. Jim’s corrective actions will come in handy now.
These are some important steps Jim considers:
A. Discuss the results of the gap analysis with the employees. Does everyone agree?
B. Prioritize the results based on relevance to Jim’s business.
1. How many gaps are there and where do they exist?
2. Do they affect multiple processes, resources, or objectives?
3. Are there gaps to the requirements of multiple management system standards?
C. Determine the necessary actions to close the gaps and assign each to a process owner.
D. Implement and document the actions taken by expanding the existing matrices.
E. Review all management system components to:
1. Determine whether or not the implementation was effective.
2. Check that there are no adverse effects on other components and integration.
3. Look for redundancies, synergies and further integration possibilities.
4. If problems are found, return to step C above.
For example, the “Providing ingredients” activity was identified as only partially compliant with the
ISO 9001:2015 and ISO 14001:2015 clause 7.5.3 requirements. In order to address the gap regarding
not documenting a recipe change, Jim added the activity of recording any changes to his process. By
doing this, Jim also realized that he could address other related requirements of ISO 9001:2015, for
instance “planning of changes” (6.3) and “human error” (8.5.1.g).
Jim also found that he did not define the retention time for records (as per the requirement given in
ISO 9001:2015, 7.5.3.2.g and ISO 14001:2015, 7.5.3) Therefore, he specified the retention period that
satisfied his business needs and both management system standards, as well as any regulatory
requirements. Jim indicated that he closed the gap from his point of view in the matrix below
(Figure A.13) by writing “OK” in the corresponding cell.

Nonconforming
Documented
Competence
Competence
Information
Operational
and service
Production
Control of
provision
Aspects
control
Output
ISO 9001 /
14001
requirements → 8.5 8.7 8.1 6.1.2 7.2 7.2
7.5.3
Providing ingredients OK OK OK OK OK
Figure A.13: Jim’s matrix example (gap closure)
In addition, Jim closed the other gaps, including the ones between the dough preparation activity and
ISO 9001, 8.7, by adding the point that he was responsible for dealing with unacceptable dough, and
between the fermentation and baking activities and ISO 14001, 6.1.2, by incorporating the
corresponding environmental aspects, such as the aspects related to water and waste, in his existing
documentation.
A.3.5.3 Confirm gap closure
Jim verified compliance with the ISO 9001 and ISO 14001 requirements. For example, he checked that
he is now recording recipe changes, determined that records were being retained pursuant to the
retention period and that obsolete records were being removed. Jim also realized that his bakers are
asking him regularly about making decisions regarding what to do with nonconforming dough, as well
as waste.
The matrix below (Figure A.14) illustrates the results of Jim’s confirmation of gap closure for the
“Formulating ingredients” activity.
Nonconforming
Documented
Competence
Competence
Information
Operational
and service
Production
Control of
provision
Aspects
control
Output
ISO 9001 /
14001
requirements → 8.5 8.7 8.1 6.1.2 7.2 7.2
7.5.3
Providing ingredients
Figure A.14: Jim’s matrix example (gap closure verification)

A.3.6 Maintain and improve integration
Jim’s plan includes monitoring and improving the integrated management system. He needs to have a
process in place to ensure the system is effective and continues to add value to his business.
— Are all of the gaps closed?
— Were the closures successful?
— Are there opportunities to make the integration better?
— What additional activities do I need to monitor and improve the system?
— Do I need special training for my personnel?
A.3.7 Apply lessons learned in the organization
Jim faced some problems during the integration process. He realized some things could have been done
better. He would like to know how others felt. Perhaps they have some ideas on how to improve the
integration and the management system.

Annex B – Graphical Representations of Survey Responses
The survey was distributed to a diverse range of companies internationally. There was no scientific
method used for the distribution and collection of survey responses. This annex details graphical
representations of answers to the survey responses that were able to be graphically depicted.
The graphs and charts show the responses for how the companies are thinking and acting within
different industries and to the organization context to operate a management system along with other
initiatives.
They are used as illustrative aids only for points made in this Handbook.

104
Q1
105

106
Single user licence only, copying and networking prohibited. Q2
107

108
109

110
111

112
113

114
115

116
117

118
119

120
121

122
123

124
125

126
127

128
129

130
131

132
133

134
135

136
137

138
139

ISBN 978-92-67-10830-8

IUMSS HAND BOOK Sistemas Integrados

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

IUMSS HAND BOOK Sistemas Integrados

Uploaded by

Copyright:

Available Formats

ISO

The Integrated Use of Management

COPYRIGHT PROTECTED DOCUMENT

2 © ISO 2018 – All rights reserved

© ISO 2018 – All rights reserved 3

Annex A – Generic Case Study – Jim the Baker ................................................................................................. 85

4 © ISO 2018 – All rights reserved

© ISO 2018 – All rights reserved 5

6 © ISO 2018 – All rights reserved

Layout of this Handbook

This Handbook contains three chapters, as illustrated in Figure 1:

 Chapter 3 describes how an organization integrates the requirements of multiple management

Figure 1: Chapter Content Diagram

It also contains two annexes:

 Annex B details the graphical representation of Survey answers.

Overview – Foundational elements outlining the subject matter.

© ISO 2018 – All rights reserved 7

Approach – A practical guide to applying the subject matter.

How to use this handbook?

This handbook does NOT:

 Provide a specific structure for an integrated management system, either as a requirement or as a

 Give preference to any standard;

 Contain any auditable requirements or additional obligations;

8 © ISO 2018 – All rights reserved

Chapter 1: Management system

Figure 2: Chapter Content Diagram

1.1 Management system features

 What is a management system?

 How do you know if you have a management system?

 What are the main features of a management system?

© ISO 2018 – All rights reserved 9

The foundational principle of a management system is an understanding of the context in which an

10 © ISO 2018 – All rights reserved

Jim the Baker

MRS Group Limited

An illustration of the “Johnson Controls Manufacturing System (Principles)”:

© ISO 2018 – All rights reserved 11

 How have you defined the scope of your management system?

 What are the internal issues affecting your management system?

 What are the external issues affecting your management system?

 How is your management system documented?

1.2 Organizational context, risks and opportunities

 How does your organization’s context influence its management system?

 How does your organization address uncertainty in its business planning?

 Who are your organization’s interested parties?

12 © ISO 2018 – All rights reserved

 The needs and expectations of interested parties.

Jim the Baker

© ISO 2018 – All rights reserved 13

© ISO 2018 – All rights reserved 15

 How have risks been determined and addressed?

 How have opportunities been determined and capitalized upon?

1.3 Components of a Management System

 Organizational structure and resources

16 © ISO 2018 – All rights reserved

 How do these objectives relate to the organization’s management system?

Jim the Baker

© ISO 2018 – All rights reserved 17

18 © ISO 2018 – All rights reserved

Orbital Gas Systems Ltd

 What is your organization’s strategy and direction?

 How do your objectives align with the strategy and direction?

 How are your objectives defined and articulated?

 How are your objectives linked to your organization’s interested parties?