Ims

INTEGRATED
MANAGEMENT SYSTEM
 Objective of this lecture:

What is management system

 How to implement Management System

 PDCA Cycle

 What is QMS,EMS, OHSAS & IMS

 What is Quality

Definition:
“The totality of features and characteristics of a product or service that bear on
its ability to satisfy stated or implied needs.“

In simpler words a product has good quality when it "complies with the
requirements specified by the client“.

Quality in today’s perspective refers to:

 Manufacturing goods and services satisfactory to customer needs ( QMS).
 Quality in environment i.e. the maintaining healthy surroundings (EMS).
 Quality in working atmosphere i.e. occupational safety (OHSAS).
 ISO

I. An organization that sets standards for establishing quality :

An international standard setting, non government, voluntary body, headquartered at

Geneva Switzerland which promotes proprietary, commercial and industrial
standards.

II. Function:
 To design a bunch of standards for :

 A particular purpose and for different products and services

 To provide an assurance to the customer/ organization that the product they are
using/ manufacturing/ designing meets the required regulatory standards for that
product.

Note: The standards are reviewed every five years and revised if required.
 Why is ISO certification
required:

 Increase the efficiency & development of manufacturing,

 Reduce risk and accomplish feasible sustainable development.

 How to implement
ISO Standards

Can be implemented by Management Systems:

 Any generic standard such as ISO requires a basic structure ( a basic way of doing
things) containing set of procedures.

This basic structure or the way of implementing these standards is the Management
System.

 Based on the area such as product quality improvement, environment quality, and
occupational safety while working ,
 Different type of management systems have been designed such “ Quality
Management System (QMS), Environment Management System ( EMS), OHSAS etc.
 Management System – In detail

 The set of procedures an organization needs to follow in order to meet its objectives.

 For some small organizations: "our way of doing things", that is mostly kept in the heads
of the staff.

 Larger organization, the more likely that procedures need to be recorded to ensure
everyone is clear on who does what, when and how things are to be done. This process of
systemizing how things are done is known as a management system.

The first step Define organization policy containing clear cut goals and objectives.

Different management systems: QMS , EMS , OHSAS , EnMS & IMS for implementing
different standards.
 Implementing any Management System

The basic way of implementing any management system is to:

I. Plan for the organization's policy, Review its requirements to work in line with the
policy.
II. Do the needful to implement the policy.
III. Check the effectiveness on regular intervals .
IV. Act accordingly to rectify the deviations and maintain the system by reviewing it
periodically.
4 1

3
2

PDCA cycle is also known as Deming Cycle

 Processes, not Products
• Both ISO 9001 and ISO 14001 concern the way an organization
goes about its work.
• They are not product standards.
• They are not service standards.
• They are process standards.
• They can be used by product manufacturers and service
providers.
• Processes affect final products or services.
• ISO 9001 gives the requirements for what the organization must
do to manage processes affecting quality of its products and
services.
• ISO 14001 gives the requirements for what the organization
must do to manage processes affecting the impact of its
activities on the environment
 Quality Management System
The Management system required to implement quality standards i.e. ISO
9001 in an organization
Quality Management System
 Quality Management System

ISO 9001:2008 ( Older version ISO 9000:2005 dealt with

fundamentals and basic terminology of QMS) :
 Standards to implement Quality Management System
 Deals with fundamentals.
 Specifies requirements for a quality management system.
 It focuses on the effectiveness of the quality management
system in meeting customer requirements.
 Quality Management System
What is QMS: A quality management system (QMS) is :
a set of policies, processes and procedures required for planning
and execution during production/development/service in the core
business area of an organization. (i.e. areas that can impact the
organization’s ability to meet customer requirements.)
ISO 9001:2008, 2015 are examples of Quality Management
System.
Key terms: repeatable, measurable and constantly improving.
 Quality Management System

The concept:
 Recognize the external quality related requirements specified in Licenses to
Trade, guidelines, specified customer requirements, and the chosen
management system standard(s).
 Ensure that all requirements have been documented within the
management system in the appropriate location in terms of defined specific
system requirements.
 Confirm that employees receive applicable training in the quality system
requirements.
 Outline performance processes, where applicable, to the quality system
requirements.
 Produce records or evidence that system requirements have been met.
 Quality Management System

 Measure, monitor and report the extent of compliance with these

performance procedures.

 Continually monitor and analyze changes to the requirements and

confirm that all changes are reflected in changes to the specific
requirements when necessary.

 Execute the audit and analyze the system processes and correct them
when necessary.

 Include processes that will help continually to improve the quality system.
 How to implement QMS

Documenting your system:

Identify your general requirements.

Identify your Process.

Develop Quality manual and procedures.
Documentation of all processes in form of work instructions.
Follow the Documented procedures and work instructions.

 Make Improvements to the process to improve quality.

Conduct internal audits.

Hold Management Review Meetings.
Keep Records.
 What is Internal &
External Audit

An External Audit:
Conducted by a person outside your organization such as a customer or
an independent third party organization like a Registrar to verify that you
conform to the applicable requirements

An Internal Audit :
 Used to assess conformity, evaluate effectiveness, and identify
opportunities for improvement.
 Internal audits also help to prepare for external audits.
 During an internal audit quality system against the requirements of the
standard are compared.
 A group of internal auditors from within your company to perform the
audits.
 Non Conformance to Management
System
What is Non conformance and how it can be rectified:
A non-conformance means a deficiency arising in the system that impairs the effective
implementation of any Management system viz. QMS, EMS, OHSAS.
Examples:
 An element of standards such as ISO etc. not implemented.
 Procedures not developed or not implemented.
 non-conformance can be in service, a product, a process, from a supplier, or in the
system itself. It occurs when something does not meet the specifications or
requirements in some way. Those requirements might be defined by the customer, a
regulatory body such as ISO, or in the internal procedures of the company.
 A non-conformance could be identified through customer complaints, internal audits,
external audits, incoming material inspection or simply during normal testing and
inspection activities.
 ISO 9001:2008 requires that you document your non-conformance procedure (clause
8.3) and keep records of non-conformance issues you identify and the actions taken.
 ISO 9001:2015 no longer requires a documented procedure, but you must still keep
records (“retain documented information”) of the nonconformity and what was
done to correct it, i.e. the corrective actions.
 ISO 9001:2015

ISO 9001:2015: Revised and latest version of ISO 9001 ,easier to implement for organizations
using multiple management systems i.e. one or more type of systems integrated or
organizations following integrated management systems ( IMS).

Increased Focus on Risk Based Thinking:

Meaning: Previous versions were more about prevention of risk , The latest version is about :
Identify risks,
Consider risks,
Control the risks throughout the design using the quality management system .

Note: what is risk in context of QMS:

any process related activity which will have a negative effect or consequence on the product
quality may be called Risk.

To identify the risks one may have to do Risk Assessment of the process activities involved.
 Environment Management System
( The management system required to improve the
quality of environment we work in & implement ISO
14001)
 Environment Management System

It is the part of an organization’s management system which is used to

develop & implement its environmental policy effectively.
or
A system that an organization shall follow in order to manage their
responsibility towards environment.
It integrates :
procedures and processes through documents and control measure programs.
training of personnel.
monitoring, summarizing.
reporting of specialized environmental performance information to internal and
external stakeholders of a firm.

The most widely used standard which EMS uses is based on is International
Organization for Standardization, ISO 14001. Other relatively lesser known
standards are ISO 14000 & ISO 14004.
Environment Management System
PDCA Cycle
 ISO 14001

 Core set of standards used by organizations for designing and

implementing an effective Environment Management System (EMS) .

 A framework that a company and organization can follow to set up

Environment Management System .

 ISO 14001:2004 , the first revision of ISO 14001 was reviewed and used
till 2015, after which the latest revised version ISO 14001:2015 was issued in
2016.
 ISO 14001:2004

This international standard is based on the methodology of P-D-C-A

i.e. Plan –Do- Check-Act.
I. Plan: Establish the objectives and processes necessary to
deliver results in accordance with the organization’s
environment policy.
II. Do: Implement the process.
III. Check /Monitor: Monitor and measure the processes against
environmental policy , objectives , targets, legal and other
requirements and report the results.
IV. Act: Take action to continually improve the Environment
Management System
 Environment Management System : How it
works

Some Basic Terminologies:

Environment: Surroundings in which an organization operates including air,
water, land, natural resources, flora, fauna, humans and their interrelation.
Environmental Aspect : Element of an organizations activities or product or
services that can interact with the environment.
Environment Management System: Part of an organization’s management
system used to develop and implement its environmental policy and manage
environmental impacts.
EMP: Environment Management Program , which includes plan of action
with a projected date of completion of an specific requirement related with
central, state and local environment regulations.
 ISO 14001:2004: how it works

It requires an organization to :
 Identify the environmental aspects,
 Applicable legal and other requirements to which the organization subscribes.
 Examine existing environmental management practices and procedures.
 Evaluation of previous emergency situations and accidents.

Tools and methods for undertaking review :

 Checklists,
 Conducting interviews,
 Direct inspection and measurement,
 Results of previous audits or other reviews,
 Depending on the nature of the activities.

Note: An organization has the freedom and flexibility to choose to implement this
International Standard with respect to the entire organization or to specific operating units of
the organization.
 ISO 14001:2004: how it works

 Establish an appropriate environmental policy.

 Identify the environmental aspects arising from the organization’s past, existing or
planned activities, products and services, in order to determine the environmental
impacts of significance,
 Identify applicable legal requirements and other requirements to which the
organization subscribes,
 Identify priorities and set appropriate environmental objectives and targets,
 Establish a structure and a programme to implement the policy and achieve objectives
and meet targets,
 facilitate planning, control, monitoring, preventive and corrective actions, auditing and
review activities to ensure both that the policy is complied with and that the
environmental management system remains appropriate, and be capable of adapting
to changing circumstances.
Latest revised version is ISO 14001:2015 which focuses more on “Life cycle
thinking”
 ISO 14001:2015

What is life cycle thinking : Applying a holistic approach when talking about a
product .
In general life cycle of any product may consist of:

Raw material extraction

Material processing

Transportation

Distribution

Consumption

Reuse/ recycling

Disposal

So when evaluating the environmental impact of a product , environmental impact of all

these associated activities are to be congregated together.
 OHSAS ( OHSAS 18001:2007)
OHSAS: Stands for Occupational Health and Safety Assessment Series: Standards for practicing
sound occupational health and safety activities while working in an organization.

What is Hazard:
Source or situation with the potential to cause harm in terms of human injury or ill-health

Hazard identification – The process of recognizing that a hazard exists

Risk assessment – The process of evaluating the risk arising from the hazards.
Includes:
The likelihood of a hazardous event or exposure and
the severity of injury or ill health that can be caused by the event of exposure

Determination of applicable controls –

 Measures relevant to eliminate or reduce risk to an acceptable level.
 Measures are based on the hierarchy of control measures.
 In order to achieve an effective health and safety system it is vital for organizations to handle
these with greater significance.
 OHSAS ( OHSAS 18001:2007)

HIRA: Hazard Impact Risk Assessment : base

document for OHSAS 18001,
 We identify the potential hazards present in our process.
 Categorize them on a collective scale measured by their
probability of occurrence , Severity, Scale of occurrence , Legal
requirements etc.
These hazards are categorized as significant and non significant
hazards.
For controlling the significant hazards we make OMPs i.e. Operations
Management Plans
Follow up the progress through these Plans . These plans should be in line with
Organization goals and objectives.
 OHSAS 18001
Occupational Health and Safety
Management
Energy Management System
(EnMS or ISO 50001)
 Certifications of RCF
 Jun’ 95 – QMS (ISO 9001)

 Jul’ 99 – EMS (ISO 14001)

 Jul’ 09 – IMS including ISO 9001(2008),

ISO 14001(2004) & OHSAS 18001(2007)
 Feb’17 – EnMS (ISO 50001:2011)
 Which Management Systems standards
can be integrated?
 ISO 9001 (Quality Management)

 ISO 14001 (Environmental Management)

 OHSAS 18001 (Occupational Health & Safety)

 ISO/IEC 27001 (Information Security)

 ISO 50001 (Energy Management)
 ISO 22000 (Food Safety)
 ISO/IEC 20000 (IT Service Management)

• There are no national or international standards for

integrated management systems.
 Why IMS
• Multiple/ overlapping organizations responsibilities to
manage different management systems.
• Multiple policy statements.
• Multiple management systems documentation (Apex or
Systems Manuals).
• Multiple operational control procedures in varying formats.
• Multiple task of record maintenance under each system.
• Multiple cadres of internal auditors and overlapping audit
schedules.
• Multiple and frequent audits by external agencies.
• Overlapping of resources.
 Why IMS

• Inconsistency/ multiple instructions at shop floor levels.

• Increased cost due to overlapping of efforts/ audits by
external agency.
• Multi-focused/multi coordinated efforts
• Multiple internal communications
 Documentation Structure

Policy, objectives, organization,

IMS MANUAL outline of Management system

I Processes, practices,
PROCESS DOCUMENTS responsibilities,
AND PROCEDURES interfaces
II
Detailed instructions
INSTRUCTIONS on how to carry out
III
specific tasks

Out side
SPECS IV documents

Design IT Support Production Training

 Benefits of IMS
• Unified Policy statement
• Unified/ single management systems manual addressing the
requirement of ISO 9001, ISO 14001 and OHSAS 18001 in addition to
organizational needs.
• Unified/ single operational control procedures to cover all situations
which can result in deviation from the policy statement.
• A unified master list of objectives & targets and management
programs
• An integrated auditing competence (Internal Auditors equipped with
knowledge in competence to perform combine audits i.e. all
management systems at a time)
• Combined certification and audit program from a single certification
agency.
 IMS or Integrated management
System
All the management systems, i.e. Quality management System, Environment Management
System, OHSAS & Energy Management System when are integrated together constitute
IMS.
 Integrated Management
System
However in context of RCF , as of now, mostly only three systems have been integrated
together i.e. QMS, EMS & OHSAS:
 INTEGRATED MANAGEMENT SYSTEM POLICY OF RCF

RCF,MANUFACTURER OF RAILWAY COACHES, IS

COMMITTED FOR CONTINUAL IMPROVEMENT IN
PRODUCTIVITY AND QUALITY WHILE CONSERVING
NATURAL RESOURCES & PROTECTING THE
ENVIRONMENT, PREVENTING POLLUTION , ILL HEALTH
& INJURY ASSOCIATED WITH ACTIVITIES , PROVIDING
SAFE & HEALTHY WORKING CONDITIONS FOR ITS
EMPLOYEES AND EXTERNAL PROVIDERS AND
COMPLYING WITH APPICABLE LEGAL AND OTHER
REQUIREMENTS.
 INTEGRATED SYSTEM PROCEDURES
ISP NO. DESCRIPTION
• ISP 01 - PROCEDURE
OF CREATING AND UPDATING DOCUMENTS
• ISP 02 - PROCEDURE
OF CONTROL OF DOCUMENTED INFORMATION
• ISP 03 - PROCEDURE OF MANAGEMENT REVIEW
• ISP 04 - PROCEDURE OF CONTROL OF EXTERNALLY
PROVIDED PROCESSES, PRODUCTS AND SERVICES
• ISP 05 - PROCEDURE FOR INTERNAL AUDITS
• ISP 06 - PROCEDURE
OF CONTROL OF NON CONFORMING OUTPUT
• ISP 07 - PROCEDURE FOR CORRECTIVE ACTION
• ISP 08 -
PROCEDURE OF IDENTIFICATION & EVALUATION OF ASPECTS AND HA
ZARDS
ISP 09 -
PROCEDURE OF IDENTIFICATION, COMPLIANCE, ACCESS AND UPDATION OF LEGAL A
ND OTHER REQUIREMENTS
ISP 10 -
PROCEDURE OF COMMUNICATION, PARTICIPATION AND CONSULTATION
ISP 11 -
PROCEDURE OF OPERATIONAL CONTROL & MONITORING OF ENVIRONMENTAL ASP
ECTS &OHS HAZARDS
ISP 12 - PROCEDURE FOR EMERGENCY PREPAREDNESS AND RESPONSE
ISP 13 -
PROCEDURE OF MEDICAL AND OCCUPATIONAL HEALTH CHECK-UP FOR EMPLOYESS
& INTERESTED PARTIES

ISP 14 - PROCEDURE OF INCIDENT INVESTIGATION

ISP 15 - USE OF PERSONAL PROTECTIVE EQUIPMENTS
ISP 16 - PROCEDURE FOR WORK PERMIT
ISP 17 - PROCEDURE OF MANAGEMENT OF CHANGE
ISP 18 -
PROCEDURE FOR TRAINING,AWARENESS AND ENSURING COMPETENCE OF PERSON
NEL PERFORMING SPECIFIC TASKS

ISP 19 -
PROCEDURE OF CONTROL OF INSPECTION ,MEASURING AND TEST EQUIPMENTS
THANKYOU