IMS (Quality, Environment, Occupational Health &

Safety) Awareness Training

Course As per ISO 9001:2008, ISO 14001:2004 & OHSAS 18001:2007

SESSION – 1ST

HR

INTRODUCTION

COURSE OBJECTIVE

This course is designed to:

• Describe the importance of IMS

• Explain the structure and requirements of ISO

9001, 14001 & OHSAS 18001

• Framework of Indian EHS Legislation

WHY QUALITY

• Rising Customer Expectations

• Increasing Competition

• Increasing Penalties for Failure

• Increasing turn-over of personnel

• Globalisation

1. Customer Focus

2. Leadership

3. Involvement of people

4. Process approach

5. System approach to the management

6. Continual Improvement

7. Factual Approach to Decision Making

8. Mutually beneficial Supplier relationship

QUALITY MANAGEMENT

PRINCIPLES

“PROCESS” ?

Ordered Dish

Raw material required to cook

Recipe for

cooking

People (Chef, Helpers, Waiter)

Environment (Clean kitchen)

Equipment Gas, Utensils

INPU T OUTPUT

“PROCESS” ?

Methodology

(PROCEDURE/SOP’s)

PRODUCT/SERVICE

Control to the process

Output Input PROCESS “Set of interrelated

or interacting activities”

Resources

Equipment/ Tools

Material

People/

Manpower

Information

STRATEGIC APPROACH-PDCA

PDCA can be applied to all processes

Management responsibility

Resource management

Measurement analysis &

improvement

Continual improvement of the quality management system

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Product

(Output) Input

PROCESS BASED QUALITY

MANAGEMENT SYSTEM

ISO 9001: 2008 STRUCTURE

Clause 1: Scope

Clause 2: Normative Reference

Clause 3: Terms and Definitions

Clause 4: Quality Management System

Clause 5: Management Responsibility

Clause 6: Resource Management

Clause 7: Product Realisation

Clause 8: Measurement, Analysis &

Improvement

TERMS & DEFINITIONS

Document Information and its supporting medium Record Document stating results achieved or providing evidence of activities performed

CLAUSE 4- QUALITY

MANAGEMENT SYSTEM

Mandatory Procedure Required by QMS:

• Control of Documents (4.2.3)

• Control of Records (4.2.4)

• Internal Audit (8.2.2)

• Control of Non Conforming Product (8.3)

• Corrective Action (8.5.2)

• Preventive Action (8.5.3)

CLAUSE 5- MANAGEMENT

RESPONSIBILITY

5.1 Management Commitment

5.2 Customer focus

5.3 Quality Policy

5.4 Planning

5.5 Responsibility, Authority & Communication

5.6 Management Review

CLAUSE 6- RESOURCE

MANAGEMENT

6.1 Provision of Resources

6.2 Human Resources

6.3 Infrastructure

6.4 Work Environment

7.1 Planning of product realisation

7.2 Customer related Process

7.3 Design and Development

(Design the product or service)

7.4 Purchasing

7.5 Production & service provision

7.6 Control of monitoring & measuring equipment

CLAUSE 7- PRODUCT

REALISATION

CLAUSE 8 MEASUREMEMT,

ANALYSIS & IMPROVEMENT

8.1 General

8.2 Monitoring & Measurement

8.3 Control of non-conforming product

8.4 Analysis of data

8.5 Improvement

SESSION – 2ND

HR

STRUCTURE OF ISO 14001:2004 &

OHSAS 18001:2007

WHY EMS ?

• Environmental performance closely scrutinized by

shareholders, employees, creditors, regulators,

environmental groups and the general public.

• Their responses could significantly affect share

prices.

• Environmental performance can have trade

implications.

WHY OHSMS?

Common programmes of EMS &

OHSAS

Examples:

• Chemical control including purchasing, tracking of MSDS, labeling, storage, and transportation.

• Inspection including inspections of the general plant, critical parts, special systems (fire & other emergency response systems), maintenance

• Incident investigation including root cause analysis, counter-measures, follow-up, and incident data analysis

• Emergency response to fire, spill response, and disasters.

• Training and education related to common programs.

• Product liability including system safety techniques used to minimize product liabilities (precursors to life cycle analysis)

• Auditing

Common programmes of EMS &

OHSAS

DEFINITIONS

Environment Surroundings in which an organisation operates, including air, water, land, natural resources, flora, fauna, humans, and their interrelation. Note - Surroundings in this context extend from within an organisation to the global system

DEFINITIONS

Organisation Company, corporation, firm, enterprise, authority or institution, or part or combination thereof, whether incorporated or not, public or private, that has its own functions and administration. Note - for organisations with more than one operating unit, a single operating unit may be defined as an organisation

Environmental & OHS Management System Part of an organization's management system used to develop and implement its environment and OHS policy and manage its environmental aspects and Hazards. Note 1: A management system is set of interrelated elements used to establish policy and objectives and to achieve those objectives. Note 2: A management system includes organizational structure, planning activities, responsibilities, practices,

procedures, processes and resources.

DEFINITIONS

DEFINITIONS

Occupational Health & Safety Conditions and factor that affect or could affect, health & safety of employees or other workers (Including temporary workers and contractor personnel), visitors or any other person in the workplace Note – organisations can be subject to legal requirements for the health and safety of persons beyond the immediate the workplace, or who are exposed to workplace activities

DEFINITIONS

Workplace Any physical location in which work related activities are performed under the control of the organisation Note – When giving consideration to what constitutes a workplace, the organisation should take into account the OH&S effects on personnel who are , for example travelling or in transit (e.g. driving flying, on boats or trains), working at the premises of a client or customer, or working at home

EHS MANAGEMENT MODEL

Re- Useable Waste

Solid Waste

( Disposal )

Raw Materials

Water/Air

Power

Recycle

Product

By-Product ( Sold )

Water

Gaseous Emissions

Liquid Waste ( Disposal )

UNIT OPERATION

or PROCESS

Suppliers

Noise Ill

Health

Accidents

Environmental Policy

Planning • Environmental aspects • Legal and other requirements • Objectives, targets and programs

CONTINUAL IMPROVEMENT

Implement and Operation • Resources, roles, responsibility and authority • Competence training, and awareness • Communication • Documentation • Control of Documents • Operational control • Emergency preparedness &response

Checking

• Monitoring and measurement • Evaluation of compliance • NC and CAPA • Control of Records • Internal audits

Management Review

STRUCTURE OF EMS - ISO 14001

STRUCTURE OF EMS &OHSAS

HSE Policy

Planning • Hazard identification, risk assessment and determining controls • Legal and other requirements • Objectives and programs

CONTINUAL IMPROVEMENT

Implement and Operation • Resources, roles, responsibility accountability and authority • Competence training, and awareness • Communication, participation and consultation • Documentation • Control of Documents • Operational control • Emergency preparedness &response

Checking

• Monitoring and measurement • Evaluation of compliance • Incident investigation, NC and CAPA • Control of Records • Internal audits

Management Review

DEFINITIONS

Environmental Policy Overall intentions and direction of an organization related to its environmental performance as formally expressed by top management. OH&S Policy Overall intentions and direction of an organization related to its OH&S performance as formally expressed by top management.

DEFINITIONS

Environmental Performance Measurable results of an organization's management of its environmental aspects. NOTE: In the context of environmental management system, results can be measured against the organization's environment policy, environment objectives, environment targets and other environmental performance requirements.

DEFINITIONS

OH&S Performance Measurable results of an organization's management of its OH&S risks. NOTE 1: OH&S performance measurement includes measuring the effectiveness of the organization's control. NOTE 2: In the context of OH&S management system, results can be measured against the organization's OH&S policy, OH&S objectives and other OH&S performance requirements.

DEFINITIONS

Prevention Of Pollution Uses of processes, practices, 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. Note : Prevention of pollution can include source reduction or elimination, process, product or service changes, efficient use of resources, material and energy substitution, reuse,

recovery, recycling, reclamation and treatment.

DEFINITIONS

Interested Party (EMS) Person or group concerned with or affected by the environmental performance of an organization. Interested Party (OH&S) Person or group inside or outside the workplace, concerned with or affected by the OH&S performance of an organization

GENERAL REQUIREMENTS

Clause 4.1

Establish, document, implement, maintain and continually improve an EMS.

Determine how it will fulfill requirements of this standard.

Define and document scope its of EMS

4.2 Environmental Policy

Environmental Impacts (4.3.1)

Improvement &

Prevention of Pollution

Legal and Other Requirements

(4.3.2)

Objective, Targets

and Programs

(4.3.3)

Internal, External Parties, and Persons Working on Behalf

Reduce Reuse

Replace Recycle

Documented, implemented, maintained and communicated to all employees Available to the public

4.2 ENVIRONMENT POLICY

4.3.1 Environmental

Aspects

Activities

Products Services

Maintenance

Welding

Hazardous Waste

Cleanup

Computer Components

Vehicles

Subcontracted Activities

Session -3 – 3rd Hr

4.3.1 ENVIRONMENT ASPECTS

ENVIRONMENTAL ASPECTS

[4.3.1 ]

• Establish, implement & maintain procedure to identify environmental aspects of its activities, products or services within defined scope

• Those that it can control and over which it can be expected to have influence

• Determine those which have or can have significant impact

• Taking into account planned or new developments, or new or modified activities, products and services

• Ensure that significant aspects are taken into account in establishing, implementing and maintaining its EMS

• Keep the information up-to-date

ENVIRONMENTAL ASPECTS

[4.3.1 ]

Environmental Aspect

Element of an organisation’s activities or products or services than can interact with the environment

Note : A significant environmental aspect has or can have a significant environmental impact

DEFINITIONS

DEFINITIONS

Environmental Impact

Any change to the environment, whether adverse or beneficial, wholly or partially resulting from an organization's environmental aspects.

POLLUTION

SOURCE

Processes Activities Products Services

PATHWAY

Air

Water Solid

Built environment Quality of Life

Noise Vibration

Visual Impact

TARGET

Ozone layer Rain forest

Forest Lake/River

Ground water Eco systems

Local Community

ENVIRONMENTAL PROBLEMS

• Global Warming

• Stratospheric Ozone Depletion

• Acid Rain

• Water Quality

• Persistent Organics

• Air Quality

• Noise/Vibration

• Visual Impact/ Amenity

• Waste Management

• Contaminated Land

• Major Spills and Incidents

• Release of Genetically Manipulated Organisms

EXAMPLE OF ASPECTS AND

IMPACTS

• Air emissions (exhaust)

• Water consumption

• Fuel release (accidental spills)

• Fuel release (accidental spills)

• Noise generation

• Energy consumption (lights left on)

• Paper recycled

• Air quality degraded

• Water resource depleted

• Storm water contaminated

• Soil contaminated

• Area nuisance

• Increased CO2 from coal-fired power plant emissions

• Landfill space conserved, raw materials conserved

Aspects Impacts

HIRA AND DETERMINING

CONTROLS (4.3.1)

• The process steps: Hazard Identification →Risk assessment → Determination

of controls

• Hierarchy of controls prescribed as part of OH&S planning - Elimination - Substitution - Engineering controls - Signage/warnings and/or administrative controls - Personal protective equipment

• Ongoing HIRA - Routine and non routine - Subcontractors and visitors - Facilities provided at workplace

• Results of assessments and effect of controls to be considered in setting objectives

• Up to date

HIRA AND DETERMINING

CONTROLS (4.3.1)

Methodology for HIRA

• Defined, Proactive and Reactive • Classification of risks

• Operating experience and capability of risk control

• Provide inputs – facility requirements, training needs, operational controls

• Monitoring of required actions

HIRA AND DETERMINING

CONTROLS

4.3.2 Legal and Other

Requirements

Environmental Aspects (4.3.1)

Legal Requirements Other Requirements

SESSION – 3, 3RD

HR

4.3.2 LEGAL AND OTHER REQUIREMENT

LEGAL AND OTHER

REQUIREMENTS (4.3.2)

• Procedures to identify and access applicable legal & other requirements • Keep information up to date • Communicate requirements to :- – employees - Person working under the control of organisation – interested parties

LEGAL AND OTHER

REQUIREMENTS (4.3.2)

The statutes relating to OH&S are broadly divided into three:- • Statutes for safety at workplaces • Statutes for safety of substances • Statutes for safety of activities

LEGAL REQUIREMENTS

The major legislations are:- • The Factories Act, 1948 • Mines Act, 1952 • Dock workers (Safety, welfare & health) Act, 1986 • Plantation Labour Act, 1951 • Explosives Act, 1884 • Petroleum Act, 1934 • Insecticide Act, 1968 • Indian Electricity Act, 1910 • Indian Boilers Act, 1923 • Indian Atomic Energy Act, 1962 • Building and Other Construction Workers (Regulation of Employment and Conditions of Service) Act, 1996 • Beedi and Cigar Workers' (Conditions of Employment) Act, 1966 .

EVALUATION OF

COMPLIANCE [4.5.2]

Requires establishing, implementing and maintaining procedure: • To periodically evaluate compliance with applicable legal and other requirements to which it subscribes (Possibly a table of legislation,

column of how it affects the organisation, who it affects and

then how it is complied with.) • Keep records of results of periodic evaluations.

4.3.3 Objectives and

Targets

Significant Environmental Aspects (4.3.1)

Technological Options

Financial Requirements

Views of Interested Parties

4.3.3 Objectives, Targets and…

Significant Environmental Aspects & OH&S Risk

(4.3.1)

Technological Options

Financial Requirements

Views of Interested Parties (4.4.3)

Legal Requirements (4.3.2) Legal Requirements (4.3.2)

OBJECTIVES, TARGETS(EMS)

& PROGRAMMES (4.3.3)

4.3.3 … Programs

R&A (Responsibility and Authority)

Time-Frame and Action Plans

Reviews and Updates

Objectives and Targets

Vice President EMR/Plant Manager Maintenance Manager

President

OBJECTIVES, TARGETS(EMS)

& PROGRAMMES (4.3.3)

• Documented EHS objectives at relevant functions and levels within the organization • Consider - legal & other requirements, environmental aspects & OH&S Risks, - Technological options, Views of interested parties - Financial, operational and business requirements,

• Measurable where practicable

OBJECTIVES &

PROGRAMMES (4.3.3)

• Designate responsibility at relevant functions and levels • Means and timeframe by which objectives are to be achieved

OBJECTIVES &

PROGRAMMES (4.3.3)

4.4.1 Resources, Roles

Responsibility and Authority

R&A (Responsibility and Authority)

Money

People

Vice President EMR/Plant Manager Maintenance Manager

President

Infrastructure

4.4.1 RESOURCE, ROLES, RESPONSIBILITY

AND AUTHORITY

EMS RESOURCES

Organizational Infrastructure

-Buildings

-Communication lines

-Underground tanks

-Drainage

-Etc.

4.4.2 Training, Awareness

and Competence Significant Environmental

Aspects & OH&S Risks (4.3.1)

Emergency Preparedness and Response (4.4.7)

Environmental Policy (4.2)

Operational Controls (4.4.6) Objectives and Targets

4.4.2 COMPETENCE TRAINING &

AWRENESS

4.4.3 Environmental Communication

External Parties

Internal

Subcontractors (4.4.6 and 4.2)

4.4.3 COMMUNICATION

COMMUNICATION, PARTICIPATION

AND CONSULTATION (4.4.3)

Clause has been split into two: 4.4.3.1 Communication Requirement for a procedure - For communication with contractors - Visitors to the workplace - For receiving, documenting and responding to relevant communications from external interested parties

Session – 4 – 4th

Hr

COMMUNICATION, PARTICIPATION

AND CONSULTATION (4.4.3)

4.4.3.2 Participation and Consultation Procedures for the participation of workers in respect of their: - Involvement hazard identification, risk assessment and determination of controls. - Involvement in incident investigation. - Involvement in the development and review of OH&S policies and objectives.

SYSTEM PROCEDURES

OPERATIONAL PROCEDURES

WORK

PRACTICES

POLICY

ASPECTS

OBJ. & TARGETS

PROGRAMS

ORGANIZATIONAL CHART

ROLES &

RESPONSIBILITIES

LEGAL REQUIREMENTS

TRAINING MATRIX

MASTER

DOCUMENT LIST

MASTER

RECORDS LIST

Core elements and their interaction

4.4.4 DOCUMENTATION

4.4.6 Operational Controls

Environmental & OH&S Policy (4.2)

Objectives, Targets, and Programs

(4.3.3)

Subcontractors

Significant Environmental Aspects & OH&S Risks

(4.3.1)

4.4.6 OPERATIONAL CONTROL

OPERATIONAL CONTROL (4.4.6)

• Identify and plan operations associated with significant aspects.

• A procedure must be documented only when its absence could lead to a deviation from organization’s environmental policy, objectives and targets.

• Operating criteria to be stipulated in the procedure.

Requirements for suppliers and contractors:

• suppliers including contractor must use the operational controls required by an organization where there are identifiable significant environmental aspects related to their goods and services.

• the organization must communicate their environmental requirements to the supplier or contractor.

OPERATIONAL CONTROL (4.4.6)

OPERATIONAL CONTROL

(4.4.6)

- Identify and plan controls as applicable to its activities that are associated with identified hazard. - Controls related to purchased goods, equipment and services - Controls related to contractors and other visitors to the workplace

OPERATIONAL CONTROL

(4.4.6)

- OCP must be documented (when its absence could lead

to a deviation OH&S policy and objectives)

- Operating criteria is to be stipulated in the procedure (where its absence could lead to a deviation from

OH&S policy and objectives.)

– A documented procedure need not be in traditional format.

OPERATIONAL CONTROL

(4.4.6)

• Operational controls to include the management of change. • Clarification has given that controls must extend to contractors and visitors.

Personal Protective Equipment

– Hard hats, caps & hair nets

– Safety boots & foot guards

– Face shields

– Safety goggles & glasses

– Hearing protection

– Protective gloves

– Protective jackets & vests

– Respirators

OPERATIONAL CONTROL

(4.4.6)

Procedural Controls – Job procedures

– Work permits

– Lock-out procedures

– Confined-entry procedures

– Industrial hygiene procedures

– Housekeeping procedures

– Emergency procedures

OPERATIONAL CONTROL

(4.4.6)

A documented procedure need not be in traditional format and can be in the form of :

- a flow diagram

– a cartoon or picture (especially relevant if workers are illiterate)

– a photograph

– a chart or schedule.

OPERATIONAL CONTROL

(4.4.6)

4.4.7 Emergency Preparedness and Response

Response Mechanism

Review Mechanism

Test Mechanism Identification Mechanism

4.4.7 EMERGENCY PREPAREDNESS

AND RESPONSE

EMERGENCY PREPAREDNESS

AND RESPONSE (4.4.7)

ISO 14001 requires :

• identify the potential emergency situation

• identify the potential accidents

• identify how to respond to them

• respond to actual situation

• establish procedures to mitigate

• prevent or mitigate adverse environmental impact

• test procedures periodically

EMERGENCY PREPAREDNESS

AND RESPONSE (4.4.7)

OHSAS 18001 requires organization to: • Establish procedures to mitigate • Prevent or mitigate associated adverse OH&S consequences • Test procedures periodically (After the occurrence of emergency situations)

EMERGENCY PREPAREDNESS

AND RESPONSE (4.4.7)

As an emergency is a type of nonconformance, procedure should also include: – Analysis of cause – Corrective action and preventive action – Reporting, where required – Review and revision of procedures

4.5.1 Monitoring and

Measurement

Significant Environmental Aspects (4.3.1)

Operational Controls (4.4.6) Conformance to Objectives and Targets (4.3.3)

Documented Procedure

Records for • performance • operational controls • achievement of objectives and targets • Calibration of monitoring equipment

4.5.1 MONITORING & MEASUREMENT

Legal and Other requirements (4.3.2)

OHSAS 18001:2007 requires Procedure for: - Qualitative and quantitative measure - Monitoring the effectiveness of controls for health as well as safety - Proactive measures of performance (monitor

conformance with the OH&S Programme, controls and operational criteria)

PERFORMANCE MEASUREMENT

AND MONITORING (4.5.1)

OHSAS 18001:2007 requires Procedure for: - Reactive measures of performance (monitor ill health,

incidents, other historical evidence of deficient OH&S performance)

- Recording of data and results of monitoring and measurement - To ensure monitoring and measuring instruments are calibrated.

PERFORMANCE MEASUREMENT

AND MONITORING (4.5.1)

OHSAS 18001 requires documenting information: - To monitor performance - To monitor operational controls – To monitor conformity objectives and targets - Calibration records of monitoring equipments are to be maintained.

PERFORMANCE MEASUREMENT

AND MONITORING (4.5.1)

CONTINUAL IMPROVEMENT IN OHS PERFORMANCE

POLICY

MONITOR

OBJECTIVESREVIEW

PROGRAMME

Assess Risks

Legal & Other

requirements

Identify

Hazards

Control

Measures

Tolerable

or

Intolerable

Eliminate

Risk

Residual

Risk

Corrective &

Preventitive

Action

INTERNAL AUDIT

SIMPLIFIED MODEL OF OHS PERFORMANCE

Acceptable Risk

NON-CONFORMITY, CORRECTIVE

& PREVENTIVE ACTION

ISO 14001 requires procedures for:

• identifying nonconformity

• taking action to mitigate impacts

• investigating non-conformity

• taking corrective action to avoid recurrence

• taking preventive action to avoid occurrence

NON-CONFORMITY CORRECTIVE &

PREVENTIVE ACTION

REVIEW OF ACTION TAKEN

CORRECTIVE ACTION

NON-CONFORMITY

IDENTIFIED

MITIGATION

INVESTIGATE

ROOT CAUSE DETERMINATION

PREVENTIVE ACTION

DOCUMENT CHANGE

Procedures need to define responsibility and authority for: • Recording, investigating and analysing incidents • Determining underlying OH&S deficiencies • Dealing with breaches in procedures that resulted in an incident • Actions to mitigate consequences arising from incidents • Initiation / completion of preventive / corrective actions • Reviewing effectiveness of corrective and preventive actions

INCIDENT INVESTIGATION

(4.5.3.1)

NONCONFORMITY, CORRECTIVE

ACTION AND PREVENTIVE ACTION

(4.5.3.2)

Establish, implement and maintain procedure for: • Identification and correction of nonconformity • Taking actions to mitigate the OH&S consequences • Investigation of Nonconformity • Determining the cause of nonconformity • Taking corrective action to avoid recurrence • Taking preventive action to avoid occurrence • Recording and communication of the result of CAPA • Review effectiveness of CAPA • Modify the documents based on CAPA

• Establish and maintain records for EHS Management System conformance • Procedures needed for identification, storage, protection, retrieval, retention, maintenance and disposition of EHS records • Records should be legible, identifiable & traceable

CONTROL OF RECORDS

(4.5.4)