INTEGRATED

MANAGEMENT
SYSTEM
ISO 9001 + ISO 14001 + OHSAS 18001
SHERQ Management Framework
Implementing PAS 99
Risk based Integrated Management System of:
ISO 9001:2008
ISO 14001:2004 &
OHSAS 18001:2007
General Requirements (PAS 99)
1.0 General requirements

1.1 The organization shall document the scope of the management system and
the management system standards/specifications to which it subscribes (ISO
9001/ISO 14001/OHSAS 18001).

1.2 The organization shall establish, document, implement, maintain and

continually improve the management system in accordance with the requirements
of this integrated management system standards/specifications to which it
subscribes. (ISO 9001/ISO 14001/OHSAS 18001)
 General Requirements (SHERQ)
1.3 In order to meet its declared policies and objectives, the organization shall:

a) Determine the processes needed for the implementation, operation and maintenance

b) Determine the sequence and interaction of these processes

c) Determine methods needed to ensure that both the operation and control of these processes

are effective;

d) ensure the availability of resources and information necessary

e) monitor, measure and analyse these processes, and implement actions necessary to achieve

planned results and continual improvement of the organization’s overall performance.

POLICY REQUIREMENTS
POLICY REQUIREMENTS
 Policy Requirements (PAS 99)

 Demonstrates formal commitment of top management towards

good QHSE MS.
 Basis for establishing and reviewing objectives
 Commitment to comply with
- Customer requirements
- applicable legal requirements
- Prevention of pollution
- Prevention of injuries and ill health
- Continual improvement
 Communication to all interested parties and
 Reviewed periodically
02 Planning
Hazard Identification and Risk Assessment
Identification of Environmental Aspects
Objectives & Targets
Management Programs
Hazard Identification & Risk
Assessment
Hazard Identification:
process of recognizing that a hazard exists and
defining its characteristics
Risk Assessment:
process of evaluating the risk(s) arising from a
hazard(s), taking into account the adequacy of any
existing controls, and deciding whether or not the
risk(s) is acceptable
Environmental Aspect and Impact
Aspect Identification:
process of recognizing element of an organization's
activities or products or services that can interact with
the environment

Impact Assessment:
process of evaluating change to the environment, whether
adverse or beneficial, wholly or partially resulting
from an organization's environmental aspects, and
deciding whether it is significant or not
Failure Mode Effect Analysis
Failure Modes:
process of recognizing potential failure modes of an
organization's activities or products or services
against the Product or Process characteristics

Effect Assessment:
process of evaluating the defect arising on the
product or process due to failure, and deciding
whether it is fit for use or not
 Risk Based Approach

RISK

FREQUENCY CONSEQUENCE
(Frequency Analysis) (Consequence Analysis)

EXPOSURE PROBABILITY
OBJECTIVES &
OBJECTIVES & TARGETS
TARGETS
OBJECTIVES & TARGETS

 Objectives are goals in terms of QHSE performance

that an organisation set itself to achieve.
 Objectives are long term and more generic than
targets
 Target is a detailed QHSE performance requirement
derived from objectives and are used to achieve
these objectives.
 Targets are intermediate steps and work done to
achieve objectives
Management Programs

The IMPs are the “Action Plans” or “Programs”

for achieving the objectives & targets

Including:
Personnel responsible for action
Time frames and target dates
IMPs - Example

Aspect / Objective Target Performance Progress Responsi Time

Risks Indicator bility Frame
Determine Usage of Diesel ABC July
Gas for first 6 months of 2010
2010
Plot study of Usage Patterns XYZ Aug
2010
10% Actions for Vehicle Usage ASD Oct
Reduction in Optimization 2010
Gas/ Reduce Fuel
Fuel
Diesel Consumptio Consumption Formal Action for improving ASD Dec
Consumptio
Usage n of Fuel Reports efficiency 2010
n by 2010
Develop, Document and XYZ Jan
Train on Operating 2011
Procedure from Action Plan
Tracking of Fuel ABC July
Consumption after Action 2011
Plan implementation
03 Legal Requirements, Resources
Legal Requirements
Identification of Resources
Roles and Responsibilities
Legal & Other Requirements
Identify all (Hazardous) processes and environmental aspects
in your work area
Determine applicable legislation and specification
requirements applicable to your processes and make a legal
register
(Evaluate current compliance – audit
Do a gap analysis – What do we have, what do we need.
Involve legal advisors to assist with compliance assessments.)
Revise current procedures to include requirements.
Review the requirements at defined frequency
RESOURCE MANAGEMENT
RESOURCE MANAGEMENT
Resource Management
 Determine required resources based on the
requirements
 Determine availability of required resources
 Develop procedures for implementing, maintaining
and improving current resources.
 Make a preventive maintenance plan
 Generate a training needs analysis on current
human resources
ROLES, RESPONSIBILITIES,
ROLES, RESPONSIBILITIES,
AUTHORITY AND
AUTHORITY AND
ACCOUNTABILITIES
ACCOUNTABILITIES
Roles, Responsibilities, Accountability
and Authorities
 Roles, Responsibilities, Authority and
Accountability shall be defined, documented and
communicated in order to facilitate QHSE
management system
 Top management shall appoint in writing, persons
(Management Representative) responsible for
ensuring that EMS, OH&S and Quality systems are
established and will also be responsible for
communicating back to top management on the
performance of these systems
Roles, Responsibilities, Accountability
and Authorities – example (MR)
Sr. ROLES & RESPONSIBILITIES &ACCOUNTABILITY Interface With Authority
No

1. Coordinate with TM for Management reviews. GM, All DH Preparation of minutes

2. Establishing, implementing, & maintaining structure of GM, All Change structure of OH&S
QHSE management systems. management systems
3. Document control. GM, All Verify all documents in
4. Plan and implement Internal Audit. GM, All Conduct Internal audit

5. Corrective actions on system non-conformities. GM, All Follow-up of corrective action

6. Control of Records. GM, All Verify all records.

7. Liaison with Certification body / external body. GM, Certification body Co-ordinate

8. To identify training needs and Implement & verify training GM, All DH Decide on training needs and provide
effectiveness.
9. Identify Preventive Action. All Initiate preventive action
10. Monitoring of QHSE process performance. GM, All DH Reporting to GM about status

11. Internal Communication System. GM, All DH Establish and Monitor

12. Promotion of awareness of interested party requirements GM, All DH Conduct training programmes
throughout the organization.
13. I MS Planning. GM, All DH To assist GM
14. Control of applicable laws. GM To control
04 Communication & Training
Communication
Consultation & Participation
Training
Communication
As per standard Top management shall ensure that the :
 QHSE policy is communicated and understood within the

organization
 Roles, responsibilities, authorities & accountability

 Communication of OH&S Hazards, Significant aspects and

applicable Legal Requirements to Employees, Contractors,

Visitors & interested parties with training on handling safely.
 Customer Communication

 Communication of Purchasing information to the Supplier.

 Communicating Work Instructions to Employees.

 Setting up Internal & External Communication systems.

 Participation & Consultation
The organization shall establish, implement and maintain a procedure(s) for:
 the participation of workers by their:
 Consultation with contractors where there are changes that affect
their OH&S.
 The organization shall ensure that, when appropriate, where
relevant external interested parties are consulted about pertinent
OH&S matters.
 Appropriate involvement in hazard identification, risk assessments
and determination of controls;
 Appropriate involvement in incident investigation;
 Involvement in the development and review of OH&S policies and
objectives;
 Representation on OH&S matters.
Participation & Consultation

Employee Direct participation & consultation:

 Daily Department meetings
 QHSE Committee meeting
 Suggestion schemes
 Incident investigation
COMPETENCE, TRAINING AND
AWARENESS

 Every Employee can have a potential impacts on the QHSE

 Competence of Every Employee is required for
implementation of the QHSE Management System
 Any Employee can have good ideas about how to improve
QHSE management system for which the required
Awareness is necessary.
 Training is important for all the Employees for awareness
regarding QHSE Management System and his roles and
responsibilities and activities making significant impact.
 Training is just one element in establishing competence,
which is typically based on combination of education,
experience, skills and training
COMPETENCE, TRAINING AND
AWARENESS
Developing a Training Program

1. Assess training needs and requirements

2. Define training objectives
3. Select suitable methods and materials
4. Prepare training plan (who, what, when, where, how)
5. Conduct training
6. Track training (and maintain records)
7. Evaluate training effectiveness
8. Improve training program as needed
05 Documentation
Documentation
Control of Documents
HIERARCHY OF
DOCUMENTS

Level I

Level II

Level III

Level IV
DOCUMENTATION
APPROACH

Q H S E
Documentation Approach
Documenting Work Procedure - for example machine
maintenance:

 OH&S: Wear your PPE, Use the permit to work, isolate the
machine
 Product: Ensure machine is cleaned, set up for quality
critical to quality parameters
 Environmental: Don’t throw the oil down the drain etc.

Goal: One stop shop document for each process and

task.
 CONTROLLED DOCUMENT

A Document that is subjected to processes

that provide for the positive control elements
of
content,
revision,
publication,
distribution,
availability and
retention.
06
Operational Control &
Emergency
Operational Control
Emergency Preparedness and Response
 OPERATIONAL CONTROLS

Means by which the organization prevents product

conformity, harmful events and pollution and manage

OH&S risks from operations is known as

OPERATIONAL CONTROLS
 OPERATIONAL CONTROL
The organization shall identify and plan those operations that are
associated with
1. The identified significant environmental aspects consistent with
its environmental policy, objectives and targets,
2. The identified hazard(s) where the implementation of controls is
necessary to manage the OH&S risk(s)
3. quality objectives and requirements for the product realization;
4. controls related to purchased goods, equipment and services;
5. controls related to contractors and other visitors to the workplace;
 OPERATIONAL CONTROL
In order to ensure that operational controls, as applicable
to the activities;
• stipulating the operating criteria to control all the
operations (monitoring and measurement, controls and
maintenance)
• establishing, implementing and maintaining a
documented procedure(s) to control situations where
their absence could lead to deviations from the QHSE
policy, objectives and targets,
• communicating applicable procedures and
requirements to suppliers, contractors and visitors
 OPERATIONAL CONTROLS
SUPPLIER / CONTRACTOR MANAGEMENT
Purchase and transfer of goods and services and use of external resources
Approval to purchase or transfer hazardous chemicals, material and
substances
Availability of documentation for safe handling of machinery, equipments,
materials, or chemicals at time of purchase, or the need to obtain such
documentation
Evaluation, and periodic re-evaluation of the performance/competence of
Supplier
Approval of the design for any new plant or equipment
 EMERGENCY
EMERGENCY
PREPAREDNESS AND
PREPAREDNESS AND
RESPONSE
RESPONSE
 DEFINITION OF AN EMERGENCY

An emergency is an abnormal situation, which arises

as a result of or during the course of working
operations and demands a high level of activity to
normalise the situation and control the loss severity.
 ACTIONS TO TAKE DURING AN
EMERGENCY
 Raise the alarm.
 Stay calm.
 Assess the situation.
 Follow instructions.
 Ensure your fellow workers are also aware of the emergency.
 Proceed to a place of safety, which could be a predetermined
assembly point, or if underground, a refuge bay.
 Help fellow workers in need.
 Ensure the supervisor or an official is aware of the situation.
 Don’t simply go home. Await roll call.
 Render whatever help and assistance you can if required or
instructed.

Goal: To reduce losses due to emergency by quicker response

TYPES OF EMERGENCY TEAMS

 Fire and rescue teams

 First Aid Team
 Search and rescue teams
 HAZMAT Team
 Security teams
 Communication Team
Monitoring & Measurement
Monitoring and Measurement
1. Identify key characteristics and develop process
for tracking to show Process performance and
operational controls.
2. Develop method for monitoring conformance
with operational controls.
3. Develop method for tracking progress towards
achievement of objectives and targets.
4. Develop method for Calibration and Maintenance
 NON-CONFORMANCE
NON-CONFORMANCE
CORRECTIVE AND
CORRECTIVE AND
PREVENTIVE ACTION
PREVENTIVE ACTION
Non conformance
Non Conformance:
 Non-fulfilment of a requirement

 NOTE A nonconformity can be any deviation

from:
 relevant work standards, practices, procedures,
legal requirements, etc.
 QHSE management system requirements.
Non-Conformance

Identify Non-conformance through

 routine inspection,
 monitoring,
 audit findings,
 trend analysis,
 complaint,
 employee comments, experience

47
What is major Non-
conformance ?
A deficiency that seriously impairs the
effectiveness of the IMS
Examples:
An element of IMS not implemented
Procedures not developed or not implemented
Failure to take corrective or preventive action
Several minor non-conformances

48
What is a Minor Non-Conformance?

A minor deficiency that does not seriously

impair the effectiveness of the IMS
Examples:
 One or a few individuals (out of many) do not use a
procedure correctly
 Procedure needs minor changes to be effective
 One or a few records incomplete

49
Non-Conformance Investigation

Use the investigation procedure to investigate the

cause of the problem.
The goal of the analysis is to determine the root as
well as contributing causes.
This process involves:
 Collecting relevant data.

 Investigating all possible causes, and

 Using the information available to determine the

cause of the problem.

50
What are Corrective
and Preventive Actions?

 Corrective action fixes action to eliminate the

causes of nonconformities in order to prevent
recurrence. (e.g., repair a leaking valve)
 Preventive action is designed to eliminate the
causes of potential nonconformities in order to
prevent their occurrence. (e.g., improved
maintenance procedures)
 Effective corrective and preventive actions are a
key to CONTINUAL IMPROVEMENT

51
08 Audit & Management Review
Internal Audit
Management Review
Internal Audit
Audit:
A systematic, independent and documented process for
obtaining objective evidence and evaluating it to determine the
extent to which audit criteria are fulfilled.
Audit Criteria:
Set of policies, procedures or requirements used as a reference.
Audit Evidence: Records, statements of fact or other
information, relevant to the audit criteria and which are verifiable.
Audit Scope:
Extent and boundaries of an audit.
Audit Findings:
Result(s) of the evaluation of the collected audit evidence against
audit findings.
 Internal Audit

What to Check?
SHERQ management Methods & techniques
• Policy, Objectives and Management Programs
• Legal compliance
• Hazard identification techniques & Methodologies for risk assessment
• Technologies for reduction and elimination of risk
• Process performance evaluation
• Monitoring & measurement techniques
• Communication, participation & consultation methods
• Monitoring of Ill-health and toxicological data
Internal Audit

Documentation:
Documented Procedure for Internal Audit
List of certified internal auditor
Internal OH&S MS Audit Plan
Internal Audit notice
Internal Audit schedule
Internal Audit Report
Checklist
Internal Audit NCRs
MANAGEMENT REVIEW
MANAGEMENT REVIEW
 MRM No.: 
MINUTES OF MANAGEMENT REVIEW MEETING
Date: 

4.6 MANAGEMENT REVIEW ATTENDEES

AGENDA INPUT
 

 
Point of Discussions
 
Action Plan
 
Responsibility
Venue: 

 
Target Date

Follow-up actions from previous management reviews;

       

Results of Internal Audits & evaluations of Compliance with legal & other
requirements, Responsible care etc.
       

Results of participation and consultation

       

Communication from interested external parties including complaints.

       

Customer feedback (including customer satisfaction measurement data and

customer complaints);
       

Environmental, OH&S & QMS performance of the organization

       

Process performance and product conformity;

       

The extent to which the objectives and targets have been met
       

Status of incident investigations, corrective and preventive actions;

       

Changing circumstances, including developments in legal and other

requirements related to its environmental aspects and OH&S.
       

Changes that would affect the Quality management systems.

       

Evaluation of suitability of EHS policy and need for changes if any with
respect to:
-Changes in the legal and other E, OH&S requirements
- Investigation reports on OH&S incident
- Changes in statutory requirements
- Any external communication received including complaints
       

Recommendations for improvements

Successful approach to the audit

• Establish suitable climate

• Put auditee at ease
• Use proper questioning technique
• Use open questions and sparingly closed questions
• Ask clarifying questions
• Avoid leading questions
• Don’t ask antagonizing questions
• Use body language
• Be friendly & diplomatic
Responsibility of auditor

• Collecting and analyzing evidence necessary to assess

the compliance of the QHSE management system to the
audit criteria.
• Recording the audit observations.
• Remaining alert to all situations where assessing
compliance requires further investigation.
• Reporting the results of the audit observations both
orally & in writing.
• Verifying the effectiveness of corrective actions taken as
a result of the audit , if required to do so by the auditee.
 THE END
WHEN YOU ARE SERIOUS
ABOUT MANAGING RISK