17.12.19 IMS Standards in Brief QEHSEn Course Material

INTEGRATED MANAGEMENT SYSTEM
COURSE MATERIAL
ISO 9001:2015, ISO 14001:2015,
ISO 45001:2018, ISO 50001:2018
SHREYAS QUALITY MANAGEMENT SYSTEM
11, Tulsivihar, Abhyankarnagar, Nagpur-440010 (MS), Tel: 0712-2240012,
9822469560, Email: sqmslakhe@gmail.com, www.sqmsindia.com
Integrated Management System
( ISO 9001:2015 QMS, ISO 14001:2015 EMS, ISO 45001:2018 OH&S & ISO 50001:2018 EnMS)
1 Scope
This International Standard specifies requirements for a Quality, Environment, Occupational Health &
Safety and Energy Management System when an organization:
a) needs to demonstrate its ability to consistently provide products and services that meet Customer and
Interested Parties and applicable statutory and regulatory requirements, and b) aims to enhance Customer
and Interested Parties satisfaction through the effective application of the system, including processes for
improvement of the system and the assurance of conformity to Customer and Interested Parties and
applicable statutory and regulatory requirements.
All the requirements of this International Standard are generic and are intended to be applicable to any
organization, regardless of its type or size, or the products and services it provides.
2 Normative references
The reference based on which working is carried out.
3 Terms and definitions

The terms and definitions applies while carrying out the working.
FOR TRAINING PURPOSE ONLY:NOT FOR SALE

Clause No. Term Definition
3.1.1 Management System set of interrelated or interacting elements of an organization to establish
policies and objectives and processes to achieve those objectives.
3.1.2 EMS part of the management system used to manage environmental aspects,
fulfil compliance obligations, and address risks and opportunities.
3.1.3 environmental policy intentions and direction of an organization related to environmental
performance, as formally expressed by its top management.
3.1.4 organization person or group of people that has its own functions with responsibilities,
authorities and relationships to achieve its objectives.
3.1.5 top management person or group of people who directs and controls an organization at the
highest level.
3.1.6 interested party person or organization that can affect, be affected by, or perceive itself to
be affected by a decision or an activity.
3.2.1 environment surroundings in which an organization operates, including air, water,
land, natural resources, flora, fauna, humans and their interrelationships.
3.2.2 environmental aspect element of an organization’s activities or products or services that
interacts or can interact with the environment.
3.2.3 environmental state or characteristic of the environment as determined at a certain point
condition in time.
3.2.4 environmental impact change to the environment , whether adverse or beneficial, wholly or
partially resulting from an organization’s environmental aspects.
3.2.5 objective result to be achieved
3.2.6 environmental Objective set by the organization consistent with its environmental
objective policy.
3.2.7 prevention of pollution use of processes, practices, techniques, materials, products, services or
energy to avoid, reduce or control (separately or in combination) the
creation, emission or discharge of any type of pollutant or waste, in order
to reduce adverse environmental impacts
3.2.8 requirement need or expectation that is stated, generally implied or obligatory
3.2.9 compliance obligations legal requirements and other requirements (admitted term)legal
(preferred term) requirements that an organization has to comply with and other
requirements that an organization has to or chooses to comply with.
3.2.10 risk effect of uncertainty.
3.2.11 risks and opportunities potential adverse effects (threats) and potential beneficial effects
(opportunities).
3.3.1 competence ability to apply knowledge and skills to achieve intended results.
3.3.2 documented information required to be controlled and maintained by an organization
information and the medium on which it is contained.
3.3.3 life cycle consecutive and interlinked stages of a product (or service) system, from
raw material acquisition or generation from natural resources to final
disposal.
3.3.4 outsource make an arrangement where an external organization performs part of an

organization’s function or process.
3.3.5 process set of interrelated or interacting activities which transforms inputs into
outputs.
3.4.1 audit systematic, independent and documented process (for obtaining audit
evidence and evaluating it objectively to determine the extent to which
the audit criteria are fulfilled.
3.4.2 conformity fulfilment of a requirement.
3.4.3 nonconformity non-fulfilment of a requirement.
3.4.4 corrective action action to eliminate the cause of a nonconformity and to prevent
recurrence.
3.4.5 continual improvement recurring activity to enhance performance.
3.4.6 effectiveness extent to which planned activities are realized and planned results
achieved.
3.4.7 indicator measurable representation of the condition or status of operations,
management or conditions.
3.4.8 monitoring determining the status of a system, a process or an activity.
3.4.9 measurement Process to determine a value.
3.4.10 performance measurable result.

3.5.1 environmental Performance related to the management of environmental aspects.
performance
3.5.2 worker person performing work or work-related activities, under the control of
the organization
3.5.3 workplace place where a person needs to be or to go by reason of work and which is
under the control of the organization
3.5.4 contractor external person(s) providing services to an organization at a workplace
in accordance with agreed specifications terms and conditions
3.5.5 legal and other legal requirements and other legally–binding obligations and other
requirement requirements to which the organization subscribes that are relevant to the
OH&S management system
3.5.6 hazard source or situation with a potential to cause human injury or ill-health
3.5.7 occupational health and combination of the likelihood of an occurrence of a work-related
safety risk hazardous event or exposure(s), and the severity of injury or ill-health
that can be caused by the event or exposures
3.5.8 outsource make an arrangement where an external organization performs part of an
organization‘s function or process
3.5.9 incident occurrence(s) arising out of or in the course of work that could or does
result in injury or ill health
3.5.10 boundary physical or organizational limits
3.6.1 interested person or organization that can affect, be affected by, or perceive itself to
party/stakeholder be affected by a decision or activity
3.6.2 energy performance measurable result(s) related to energy efficiency, energy use and energy
consumption

3.6.3 energy performance measure or unit of energy performance, as defined by the organization
indicator & value EnPI
3.6.4 energy baseline quantitative reference(s) providing a basis for comparison of energy
EnB performance
3.6.5 static factor identified factor that significantly impacts energy performance and does
not routinely change
3.6.6 relevant variable quantifiable factor that significantly impacts energy performance and
routinely changes
3.6.7 normalization modification of data to account for changes to enable comparison of
energy performance under equivalent conditions
3.6.8 energy electricity, fuels, steam, heat, compressed air and other similar media
3.6.9 energy consumption quantity of energy applied
3.6.10 energy efficiency ratio or other quantitative relationship between an output of performance,
service, goods, commodities, or energy, and an input of energy
3.7.1 energy use application of energy
3.7.2 energy review analysis of energy efficiency , energy use and energy consumption based
on data and other information, leading to identification of SEUs and
opportunities for energy performance improvement
3.7.3 significant energy use energy use accounting for substantial energy consumption and/or offering
SEU considerable potential for energy performance improvement
ISO Approach in Brief:
4 Context of the organization

4.1 Understanding the organization and its context
The organization need to determine external and internal issues that are relevant to its purpose and its
strategic direction and that affect its ability to achieve the intended result(s) of its Quality, Environment,
Occupational Health & Safety and Energy Management System. The organization need to monitor and
review information about these external and internal issues.

4.2 Understanding the needs and expectations of interested parties
Due to their effect or potential effect on the organization’s ability to consistently provide products and
services that meet Customer and Interested Parties and applicable statutory and regulatory requirements,
the organization need to determine: a) the interested parties that are relevant to the Quality, Environment,
Occupational Health & Safety and Energy Management System; b) the requirements of these interested
parties that are relevant to the Quality, Environment, Occupational Health & Safety and Energy
Management System. The organization need to monitor and review information about these interested
parties and their relevant requirements.
4.3 Determining the scope of the Quality, Environment, Occupational Health & Safety and Energy
Management System
The organization need to determine the boundaries and applicability of the Quality, Environment,
Occupational Health & Safety and Energy Management System to establish its scope.
When determining this scope, the organization need to consider:
a) the external and internal issues; b) the requirements of relevant interested parties; c) the products and
services of the organization. The organization need to apply all the requirements of this International
Standard if they are applicable within the determined scope of its Quality, Environment, Occupational
Health & Safety and Energy Management System. The scope of the organization’s Quality, Environment,
Occupational Health & Safety and Energy Management System need to be available and be maintained as
documented information. The scope need to state the types of products and services covered, and provide

justification for any requirement of this International Standard that the organization determines is not
applicable to the scope of its Quality, Environment, Occupational Health & Safety and Energy
Management System. Conformity to this International Standard may only be claimed if the requirements
determined as not being applicable do not affect the organization’s ability or responsibility to ensure the
conformity of its products and services and the enhancement of Customer and Interested Parties
satisfaction.
4.4 Quality, Environment, Occupational Health & Safety and Energy Management System and its
processes
4.4.1 The organization need to establish, implement, maintain and continually improve a Quality,
Environment, Occupational Health & Safety and Energy Management System, including the processes
needed and their interactions, in accordance with the requirements of this International Standard. The
organization need to determine the processes needed for the Quality, Environment, Occupational Health &
Safety and Energy Management System and their application throughout the organization, and need to: a)
determine the inputs required and the outputs expected from these processes; b) determine the sequence
and interaction of these processes; c) determine and apply the criteria and methods (including monitoring,
measurements and related performance indicators) needed to ensure the effective operation and control of
these processes; d) determine the resources needed for these processes and ensure their availability; e)
assign the responsibilities and authorities for these processes; f) address the risks and opportunities as
determined; g) evaluate these processes and implement any changes needed to ensure that these processes
achieve their intended results; h) improve the processes and the Quality, Environment, Occupational Health
& Safety and Energy Management System.
4.4.2 To the extent necessary, the organization need to:
a) maintain documented information to support the operation of its processes; b) retain documented
information to have confidence that the processes are being carried out as planned.
5 Leadership
5.1 Leadership and commitment
5.1.1 General
Top management need to demonstrate leadership and commitment with respect to the Quality,
Environment, Occupational Health & Safety and Energy Management System by: a) taking accountability
for the effectiveness of the Quality, Environment, Occupational Health & Safety and Energy Management
System; b) ensuring that the quality policy and quality objectives are established for the Quality,
Environment, Occupational Health & Safety and Energy Management System and are compatible with the
context and strategic direction of the organization; c) ensuring the integration of the Quality, Environment,
Occupational Health & Safety and Energy Management System requirements into the organization’s
business processes;d) promoting the use of the process approach and risk-based thinking;e) ensuring that
the resources needed for the Quality, Environment, Occupational Health & Safety and Energy Management
System are available; f) communicating the importance of effective quality management and of conforming

to the Quality, Environment, Occupational Health & Safety and Energy Management System requirements;
g) ensuring that the Quality, Environment, Occupational Health & Safety and Energy Management System
achieves its intended results; h) engaging, directing and supporting persons to contribute to the
effectiveness of the Quality, Environment, Occupational Health & Safety and Energy Management System;
i) promoting improvement; j) supporting other relevant management roles to demonstrate their leadership
as it applies to their areas of responsibility.
5.1.2 Customer and Interested Parties focus

Top management need to demonstrate leadership and commitment with respect to Customer and Interested
Parties focus by ensuring that: a) Customer and Interested Parties and applicable statutory and regulatory
requirements are determined, understood and consistently met; b) the risks and opportunities that can affect
conformity of products and services and the ability to enhance Customer and Interested Parties satisfaction
are determined and addressed; c) the focus on enhancing Customer and Interested Parties satisfaction is
maintained.
5.2 Policy
5.2.1 Establishing the quality policy
Top management need to establish, implement and maintain a quality policy that:
a) is appropriate to the purpose and context of the organization and supports its strategic direction; b)
provides a framework for setting quality objectives; c) includes a commitment to satisfy applicable
requirements; d) includes a commitment to continual improvement of the Quality, Environment,
Occupational Health & Safety and Energy Management System.
5.2.2 Communicating the quality policy

The quality policy need to:

a) be available and be maintained as documented information; b) be communicated, understood and applied
within the organization; c) be available to relevant interested parties, as appropriate.
5.3 Organizational roles, responsibilities and authorities

Top management need to ensure that the responsibilities and authorities for relevant roles are assigned,
communicated and understood within the organization.
Top management need to assign the responsibility and authority for:
a) ensuring that the Quality, Environment, Occupational Health & Safety and Energy Management System
conforms to the requirements of this International Standard; b) ensuring that the processes are delivering
their intended outputs;
c) reporting on the performance of the Quality, Environment, Occupational Health & Safety and Energy
Management System and on opportunities for improvement in particular to top management; d) ensuring
the promotion of Customer and Interested Parties focus throughout the organization; e) ensuring that the
integrity of the Quality, Environment, Occupational Health & Safety and Energy Management System is
maintained when changes to the Quality, Environment, Occupational Health & Safety and Energy
Management System are planned and implemented.
OH&S 5.4 Participation, consultation and representation
Provision of Workers
representation at all
mechanism, time,
applicable levels and
training & resources
functions including
trainings &
Communication
Participation in Participation and

identifying hazards, Consultation in OH&S
emergencies, - Employee
incident/accident - Worker Timely and
investigations and understandable
related controls Provision of
information
Provision of healthy,
fearfree platform for
Suggestions, inputs,
response
The organization need to establish a process to ensure effective participation and consultation in the OH&S
management system by workers at all levels and functions of the organization by: a) providing workers
(and, as applicable, their representatives) at all levels under its direct control with the mechanisms, time
and resources necessary to participate in, at a minimum, the following processes of the OH&S management
system: 1) Context of the organization; 2) Planning; 3) Support 4) Operation 5)
Performance evaluation 6) Improvement b) providing workers (and, as applicable, their
representatives) at all levels under its direct control with the mechanisms, time, training and resources
necessary to be consulted in, at a minimum the process of developing the policy; c) providing workers

(and, as applicable, their representatives) at all levels with timely access to clear, understandable and
relevant information about the OH&S management system; d) identifying and removing obstacles or
barriers to participation and minimizing those that cannot be removed; e) encouraging timely reporting
and response to work-related hazards, OH&S risks, OH&S opportunities, incidents and nonconformities.
The organization need to ensure that, when appropriate, relevant external interested parties are consulted
about matters pertinent to the OH&S management system.
6 Planning
6.1 Actions to address risks and opportunities

6.1.1 When planning for the Quality, Environment, Occupational Health & Safety and Energy Management
System, the organization need to consider the issues and the requirements and determine the risks and
opportunities that need to be addressed to:
a) give assurance that the Quality, Environment, Occupational Health & Safety and Energy Management
System can achieve its intended result(s);
b) enhance desirable effects; c) prevent, or reduce, undesired effects;d) achieve improvement.
6.1.2 The organization need to plan:
a) actions to address these risks and opportunities; b) how to:1) integrate and implement the actions into its
Quality, Environment, Occupational Health & Safety and Energy Management System processes (see
4.4);2) evaluate the effectiveness of these actions. Actions taken to address risks and opportunities need to
be proportionate to the potential impact on the conformity of products and services.
EMS 6.1.2 Environmental aspects

Within the defined scope of the EMS, the organization need to determine the environmental aspects of its
activities, products and services that it can control and those that it can influence, and their associated
environmental impacts, considering a life cycle perspective.
While determining environmental aspects, the organization needs to take into account:
a) change, including planned or new developments, and new or modified activities, products and services;
b) abnormal conditions and reasonably foreseeable emergency situations.

The organization need to determine those aspects that have or can have a significant environmental impact,
i.e. significant environmental aspects, by using established criteria.
The organization need to communicate its significant environmental aspects among the various levels and
functions of the organization, as appropriate.
The organization need to maintain documented information of its: (i) environmental aspects and associated
environmental impacts; (ii) criteria used to determine its significant environmental aspects; (iii) significant
environmental aspects.
EMS 6.1.3 Compliance obligations

The organization need to: a) determine and have access to the compliance obligations related to its
environmental aspects; b) determine how these compliance obligations apply to the organization; c) take
these compliance obligations into account while establishing, implementing, maintaining and continually
improving its EMS.
The organization need to maintain documented information of its compliance obligations.
NOTE: Compliance obligations can result in risks and opportunities to the organization.
OH&S 6.1.2 Hazard identification and assessment of OH&S risks

6.1.2.1 General The organization need to ensure that the processes for hazard identification and
assessment of OH&S risks involve the participation of workers (and, as applicable, their representatives).
6.1.2.2 Hazard identification

The organization need to establish, implement and maintain a process for the on-going proactive
identification of hazards arising in the workplace, and to workers. The process need to take into account: a)
routine and non-routine activities and situations, including consideration of 1) infrastructure, equipment,
materials, substances and the physical conditions of the workplace; 2) hazards that arise as a result of
product design including during research, development, testing, production, assembly, construction, service
delivery, maintenance or disposal; 3) human factors; b) emergency situations; c) people, including
consideration of: 1) those with access to the workplace and their activities, including workers,
contractors and visitors; 1. 2) those in the vicinity of the workplace who can be affected by the activities
of the organization; 2. 3) workers who perform work-related activities at a location which is not under
the direct control of the organization; d) the organization‘s operations and activities, including
consideration of: 1) the design of work areas, processes, installations, machinery/equipment, operating
procedures and work organization, including their adaptation to human capabilities; 2) changes in
knowledge of, and information about, hazards; 3) situations occurring in the vicinity of the workplace
caused by work-related activities under the control of the organization; 4) situations not controlled by the
organization and occurring in the vicinity of the workplace that can cause injury or ill-health to persons in
the workplace; e) actual or proposed changes in the organization, its operations, processes, activities and
OH&S management system; f) past incidents, internal or external to the organization, including
emergencies, and their causes.

6.1.2.3 Assessment of OH&S risks
The organization need to establish, implement and maintain a process to:
a) assess OH&S risks from the identified hazards taking into account applicable legal and other
requirements, the effectiveness of existing controls and considering the hierarchy of controls set out in
8.1.2; b) identify opportunities to eliminate or reduce OH&S risks. The organization’s methodology(ies)
and criteria for assessment of OH&S risks need to be defined with respect to scope, nature and timing, to
ensure it is proactive rather than reactive and used in a systematic way.
6.1.2.4 OH&S opportunities

The organizations need to establish, implement and maintain a process to identify opportunities to enhance
health and safety taking into account: a) planned changes to the organization, its processes or its
activities; b) opportunities to eliminate or reduce OH&S risks; c) opportunities to adapt work to
workers, as applicable.
6.1.3 Determination of applicable legal and other requirements

The organization need to establish, implement and maintain a process to: a) identify and have access to
up-to-date legal and other requirements that are applicable to its OH&S risks and OH&S management
system; b) determine how to apply and meet these requirements.
The organization need to maintain and retain documented information of: applicable legal and other
requirements, ensuring this documented information is updated to reflect changes; how compliance with
its applicable legal and other requirements will be achieved.
6.1.4 Other risks and opportunities to the OH&S management system

The organization need to establish, implement and maintain a process to assess the risks and identify
opportunities related to the establishment, implementation, operation and maintenance of the OH&S
management system that can occur from the issues identified in 4.1 and 4.2.
6.2 Quality, Environment, Occupational Health & Safety and Energy objectives and planning to
achieve them
6.2.1 The organization need to establish quality objectives at relevant functions, levels and processes
needed for the Quality, Environment, Occupational Health & Safety and Energy Management System. The
quality objectives need to: a) be consistent with the quality policy; b) be measurable; c) take into account
applicable requirements; d) be relevant to conformity of products and services and to enhancement of
Customer and Interested Parties satisfaction; e) be monitored; f) be communicated; g) be updated as
appropriate.
The organization need to maintain documented information on the quality objectives.
6.2.2 When planning how to achieve its quality objectives, the organization need to determine:
a) what will be done; b) what resources will be required; c) who will be responsible; d) when it will be
completed; e) how the results will be evaluated.

6.3 Planning of changes
When the organization determines the need for changes to the Quality, Environment, Occupational Health
& Safety and Energy Management System, the changes need to be carried out in a planned manner The
organization need to consider: a) the purpose of the changes and their potential consequences; b) the
integrity of the Quality, Environment, Occupational Health & Safety and Energy Management System; c)
the availability of resources; d) the allocation or reallocation of responsibilities and authorities.
Consider purpose of
Consider best
the changes/actions
practices, Consider integrity of
and their potential the system &
technologies,
consequences operational controls
financial, operational
& business
requirements
Planning of
Consider the Action/Change Consider availability of
significant resources
risk/emergencies and
opportunities involved
Allocation or Consider applicable

reallocation of legal & other
responsibilities and requirements and its
authorities compliance
obligations
EnMS 6.3 Energy review

The organization need to develop and conduct an energy review.
To develop the energy review, the organization need to:
a) analyse energy use and consumption based on measurement and other data, i.e.:
1) identify current types of energy (see 3.5.1);
2) evaluate past and current energy use(s) and consumption;
b) based on the analysis, identify SEUs (see 3.5.6);
c) for each SEU:
1) determine relevant variables;
2) determine current energy performance;
3) identify the person(s) doing work under its control that influence or affect the SEUs;
d) determine and prioritize opportunities for improving energy performance;
e) estimate future energy use(s) and energy consumption.
The energy review need to be updated at defined intervals, as well as in response to major changes in
facilities, equipment, systems or energy-using processes.
The organization need to maintain as documented information (see 7.5) the methods and criteria used to
develop the energy review, and need to retain documented information of its results.

EnMS 6.4 Energy performance indicators
The organization need to determine EnPIs that:
a) are appropriate for measuring and monitoring its energy performance;
b) enable the organization to demonstrate energy performance improvement.
The method for determining and updating the EnPI(s) need to be maintained as documented information.
Where the organization has data indicating that relevant variables significantly affect energy performance,
the organization need to consider such data to establish appropriate EnPI(s). EnPI value(s) need to be
reviewed and compared to their respective EnB(s), as appropriate. The organization need to retain
documented information of EnPI value(s).
EnMS 6.5 Energy baseline

The organization need to establish (an) EnB(s) using the information from the energy review(s) , taking
into account a suitable period of time.
Where the organization has data indicating that relevant variables significantly affect energy performance,
the organization need to carry out normalization of the EnPI value(s) and corresponding EnB(s).
NOTE Depending on the nature of the activities, normalization can be a simple adjustment, or a more
complex procedure.
EnB(s) need to be revised in the case of one or more of the following:
a) EnPI(s) no longer reflect the organization’s energy performance;
b) there have been major changes to the static factors;
c) according to a pre-determined method.
The organization need to retain information of EnB(s), relevant variable data and modifications to EnB(s)
as documented information.
EnMS 6.6 Planning for collection of energy data

The organization need to ensure that key characteristics of its operations affecting energy performance are
identified, measured, monitored and analysed at planned intervals (see 9.1). The organization need to

define and implement an energy data collection plan appropriate to its size, its complexity, its resources and
its measurement and monitoring equipment. The plan need to specify the data necessary to monitor the key
characteristics and state how and at what frequency the data need to be collected and retained.
Data to be collected (or acquired by measurement as applicable) and retained documented information need
to include:
a) the relevant variables for SEUs;
b) energy consumption related to SEUs and to the organization;
c) operational criteria related to SEUs;
d) static factors, if applicable;
e) data specified in action plans.
The energy data collection plan need to be reviewed at defined intervals and updated as appropriate.
The organization need to ensure that the equipment used for measurement of key characteristics provides
data which are accurate and repeatable. The organization need to retain documented information on
measurement, monitoring and other means of establishing accuracy and repeatability.
7 Support
7.1 Resources
7.1.1 General
The organization need to determine and provide the resources needed for the establishment,
implementation, maintenance and continual improvement of the Quality, Environment, Occupational
Health & Safety and Energy Management System.
The organization need to consider: a) the capabilities of, and constraints on, existing internal resources; b)
what needs to be obtained from external providers.

7.1.2 People
The organization need to determine and provide the persons necessary for the effective implementation of
its Quality, Environment, Occupational Health & Safety and Energy Management System and for the
operation and control of its processes.
7.1.3 Infrastructure
The organization need to determine, provide and maintain the infrastructure necessary for the operation of
its processes and to achieve conformity of products and services.
7.1.4 Environment for the operation of processes

The organization need to determine, provide and maintain the environment necessary for the operation of
its processes and to achieve conformity of products and services.
7.1.5 Monitoring and measuring resources

7.1.5.1 General
The organization need to determine and provide the resources needed to ensure valid and reliable results
when monitoring or measuring is used to verify the conformity of products and services to requirements.
The organization need to ensure that the resources provided: a) are suitable for the specific type of
monitoring and measurement activities being undertaken; b) are maintained to ensure their continuing
fitness for their purpose.The organization need to retain appropriate documented information as evidence of
fitness for purpose of the monitoring and measurement resources.
7.1.5.2 Measurement traceability

When measurement traceability is a requirement, or is considered by the organization to be an essential part
of providing confidence in the validity of measurement results, measuring equipment need to be: a)
calibrated or verified, or both, at specified intervals, or prior to use, against measurement standards
traceable to international or national measurement standards; when no such standards exist, the basis used
for calibration or verification need to be retained as documented information; b) identified in order to
determine their status;
c) safeguarded from adjustments, damage or deterioration that would invalidate the calibration status and
subsequent measurement results. The organization need to determine if the validity of previous
measurement results has been adversely affected when measuring equipment is found to be unfit for its
intended purpose, and need to take appropriate action as necessary.
7.1.6 Organizational knowledge

The organization need to determine the knowledge necessary for the operation of its processes and to
achieve conformity of products and services.
This knowledge need to be maintained and be made available to the extent necessary.

When addressing changing needs and trends, the organization need to consider its current knowledge and
determine how to acquire or access any necessary additional knowledge and required updates.
7.2 Competence
The organization need to: a) determine the necessary competence of person(s) doing work under its control
that affects the performance and effectiveness of the Quality, Environment, Occupational Health & Safety
and Energy Management System; b) ensure that these persons are competent on the basis of appropriate
education, training, or experience; c) where applicable, take actions to acquire the necessary competence,
and evaluate the effectiveness of the actions taken; d) retain appropriate documented information as
evidence of competence.
7.3 Awareness
The organization need to ensure that persons doing work under the organization’s control are aware of: a)
the quality policy; b) relevant quality objectives; c) their contribution to the effectiveness of the Quality,
Environment, Occupational Health & Safety and Energy Management System, including the benefits of
improved performance; d) the implications of not conforming with the Quality, Environment, Occupational
Health & Safety and Energy Management System requirements.
7.4 Communication
The organization need to determine the internal and external communications relevant to the Quality,
Environment, Occupational Health & Safety and Energy Management System, including: a) on what it will
communicate; b) when to communicate; c) with whom to communicate; d) how to communicate; e) who
communicates.
7.5 Documented information

7.5.1 General
The organization’s Quality, Environment, Occupational Health & Safety and Energy Management System
need to include: a) documented information required by this International Standard; b) documented
information determined by the organization as being necessary for the effectiveness of the Quality,
Environment, Occupational Health & Safety and Energy Management System.

7.5.2 Creating and updating
When creating and updating documented information, the organization need to ensure appropriate: a)
identification and description (e.g. a title, date, author, or reference number);
b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic);
c) review and approval for suitability and adequacy.
7.5.3 Control of documented information

7.5.3.1 Documented information required by the Quality, Environment, Occupational Health & Safety and
Energy Management System and by this International Standard need to be controlled to ensure:
a) it is available and suitable for use, where and when it is needed; b) it is adequately protected (e.g. from
loss of confidentiality, improper use, or loss of integrity).
7.5.3.2 For the control of documented information, the organization need to address the following
activities, as applicable:
a) distribution, access, retrieval and use; b) storage and preservation, including preservation of legibility; c)
control of changes (e.g. version control); d) retention and disposition. Documented information of external
origin determined by the organization to be necessary for the planning and operation of the Quality,
Environment, Occupational Health & Safety and Energy Management System need to be identified as
appropriate, and be controlled. Documented information retained as evidence of conformity need to be
protected from unintended alterations.

8 Operation
8.1 Operational planning and control
The organization need to plan, implement and control the processes (see 4.4) needed to meet the
requirements for the provision of products and services, and to implement the actions determined in Clause
6, by: a) determining the requirements for the products and services; b) establishing criteria for: 1) the
processes;2) the acceptance of products and services; c) determining the resources needed to achieve
conformity to the product and service requirements; d) implementing control of the processes in accordance
with the criteria; e) determining, maintaining and retaining documented information to the extent
necessary: 1) to have confidence that the processes have been carried out as planned; 2) to demonstrate the
conformity of products and services to their requirements. The output of this planning need to be suitable
for the organization’s operations. The organization need to control planned changes and review the
consequences of unintended changes, taking action to mitigate any adverse effects, as necessary. The
organization need to ensure that outsourced processes are controlled (see 8.4).
EMS 8.1 Operational planning and control

The organization need to establish, implement, control and maintain the processes needed to meet EMS
requirements, and to implement the actions : (i) establishing operating criteria for the process(es); (ii)
implementing control of the process(es), in accordance with the operating criteria.
The organization need to control planned changes and review the consequences of unintended changes,
taking action to mitigate any adverse effects, as necessary. The organization need to ensure that outsourced
processes are controlled or influenced. The type and extent of control or influence to be applied to the
process(es) need to be defined within the EMS. Consistent with a life cycle perspective, the organization
need to:
a) establish controls, as appropriate, to ensure that its environmental requirement(s) is (are) addressed in the
design and development process for the product or service, considering each life cycle stage; b) determine
its environmental requirement(s) for the procurement of products and services, as appropriate; c)
communicate its relevant environmental requirement(s) to external providers, including contractors; d)
consider the need to provide information about potential significant environmental impacts associated with
the transportation or delivery, use, end-of-life treatment and final disposal of its products and services. The

organization need to maintain documented information to the extent necessary to have confidence that the
processes have been carried out as planned.
EMS 8.2 Emergency preparedness and response

The organization need to establish, implement and maintain the process(es) needed to prepare for and
respond to potential emergency situations identified. The organization need to: a) prepare to respond by
planning actions to prevent or mitigate adverse environmental impacts from emergency situations; b)
respond to actual emergency situations; c) take actions to prevent or mitigate the consequences of
emergency situations, appropriate to the magnitude of the emergency and the potential environmental
impact; d) periodically test the planned response actions, where practicable; e) periodically review and
revise the process(es) and planned response actions, in particular after the occurrence of emergency
situations or tests; f) provide relevant information and training related to emergency preparedness and
response, as appropriate, to relevant interested parties, including persons working under its control.
The organization need to maintain documented information to the extent necessary to have confidence that
the process(es) is (are) carried out as planned.
OH&S 8.1.2 Hierarchy of controls

The organization need to establish a process for achieving reduction in OH&S risks using the following
hierarchy: a) eliminate the hazard; b) substitute with less hazardous materials, processes, operations or
equipment; c) use engineering controls; d) use administrative controls including safety signs, markings,
warning devices and safe system of work; e) use personal protective equipment. The organization need
to ensure that the OH&S risks and determined controls are taken into account when establishing,
implementing and maintaining its OH&S management system.
OH&S 8.2 Management of change

The organization need to plan and manage temporary or permanent changes to the OH&S management
system to ensure they do not have a negative impact on OH&S performance including: a) the resolution
of incidents and nonconformities; b) new products, processes or services at the design stage or re-design
stage c) changes in knowledge or information about hazards; d) changes to work processes,
procedures, equipment, organizational structure, staffing, products, services, contractors or suppliers; e)
developments in knowledge and technology; f) changes to applicable legal or other requirements. The
organization need to establish a process for the implementation and control of planned changes. The
responsibilities and authorities for managing changes and their associated OH&S risks need to be
identified.
The organization need to and review the consequences of unintended changes, taking action to mitigate any
adverse effects, as necessary.
OH&S 8.6 Emergency preparedness and response

The organization need to assess OH&S risks associated with emergency situations and establish, implement
and maintain a process to anticipate, prevent or minimize OH&S risks from potential emergencies,
including: a) the identification and planning for potential emergency situations; b) the preparation of a
planned response to emergency situations; c) the periodic testing and exercise of emergency response
capability; d) the evaluation and revision of emergency preparedness as necessary, including after testing
and in particular after the occurrence of emergency situations; e) the provision of relevant information
to all members of the organization, at all levels, on their duties and responsibilities; f) the provision of
training for emergency prevention, preparedness and response; g) the communication of information to
contractors, visitors, relevant emergency response services, government authorities, and the local
community. In all stages of the process the organization need to take into account the needs and capabilities
of all relevant interested parties and ensure their involvement. The organization need to keep up-to-date
documented information for the process and on the plans for potential emergency situations.
HAZOURDOUS
GAS RELEASE TOXIC/CHEMICAL
NATURAL
SPILLAGE
CALAMITIES
MEDICAL: FIRE/EXPLOSION/
HEART ATTACK, BURSTING
NEUROLOGICAL/
UROLOGICAL/LUNGS EMERGENCIES
FAILURES, FALL FROM
HEIGHT ETC.
ELECTRICAL,
MECHANICAL
INFRASTRUCTU
TERRORIST/ RADIOLOGICAL
RE COLLAPSE /NUCLEAR
WILD ANIMAL
ATTACK ATTACKS
EnMS 8.1 Operational planning and control

The organization need to plan, implement and control the processes, related to its SEUs, needed to meet
requirements and to implement the actions determined by:
a) establishing criteria for the processes, including the effective operation and maintenance of facilities,
equipment, systems and energy-using processes, where their absence can lead to a significant deviation
from intended energy performance;
NOTE Significant deviation criteria are determined by the organization.
b) communicating the criteria to relevant person(s) doing work under the control of the organization; c)
implementing control of the processes in accordance with the criteria, including operating and
maintaining facilities, equipment, systems and energy-using processes in accordance with established
criteria;
d) keeping documented information to the extent necessary to have confidence that the processes have been
carried out as planned.
The organization need to control planned changes and review the consequences of unintended changes,
taking actions to mitigate any adverse effects, as necessary.

The organization need to ensure that outsourced SEUs or processes related to its SEUs are controlled.
8.2 Requirements for products and services

8.2.1 Customer and Interested Parties communication
Communication with Customer and Interested Partiess need to include: a) providing information relating to
products and services;b) handling enquiries, contracts or orders, including changes; c) obtaining Customer
and Interested Parties feedback relating to products and services, including Customer and Interested Parties
complaints; d) handling or controlling Customer and Interested Parties property; e) establishing specific
requirements for contingency actions, when relevant.
8.2.2 Determining the requirements for products and services

When determining the requirements for the products and services to be offered to Customer and Interested
Partiess, the organization need to ensure that: a) the requirements for the products and services are defined,
including: 1) any applicable statutory and regulatory requirements; 2) those considered necessary by the
organization; b) the organization can meet the claims for the products and services it offers.
8.2.3 Review of the requirements for products and services

8.2.3.1 The organization need to ensure that it has the ability to meet the requirements for products and
services to be offered to Customer and Interested Partiess. The organization need to i) conduct a review
before committing to supply products and services to a Customer and Interested Parties, to include: a)
requirements specified by the Customer and Interested Parties, including the requirements for delivery and
post- delivery activities;
b) requirements not stated by the Customer and Interested Parties, but necessary for the specified or
intended use, when known; c) requirements specified by the organization; d) statutory and regulatory
requirements applicable to the products and services; e) contract or order requirements differing from those
previously expressed. ii)ensure that contract or order requirements differing from those previously defined
are resolved. iii) be confirmed by the organization before acceptance, when the Customer and Interested
Parties does not provide a documented statement of their requirements.
8.2.3.2 The organization need to retain documented information, as applicable:

a) on the results of the review; b) on any new requirements for the products and services.
8.2.4 Changes to requirements for products and services

The organization need to ensure that relevant documented information is amended, and that relevant
persons are made aware of the changed requirements, when the requirements for products and services are
changed.
8.3 Design and development of products and services

8.3.1 General

The organization need to establish, implement and maintain a design and development process that is
appropriate to ensure the subsequent provision of products and services.
8.3.2 Design and development planning

In determining the stages and controls for design and development, the organization need to consider: a)
the nature, duration and complexity of the design and development activities;b) the required process stages,
including applicable design and development reviews; c) the required design and development verification
and validation activities; d) the responsibilities and authorities involved in the design and development
process;e) the internal and external resource needs for the design and development of products and
services; f) the need to control interfaces between persons involved in the design and development process;
g) the need for involvement of Customer and Interested Partiess and users in the design and development
process; h) the requirements for subsequent provision of products and services; i) the level of control
expected for the design and development process by Customer and Interested Partiess and other relevant
interested parties; j) the documented information needed to demonstrate that design and development
requirements have been met.
8.3.3 Design and development inputs

The organization need to determine the requirements essential for the specific types of products and
services to be designed and developed. The organization need to consider:
a) functional and performance requirements; b) information derived from previous similar design and
development activities; c) statutory and regulatory requirements; d) standards or codes of practice that the
organization has committed to implement; e) potential consequences of failure due to the nature of the
products and services. Inputs need to be adequate for design and development purposes, complete and
unambiguous. Conflicting design and development inputs need to be resolved. The organization need to
retain documented information on design and development inputs.
8.3.4 Design and development controls

The organization need to apply controls to the design and development process to ensure that:
a) the results to be achieved are defined; b) reviews are conducted to evaluate the ability of the results of
design and development to meet requirements; c) verification activities are conducted to ensure that the
design and development outputs meet the input requirements; d) validation activities are conducted to
ensure that the resulting products and services meet the requirements for the specified application or
intended use; e) any necessary actions are taken on problems determined during the reviews, or verification
and validation activities; f) documented information of these activities is retained.
8.3.5 Design and development outputs

The organization need to ensure that design and development outputs: a) meet the input requirements; b)
are adequate for the subsequent processes for the provision of products and services; c) include or reference
monitoring and measuring requirements, as appropriate, and acceptance criteria; d) specify the

characteristics of the products and services that are essential for their intended purpose and their safe and
proper provision. The organization need to retain documented information on design and development
outputs.
8.3.6 Design and development changes

The organization need to identify, review and control changes made during, or subsequent to, the design
and development of products and services, to the extent necessary to ensure that there is no adverse impact
on conformity to requirements. The organization need to retain documented information on: a) design and
development changes;b) the results of reviews; c) the authorization of the changes; d) the actions taken to
prevent adverse impacts.
EnMS 8.2 Design

The organization need to consider energy performance improvement opportunities and operational control
in the design of new, modified and renovated facilities, equipment, systems and energy-using processes
that can have a significant impact on its energy performance over the planned or expected operating
lifetime.
Where applicable, the results of the energy performance consideration need to be incorporated into
specification, design and procurement activities.
The organization need to retain
8.4 Control of externally provided processes, products and services

8.4.1 General
The organization need to ensure that externally provided processes, products and services conform to
requirements. The organization need to determine the controls to be applied to externally provided
processes, products and services when: a) products and services from external providers are intended for
incorporation into the organization’s own products and services; b) products and services are provided
directly to the Customer and Interested Parties(s) by external providers on behalf of the organization; c) a
process, or part of a process, is provided by an external provider as a result of a decision by the
organization. The organization need to determine and apply criteria for the evaluation, selection,
monitoring of performance, and re-evaluation of external providers, based on their ability to provide
processes or products and services in accordance with requirements. The organization need to retain
documented information of these activities and any necessary actions arising from the evaluations.

8.4.2 Type and extent of control
The organization need to ensure that externally provided processes, products and services do not adversely
affect the organization’s ability to consistently deliver conforming products and services to its Customer
and Interested Partiess. The organization need to: a) ensure that externally provided processes remain
within the control of its Quality, Environment, Occupational Health & Safety and Energy Management
System; b) define both the controls that it intends to apply to an external provider and those it intends to
apply to the resulting output;
c) take into consideration: 1) the potential impact of the externally provided processes, products and
services on the organization’s ability to consistently meet Customer and Interested Parties and applicable
statutory and regulatory requirements; 2) the effectiveness of the controls applied by the external provider;
d) determine the verification, or other activities, necessary to ensure that the externally provided processes,
products and services meet requirements.
8.4.3 Information for external providers

The organization need to ensure the adequacy of requirements prior to their communication to the external
provider. The organization need to communicate to external providers its requirements for: a) the
processes, products and services to be provided; b) the approval of:
1) products and services; 2) methods, processes and equipment; 3) the release of products and services; c)
competence, including any required qualification of persons; d) the external providers’ interactions with the
organization; e) control and monitoring of the external providers’ performance to be applied by the
organization; f) verification or validation activities that the organization, or its Customer and Interested
Parties, intends to perform at the external providers’ premises.
OH&S 8.3 Outsourcing

The organization need to ensure that outsourced processes affecting its OH&S management system are
controlled. The type and degree of control to be applied to these processes need to be defined within the
OH&S management system.

OH&S 8.4 Procurement
The organization need to establish controls for procurement, e.g. of products, hazardous materials or
substances, raw materials, equipment, or services, in order to ensure that procured items conform to its
OH&S management system requirements.
OH&S 8.5 Contractors

The organization need to establish processes to identify and communicate on the hazards, and to evaluate
and control the OH&S risks, arising from the: a) contractor‘s activities and operations to the
organization‘s workers; b) organization‘s activities and operations to the contractors' workers; c)
contractor‘s activities and operations to other interested parties in the workplace. The organization need to
establish and maintain processes to ensure that the requirements of the organization's OH&S management
system, or at least the equivalent, are met by contractors and their workers. These processes need to include
the criteria for selection of contractors. On multi-employer workplaces, the organization need to
implement a process for coordinating the relevant portions of the OH&S management system with other
organizations.
EnMS 8.3 Procurement

The organization need to establish and implement criteria for evaluating energy performance over the
planned or expected operating lifetime, when procuring energy using products, equipment and services
which are expected to have a significant impact on the organization's energy performance.
When procuring energy using products, equipment and services that have, or can have, an impact on SEUs,
the organization need to inform suppliers that energy performance is one of the evaluation criteria for
procurement.
Where applicable, the organization need to define and communicate specifications for:
a) ensuring the energy performance of procured equipment and services;
b) the purchase of energy.
8.5 Production and service provision

8.5.1 Control of production and service provision
The organization need to implement production and service provision under controlled conditions.
Controlled conditions need to include, as applicable: a) the availability of documented information that
defines: 1) the characteristics of the products to be produced, the services to be provided, or the activities to
be performed; 2) the results to be achieved; b) the availability and use of suitable monitoring and
measuring resources; c) the implementation of monitoring and measurement activities at appropriate stages
to verify that criteria for control of processes or outputs, and acceptance criteria for products and services,
have been met; d) the use of suitable infrastructure and environment for the operation of processes; e) the
appointment of competent persons, including any required qualification; f) the validation, and periodic
revalidation, of the ability to achieve planned results of the processes for production and service provision,

where the resulting output cannot be verified by subsequent monitoring or measurement; g) the
implementation of actions to prevent human error; h) the implementation of release, delivery and post-
delivery activities.
8.5.2 Identification and traceability

The organization need to :a. use suitable means to identify outputs when it is necessary to ensure the
conformity of products and services. b. identify the status of outputs with respect to monitoring and
measurement requirements throughout production and service provision.
c. control the unique identification of the outputs when traceability is a requirement, and need to retain the
documented information necessary to enable traceability.
8.5.3 Property belonging to Customer and Interested Parties or external providers

The organization need to- a. exercise care with property belonging to Customer and Interested Partiess or
external providers while it is under the organization’s control or being used by the organization.
b. identify, verify, protect and safeguard Customer and Interested Partiess’ or external providers’ property
provided for use or incorporation into the products and services. c. report this to the Customer and
Interested Parties or external provider and retain documented information on what has occurred When the
property of a Customer and Interested Parties or external provider is lost, damaged or otherwise found to be
unsuitable for use.
8.5.4 Preservation
The organization need to preserve the outputs during production and service provision, to the extent
necessary to ensure conformity to requirements.
8.5.5 Post-delivery activities

The organization need to meet requirements for post-delivery activities associated with the products and
services. In determining the extent of post-delivery activities that are required, the organization need to
consider: a) statutory and regulatory requirements; b) the potential undesired consequences associated with
its products and services; c) the nature, use and intended lifetime of its products and services; d) Customer
and Interested Parties requirements; e) Customer and Interested Parties feedback.
8.5.6 Control of changes

The organization need to review and control changes for production or service provision, to the extent
necessary to ensure continuing conformity with requirements.
The organization need to retain documented information describing the results of the review of changes, the
person(s) authorizing the change, and any necessary actions arising from the review.
8.6 Release of products and services

The organization need to implement planned arrangements, at appropriate stages, to verify that the product
and service requirements have been met. The release of products and services to the Customer and
Interested Parties need to not proceed until the planned arrangements have been satisfactorily completed,
unless otherwise approved by a relevant authority and, as applicable, by the Customer and Interested
Parties. The organization need to retain documented information on the release of products and services.
The documented information need to include: a) evidence of conformity with the acceptance criteria; b)
traceability to the person(s) authorizing the release.
8.7 Control of nonconforming outputs

8.7.1 The organization need to ensure that outputs that do not conform to their requirements are identified
and controlled to prevent their unintended use or delivery. The organization need to take appropriate action
based on the nature of the nonconformity and its effect on the conformity of products and services. This
need to also apply to nonconforming products and services detected after delivery of products, during or
after the provision of services. The organization need to deal with nonconforming outputs in one or more of
the following ways: a) correction;
b) segregation, containment, return or suspension of provision of products and services;
c) informing the Customer and Interested Parties; d) obtaining authorization for acceptance under
concession.
Conformity to the requirements need to be verified when nonconforming outputs are corrected.
8.7.2 The organization need to retain documented information that: a) describes the nonconformity; b)
describes the actions taken; c) describes any concessions obtained; d) identifies the authority deciding the
action in respect of the nonconformity.
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
The organization need to determine: a) what needs to be monitored and measured; b) the methods for
monitoring, measurement, analysis and evaluation needed to ensure valid results; c) when the monitoring
and measuring need to be performed; d) when the results from monitoring and measurement need to be

analysed and evaluated. The organization need to evaluate the performance and the effectiveness of the
Quality, Environment, Occupational Health & Safety and Energy Management System. The organization
need to retain appropriate documented information as evidence of the results.
9.1.2 Customer and Interested Parties satisfaction

The organization need to monitor Customer and Interested Partiess’ perceptions of the degree to which
their needs and expectations have been fulfilled. The organization need to determine the methods for
obtaining, monitoring and reviewing this information. NOTE :Examples of monitoring Customer and
Interested Parties perceptions can include Customer and Interested Parties surveys, Customer and
Interested Parties feedback on delivered products and services, meetings with Customer and Interested
Parties, market-share analysis, compliments, warranty claims and dealer reports.
EMS,OHS,EnMS 9.1.2 Evaluation of compliance with legal requirements and other requirements
At planned intervals, the organization need to evaluate compliance with legal and other requirements (see
4.2) related to its energy efficiency, energy use, energy consumption and the EnMS. The organization need
to retain documented information (see 7.5) on the results of the evaluation of compliance and any actions
taken.
-Volutary
principles/code of Requirement from
conducts, Govt.
- Obligations arising entities/authorities - International,
from contractual
activities National, Local laws &
- Environmental regulations
Committement - Relevant
organizational
Agreement with
communities/non- Compliance Obligations
govt. organizations, Requirements specified
Public authorities in permits, licenses or
other forms of
authorizations
Judgement of courts Orders, rules or

or administrative guidance from
tribunals regulatory agencies
9.1.3 Analysis and evaluation

The organization need to analyse and evaluate appropriate data and information arising from monitoring
and measurement. The results of analysis need to be used to evaluate:
a) conformity of products and services; b) the degree of Customer and Interested Parties satisfaction; c) the
performance and effectiveness of the Quality, Environment, Occupational Health & Safety and Energy
Management System; d) if planning has been implemented effectively; e) the effectiveness of actions taken
to address risks and opportunities; f) the performance of external providers; g) the need for improvements
to the Quality, Environment, Occupational Health & Safety and Energy Management System. NOTE:
Methods to analyse data can include statistical techniques.

9.2 Internal audit
9.2.1 The organization need to conduct internal audits at planned intervals to provide information on
whether the Quality, Environment, Occupational Health & Safety and Energy Management System: a)
conforms to: 1) the organization’s own requirements for its Quality, Environment, Occupational Health &
Safety and Energy Management System; 2) the requirements of this International Standard; b) is effectively
implemented and maintained.
9.2.2 The organization need to: a) plan, establish, implement and maintain an audit programme(s) including
the frequency, methods, responsibilities, planning requirements and reporting, which need to take into
consideration the importance of the processes concerned, changes affecting the organization, and the results
of previous audits; b) define the audit criteria and scope for each audit; c) select auditors and conduct audits
to ensure objectivity and the impartiality of the audit process; d) ensure that the results of the audits are
reported to relevant management; e) take appropriate correction and corrective actions without undue
delay;
f) retain documented information as evidence of the implementation of the audit programme and the audit
results.
9.3 Management review

9.3.1 General
Top management need to review the organization’s Quality, Environment, Occupational Health & Safety
and Energy Management System, at planned intervals, to ensure its continuing suitability, adequacy,
effectiveness and alignment with the strategic direction of the organization.
9.3.2 Management review inputs

The management review need to be planned and carried out taking into consideration:
a) the status of actions from previous management reviews; b) changes in external and internal issues that
are relevant to the Quality, Environment, Occupational Health & Safety and Energy Management System;
c) information on the performance and effectiveness of the Quality, Environment, Occupational Health &
Safety and Energy Management System, including trends in: 1) Customer and Interested Parties
satisfaction and feedback from relevant interested parties; 2) the extent to which quality objectives have
been met; 3) process performance and conformity of products and services; 4) nonconformities and
corrective actions; 5) monitoring and measurement results; 6) audit results (Incl. Statutory and Regulatory
audits like safety audit, energy audit, environmental audit, Factory inspection, Boiler inspection etc.) ; 7)
the performance of external providers; d) the adequacy of resources; e) the effectiveness of actions taken to
address risks and opportunities; f) opportunities for improvement. 8) Status of compliance to Legal & other
requirements, 9) Status of Hazards, Aspects identified, controls established and its effectiveness, 10)
Accident, Incident investigation and action status , 11) Status of Energy review, SEUs identified and
controls established,

9.3.3 Management review outputs
The outputs of the management review need to include decisions and actions related to:
a) opportunities for improvement; b) any need for changes to the Quality, Environment, Occupational
Health & Safety and Energy Management System;
c) resource needs. The organization need to retain documented information as evidence of the results of
management reviews.
10 Improvement
10.1 General
The organization need to determine and select opportunities for improvement and implement any necessary
actions to meet Customer and Interested Parties requirements and enhance Customer and Interested Parties
satisfaction.
These need to include: a) improving products and services to meet requirements as well as to address future
needs and expectations; b) correcting, preventing or reducing undesired effects; c) improving the
performance and effectiveness of the Quality, Environment, Occupational Health & Safety and Energy
Management System.
OH&S 10.1 Incident, nonconformity and corrective action

When an incident or a nonconformity occurs, the organization need to: a) react in a timely manner to
the incident or nonconformity, and, as applicable: 1. 1) take action to control and correct it; 2. 2) deal
with the consequences; b) evaluate the need for corrective action, with the participation of workers
(and, as applicable, their representatives), to eliminate the root causes of the incident or nonconformity, in
order that it does not recur or occur elsewhere, by: 3. 1) reviewing the incident or nonconformity; 4. 2)
determining causes of the incident or nonconformity; 5. 3) determining if similar incidents and
nonconformities or causes exist, or could potentially occur; c) review the hazard identification and the
assessment of OH&S risks and risks, as appropriate (see 6.1); d) implement any action needed including
corrective action, in accordance with 8.2; e) review the effectiveness of any corrective action taken; f)
make changes to the OH&S management system, if necessary. Corrective actions need to be appropriate to
the effects or potential effects of the incidents or nonconformities encountered. The organization need to:
— retain documented information as evidence of: 1) the nature of the incidents or nonconformities
and any subsequent actions taken; 2) the results of any corrective action, including the effectiveness of

the actions taken. — communicate the documented information to relevant workers (and, as applicable,
their representatives) and relevant interested parties.
10.2 Nonconformity and corrective action

10.2.1 When a nonconformity occurs, including any arising from complaints, the organization need to: a)
react to the nonconformity and, as applicable: 1) take action to control and correct it;
2) deal with the consequences; b) evaluate the need for action to eliminate the cause(s) of the
nonconformity, in order that it does not recur or occur elsewhere, by: 1) reviewing and analysing the
nonconformity; 2) determining the causes of the nonconformity; 3) determining if similar nonconformities
exist, or could potentially occur; c) implement any action needed; d) review the effectiveness of any
corrective action taken; e) update risks and opportunities determined during planning, if necessary; f) make
changes to the Quality, Environment, Occupational Health & Safety and Energy Management System, if
necessary.
Corrective actions need to be appropriate to the effects of the nonconformities encountered.
10.2.2 The organization need to retain documented information as evidence of:

a) the nature of the nonconformities and any subsequent actions taken; b) the results of any corrective
action.
10.3 Continual improvement

The organization need to continually improve the suitability, adequacy and effectiveness of the Quality,
Environment, Occupational Health & Safety and Energy Management System .The organization need to
consider the results of analysis and evaluation, and the outputs from management review, to determine if
there are needs or opportunities that need to be addressed as part of continual improvement.
Risk Assessment & Control
Risk Controls/
Issues/
Process Risk/Impact S O D RPN (Significant/Non- Opportuni
Aspects/Hazards
Significant) ties
Legal Register
Sr. Name of Latest Aspects Require License Validity Date of Prescr Respon Any Legal Measure to Record Manual
No. the Amend- to be ments /Consent Period Renewal ibed sible case or Control Reference Reference
act/rule ments covered for No.& Limit Depart noncomplia
compli Date ment nce
ance
1
2

Energy Review Register
Auxiliary/Equipment Name :
Details:
Sr. No. Description Details
1. Energy Use & Consumption
2. Type of energy use
3. Process/ Equipments/ Systems/ Activity
4. Area/ Location
5. Energy Performance Indicators (EnPI)
6. Source of Data
7. Frequency of Monitoring
8. Responsibility
Energy Use & Consumption Factors affecting EnPI
Power consumption of Pump during operation
Operating Value Controls:

Sr.
Operating Value Controls
No.
1.
2.
Operational Controls:
Sr.
Operational Controls
No.
1.
2.
Maintenance Controls:
Sr.
Maintenance Controls
No.
1.
2.

ABOUT SQMS
Shreyas Quality Management Systems is a management training & consultancy firm focused on organizational
performance improvement through the globally accepted tools such as Lean manufacturing, 5S, ISO 9001QMS,
ISO14000 EMS,ISO 45001 OSHAS, ISO50001EnMS, TPM, ISO17025/15189 Lab Accreditation NABL, NABH,
TQM, quality costs, Lean Six Sigma, Design of Experiments etc. *SQMS was accredited by Consultancy
Development Centre, Govt of India, and ISO9001 QMS, ISO14001EMS & ISO 45001 OHSAS certified,
MSME registered and is Quality Council of India Registered Lean and Business Process Improvement , Lab
Management System(NABL) Consultant. It is lead by Dr.Ramesh R Lakhe who has completed his Doctoral
Program from NITIE Mumbai and is Registered Sr. Consultant for ISO 9001, Business Process Management & Lab
Management System with NRBPT, QCI, New Delhi. SQMS has well qualified, trained and experienced team in
diversified areas.
SQMS has been associated with Institution of Engineers (I) Nagpur and has conducted many programmes on
professional development. For last more than 10 years SQMS along with Institution of Engineers (I) Nagpur is
organizing All India Seminar ‘Quality Progress”. This seminar provides platform for researchers, academicians,
professionals to interact and present case studies and research. This seminar also conducts the competitions for
organizations such as “Quality Circle competition, 5 S & Kaizen Competition, Six Sigma Competition” etc. in which
participation from very large number of small, medium, large, Govt, public sector & private organization takes place.
SQMS has association with many engineering & management Institutes like Shri Ramedobaba College of
Engineering & Management Nagpur, YCCE Nagpur, Raisoni Engineering College, BNCOE Pusad etc. and have
signed MOU with them. This has resulted in availability of expert resources, facilities like library, centres for the
training and consultancy projects. Many of the faculty members of the institutes are associated with us in the training
& consultancy projects.
SQMS gives emphasis on learning & development. It regularly conducts in house trainings for its members on new
areas and provides opportunity to them through web as well as classroom learning. This keeps the knowledge level of
its members updated.
SQMS also give importance to research & development. Under the guidance of
Dr. Ramesh Lakhe, Director,SQMS, 14 scholars have completed their PhD research on the themes such as
Lean Manufacturing, TPM, TQM, Six Sigma, ISO etc. and many more are perusing. Also there has been
significant contribution to the literature through the publication of 25 books on Total Quality Management, ISO
systems, Six Sigma, QC Tools, SPC etc and more than 200 papers/articles in International and national
Journals/Conferences.
SQMS is committed for social development & is conducting “5 S “training for students of engineering and
motivating them in its implementation so as to improve housekeeping and also contribute towards inculcating culture
of Swaccha Bharat amongst the students. SQMS has also helped conduction of Pranayama and meditation
programmes for organizations such as Art of Living. AS its CSR activity, SQMS has provided consultancy for
development of systems and obtaining ISO9001 certification to organizations such as Central Prison, Nagpur.
SQMS has helped many organisations both from manufacturing and service sectors to analyse and improve
their performance through well established systems. It has team members possessing a wide spectrum of professional

qualifications, experience and expertise which could effectively and efficiently address improvement issues which are
of importance to business / organization. It has provided consultancy to more than 100 organisations both from
manufacturing and service sector (Organizations cover small, medium, large scale units from various sectors such as
Power, Health care, Software, Logistics, Laboratory, Furniture, etc.) for process, productivity & profit improvement.
The major clients of SQMS include NTPC, Adani Thermal Power Station, Indiabulls, Reliance Power,
Reliance Industries Ltd., MAHAGENCO, MAHATRASCO, MAHADISCOM, Mahindra & Mahindra, Pix
Transmission, Grind-well Norton, Indian Sky Tanking, MECL, NCL, SCCL, SMS Group, PESO, IBM,NEERI,
JNARDC, Spacewood, Micropro Software Sol, ICAR, CICR, Tata Steel, NMC, Bilaspur Municipal Corporation,
NEERI etc.
The details of SQMS can be obtained on www.sqmsindia.com
Consultancy Services Offered

✓ ISO 9001 : 2015 QMS,ISO14001:2015 EMS ,ISO 45001,ISO 15189, ISO17025 , ISO50001 ENMS, ISO
27001 ISMS
o Training and consultancy for certification
o Maintenance of the system through regular audits
o Documentation of the system
o Internal audit
o Pre-certification audit
✓ TQM Training and Implementation consultancy
✓ Design of Quality Cost Collection System and Analysis
✓ Six Sigma Green Belt Training & Consultancy
✓ TPM training and Implementation Consultancy
✓ Lean manufacturing tools and techniques Implementation Consultancy
✓ Quality Award ( CII Exim, Rajiv Gandhi National Quality Award, Bajaj Quality Award) Preparation
✓ Consultancy for Process mapping & improvement
✓ Good Manufacturing Practices (GMP)
Training Programmes Offered

Training programmes will be designed as per the requirements of the organization on various diversified topics
pertaining to process improvement which includes the following:
✓ ISO 9001 : 2015 QMS,ISO14001:2015 EMS ,ISO17025/15189 NABL ,ISO 27001 ISMS, ISO50001
ENMS,ISO45001:2018OHSAS: Awareness, Documentation, Internal Audit & Lead Auditor Training
✓ NABL-Lab Quality Management System
✓ ROOT CAUSE ANALYSIS (RCA)
✓ Safety, First Aid
✓ Green Audit
✓ Design of Experiments
✓ Quality Costs
✓ Total Quality Management
✓ Six Sigma
✓ Lean Manufacturing tools and techniques
✓ ISO/TS Tools like APQP, PPAP, MSA, Control plan,

✓ Statistical Process Control
✓ Total Productive Maintenance
✓ 5 S, Kaizen, Pokayoke
✓ Value Engineering
Auditing
SQMS conducts Green Audit, Safety Audit, Vendor audits, ISO Management system internal audits, 5 S audits for the
orgnisations.
Profile of Director, SQMS–

Dr. R. R. LAKHE, Director , SQMS , Nagpur
Ph.D. (Industrial Engineering) NITIE,
B.E.(Mech), M.Tech.(Prod).,Dip. Trg. & Dev.
MBA., M.A.(Socio) (Pub.Admt.), Qualified ISO 9001 QMS,ISO 14001EMS, ISO50001EnMS, ISO 45001 OHSAS
Lead Assessor, Master Black belt in Six Sigma
✓ 35 Years of Industrial, Consultancy, Training, Audit and Research experience
✓ Has authored more than 25 books on Quality Management System
✓ Active member of various professional associations such as IE(I), ISTE, IIIE, ISE, ISTD, IIPE, IIMM, NIQR
✓ Ex-Chairman ISTD Nagpur Chapter ,Ex-National Executive Councillor ISTE, Member Maharashtra State
Managing Committee IE(I), Member -Local Managing Committee IE(I) Nagpur and Member of Educational
Committee NCQM.
✓ Trainer & Consultant for NABH,NABL,TQM , Quality Awards, ISO 9001 , TS16949 , SEI-CMM,
ISO 14001 EMS,ISO 45001 OSHAS, ISO 50001, Six Sigma, 5S, Risk management
✓ Registered Sr. Consultant for ISO 9001, Business Process Management, Lean Manufacturing
consultant & Lab Management System with Quality Council Of India
✓ Provided consultancy to more than 200 organisations both from manufacturing & service sectors for process
improvement.
"Coming Together is Beginning,

Sharing Together is Progress;
Working Together is a Success"
Let‘s Work Together For Success…..

17.12.19 IMS Standards in Brief QEHSEn Course Material

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INTEGRATED MANAGEMENT SYSTEM

3 Terms and definitions

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

3.4.10 performance measurable result.

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

ISO Approach in Brief:

4 Context of the organization

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

5.1.2 Customer and Interested Parties focus

5.2.2 Communicating the quality policy

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

5.3 Organizational roles, responsibilities and authorities

OH&S 5.4 Participation, consultation and representation

Participation in Participation and

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

6.1 Actions to address risks and opportunities

EMS 6.1.2 Environmental aspects

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

EMS 6.1.3 Compliance obligations

OH&S 6.1.2 Hazard identification and assessment of OH&S risks

6.1.2.2 Hazard identification

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

6.1.2.4 OH&S opportunities

6.1.3 Determination of applicable legal and other requirements

6.1.4 Other risks and opportunities to the OH&S management system

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

Allocation or Consider applicable

EnMS 6.3 Energy review

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

EnMS 6.5 Energy baseline

EnMS 6.6 Planning for collection of energy data

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

7.1.4 Environment for the operation of processes

7.1.5 Monitoring and measuring resources

7.1.5.2 Measurement traceability

7.1.6 Organizational knowledge

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

7.5 Documented information

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

7.5.3 Control of documented information

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

EMS 8.1 Operational planning and control

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

EMS 8.2 Emergency preparedness and response

OH&S 8.1.2 Hierarchy of controls

OH&S 8.2 Management of change

OH&S 8.6 Emergency preparedness and response

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

EnMS 8.1 Operational planning and control

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

8.2 Requirements for products and services

8.2.2 Determining the requirements for products and services

8.2.3 Review of the requirements for products and services

8.2.3.2 The organization need to retain documented information, as applicable:

8.2.4 Changes to requirements for products and services

8.3 Design and development of products and services

FOR TRAINING PURPOSE ONLY:NOT FOR SALE

8.3.2 Design and development planning

8.3.3 Design and development inputs