Integrated Management System Manual

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Integrated Management System Manual

  1. 1. Integrated Management System Manual AAA CompanyDocument code: M-422 Revision: 0 Page 1 of 29Document owner SignApproved by SignEffective date Revision history Revision Form # Effective date Description of amendments 0 DCF 1 First issue.
  2. 2. Integrated Management System Manual AAA CompanyDocument code: M-422 Revision: 0 Page 2 of 29 Table of contents Clause Title Page - Introduction 1 Purpose and scope 2 Normative reference 3 Terms and definitions 4 IMS 5 Management responsibility 6 Resource management 7 Product realization 8 EHS risk management 9 Measurement, analysis and improvement
  3. 3. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 3 of 291 Purpose and scopeThis document describes the integrated management system (IMS) of AAA Company (AAA).The IMS has been established to a) demonstrate AAA’s ability to consistently provide product that meets customer and applicable statutory and regulatory requirements, b) enhance customer satisfaction through the effective application of the system, including processes for continual improvement of the system and the assurance of conformity to customer and applicable statutory and regulatory requirements, c) eliminate or minimize risks to the environment, personnel and other interested parties who could be exposed to EHS aspects and hazards associated with AAA’s activities, products and services, d) assure AAA of its conformity with its stated IMS Policy (P-53), and e) demonstrate AAA’s conformity with the ISO 9001, ISO 14001 and OHSAS 18001 Standards.AAA is engaged in the provision of the following products: a) xx b) xxNote: Refer to AAA’s Corporate Profile for more information.The scope of the IMS encompasses all AAA’s activities and services in relation to the aboveproducts.AAA’s business operation is located at the following address:XXXXXXXXXXXXXXXXXXXXXXX2 Normative referenceThe following reference is indispensable for the application of this document: a) ISO 9000, Fundamentals and vocabulary b) ISO 14004, Environmental management systems - General guidelines on principles, systems and support techniques,
  4. 4. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 4 of 29 c) OHSAS 18002, Occupational health and safety management systems - Guidelines for the implementation of OHSAS 18001, and d) International Labour Organization: 2001, Guidelines on Occupational Health and Safety Management Systems (OSH-MS).3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 9000, ISO 14001and OHSAS 18001 apply, including a) AAA refers to AAA COMPANY, b) Product includes both the goods and services of AAA (where suitable), c) IMS refers to AAA’s Integrated Management System, d) Health and safety refers to occupational health and safety, and e) OHS refers to occupational health and safety.4 Integrated management system4.1 General requirementsAAA has established, documented, implemented and maintained an integrated managementsystem (IMS), and continually strives to improve its effectiveness in accordance with therequirements of the ISO 9001, ISO 14001 and OHSAS 18001 Standards.As such, AAA has a) determined the processes needed for the IMS and their application throughout the organization, b) determined the sequence and interaction of these processes, c) determined the criteria and methods needed to ensure that both the operation and control of these processes are effective, and d) ensured the availability of resources and information necessary to support the operation and monitoring of these processes.AAA monitors, measures where applicable, analyses and implements actions necessary toachieve planned results and continual improvement of these processes.Where AAA chooses to outsource any process that affects product conformity torequirements, it ensures control over such processes. Outsourced processes are subject tothe requirements of the IMS.
  5. 5. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 5 of 29Processes needed for the IMS referred above include processes of management activities,provision of resources, product realization, management of EHS risks, measurement, analysisand improvement, as depicted in Figure 1. Figure 1 Continual improvement of the IMS Management responsibility Customer requirements (Clause 5) Customer satisfaction Measurement, analysis and improvement Resource (Clause 9) management (Clause 6) EHS risk management (Clause 8) Product realization Product Input (Clause 7) OutputKeyValue-adding activitiesInformation flow
  6. 6. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 6 of 294.2 Documentation requirements4.2.1 GeneralAAA’s IMS documentation includes the following: a) IMS Policy (P-53), b) IMS Objectives Register (R-541), c) IMS Manual (M-422), d) documented procedures and records required by the ISO 9001, ISO 14001 and OHSAS 18001 Standards, and e) documents, including records, determined by AAA to be necessary to ensure the effective planning, operation and control of its processes.4.2.2 Integrated Management System ManualAAA has established the Integrated Management System Manual (M-422) that includes a) the scope of the IMS, including details of and justification for any exclusions, b) references to the documented procedures established for the IMS, and c) a description of the interaction between the processes of the IMS.4.2.3 Control of documentsDocuments required by the IMS are controlled and registered in the Documents Register (R-423A) and the External Documents Register (R-423B).The Control of Documents Procedure (PR-423) has been established to define the controlsneeded a) to approve documents for adequacy prior to issue, b) to review and update as necessary and re-approve documents, c) to ensure that changes and the current revision status of documents are identified, d) to ensure that relevant versions of applicable documents are available at points of use, e) to ensure that documents remain legible and readily identifiable, f) to ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the IMS are identified and their distribution controlled, and g) to prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose.4.2.4 Control of records
  7. 7. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 7 of 29Records established to provide evidence of conformity to requirements and of the effectiveoperation of the IMS are controlled and registered in the Records Register (R-424).AAA has established the Control of Records Procedure (PR-424) to define the controlsneeded for the a) identification, b) storage, c) protection, d) retrieval, e) retention, and f) disposition of records.Records are ensured to remain legible, readily identifiable and retrievable.5 Management responsibility5.1 Management commitmentTop management of AAA provides evidence of its commitment to the development andimplementation of the IMS and continually improving its effectiveness by a) communicating to the organization the importance of meeting customer, EHS as well as applicable statutory and regulatory requirements, b) establishing the IMS Policy (P-53), c) ensuring that objectives are established, d) conducting management reviews (Clause 5.6), and e) ensuring the availability of resources (Clause 6).5.2 Customer and EHS focusTop management of AAA ensures that customer and EHS requirements are determined andare met with the aim of enhancing customer satisfaction, protection of the environment andpersons under AAA’s control (see Clauses 7.2.1, 8.1 and 9.2.1).5.3 PolicyTop management of AAA has established the IMS Policy (P-53) and ensures that it a) is appropriate to the purpose of the organization, including the nature and scale of its EHS risks, b) includes a commitment to meet customer requirements, prevention of pollution, injury and ill health and continual improvement in IMS management and performance,
  8. 8. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 8 of 29 c) provides a framework for establishing and reviewing quality objectives, d) is documented, implemented, maintained, communicated and understood within the organization, e) is communicated to all persons working under the control of and for the organization with the intent that they are made aware of their individual quality and/or EHS obligations, f) is available to interested parties, and g) is reviewed periodically to ensure that it remains relevant and appropriate to the organization.5.4 Planning5.4.1 ObjectivesTop management of AAA ensures that objectives are established at relevant functions andlevels within the organization.The objectives are measurable, where practicable, and consistent with the IMS Policy (P-53),including the commitments to meet customer requirements, the prevention of pollution, injuryand ill health, to compliance with applicable legal requirements and with other requirements towhich the organization subscribes, and to continual improvement.When establishing and reviewing its objectives, AAA takes into account the legal requirementsand other requirements to which the organization subscribes, and its EHS risks.It also considers its technological options, its financial, operational and business requirements,and the views of relevant interested parties.The planning and establishment of objectives are performed during management reviews andsubsequently registered in the the IMS Objectives Register (R-541).AAA has established, implemented and maintained suitable programmes for achieving itsobjectives. The programmes include as a minimum: a) designation of responsibility and authority for achieving objectives at relevant functions and levels of the organization; and b) the means and time-frame by which the objectives are to be achieved.The programmes are reviewed at regular and planned intervals, and adjusted as necessary,to ensure that the objectives are achieved.
  9. 9. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 9 of 29The programmes are specified in the the IMS Objectives Register (R-541).5.4.2 IMS planningTop management of AAA ensures that a) the planning of IMS is carried out in order to meet the requirements given in 4.1, as well as the objectives, and b) the integrity of the IMS is maintained when changes to the IMS are planned and implemented.5.5 Responsibility, authority and communication5.5.1 Responsibility and authorityTop management of AAA ensures that responsibilities and authorities are defined andcommunicated within the organization.Such information is contained in the following documents: a) Organization Chart (OC-551), b) Job Description Manual (M-551), c) IMS Manual (M-422), d) IMS Key Personnel Register (R-551), and e) Documented procedures and plans.5.5.2 Management representativeTop management of AAA has appointed a member of the organization management who,irrespective of other responsibilities, is responsible and has authority in a) ensuring that processes needed for the IMS are established, implemented and maintained maintained in accordance with the ISO 9001. ISO 14001 and OHSAS 18001 Standards, b) reporting to top management on the performance of the IMS and any need for improvement, and c) ensuring the promotion of awareness of customer and EHS requirements throughout the organization.The identity of the top Management Representative is made available to all persons workingunder its control.
  10. 10. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 10 of 29The responsibility of the management representative includes liaison with external parties onmatters relating to the IMS.The Management Representative is designated in the Organization Chart (OC-551) and IMSKey Personnel Register (R-551).5.5.3 Communication, participation and consultationTop management of AAA ensures that appropriate communication processes are establishedwithin the organization and that communication takes place regarding the effectiveness of theIMS.AAA has established an IMS Committee comprising of the Management Representative(Chairman) and all Department Managers, who meets at planned intervals to discuss theeffectiveness of the IMS.All employees, including suppliers are encouraged to give their feedbacks on theeffectiveness of the IMS through the IMS Feedback Form (F-553).All Department Managers are required to report all nonconformities, including potentialnonconformities to the Management Representative – refer to Corrective & Preventive ActionProcedure (P-952).With regard to its EHS risks, AAA has established, implemented and maintained the EHSCommunication, Participation & Consultation Procedure (PR-553) which specifies thefollowing: a) internal communication among the various levels and functions of the organization, b) communication with contractors and other visitors to the workplace, c) receiving, documenting and responding to relevant communications from external interested parties, d) the participation of workers by their appropriate involvement in EHS risk identification, risk assessments and determination of controls, appropriate involvement in incident investigation, involvement in the development and review of EHS policies and objectives, consultation where there are any changes that affect their EHS and representation on EHS matters, e) that workers are informed about their participation arrangements, including who is their representative(s) on EHS matters, and f) consultation with contractors where there are changes that affect their EHS.
  11. 11. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 11 of 29AAA has ensured that, when appropriate, relevant external interested parties are consultedabout pertinent EHS matters.Records of these communications are maintained (see Clause 4.2.4).5.6 Management review5.6.1 GeneralTop management of AAA reviews the IMS annually to ensure its continuing suitability,adequacy and effectiveness.This review includes assessing opportunities for improvement and the need for changes to theIMS, including the IMS Policy (P-53) and objectives.Records from these management reviews are maintained (see Clause 4.2.4).5.6.2 Review inputThe Management Representative is responsible for providing the following inputs for themanagement reviews: a) results of audits, b) evaluations of compliance with applicable legal requirements and with other requirements to which the organization subscribes, c) the extent to which objectives have been met, d) the results of participation and consultation, e) relevant communications from customers and other external interested parties, including feedbacks and complaints, f) process performance and product conformity, g) EHS performance, h) status of preventive and corrective actions, i) follow-up actions from previous management reviews, j) changing circumstances that could effect the IMS, including developments in legal and other requirements related to the product and EHS, and k) recommendations for improvement.5.6.3 Review outputThe output from the management reviews include any decisions and actions related to a) changes to the IMS Policy (P-53) and objectives,
  12. 12. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 12 of 29 b) improvement of the effectiveness of the IMS and its processes, c) improvement of product related to customer requirements, d) improvement on EHS risk management, and e) resource needs.6 Resource management6.1 Provision of resourcesTop management of AAA continually has determined and provided the resources needed to a) implement and maintain the IMS and continually improve its effectiveness, b) enhance customer satisfaction by meeting customer requirements, and c) protect the environment and the safety and health of persons under AAA’s control.6.2 Human resources6.2.1 GeneralAAA’s personnel performing work affecting conformity to product and EHS requirements arecompetent on the basis of appropriate education, training, skills and experience.6.2.2 Competence, training and awareness AAA has established the Competence, Training & Awareness Procedure (PR-622) whichdefines the processes for a) determining the necessary competence for personnel performing work affecting conformity to product and EHS requirements, b) providing training or taking other actions to achieve the necessary competence, c) evaluating the effectiveness of the actions taken, d) ensuring that its personnel are aware of i. the relevance and importance of their activities and how they contribute to the achievement of the IMS policy, objectives and to the requirements of the IMS, ii. the IMS consequences, actual or potential, of their work activities, their behaviour, and the benefits of improved IMS personal performance, and iii. the potential consequences of departure from specified procedures. e) maintaining appropriate records of education, training, skills and experience (see Clause 4.2.4).6.3 Infrastructure
  13. 13. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 13 of 29AAA has determined, provided and maintained the following infrastructure needed to achieveconformity to product and EHS requirements: a) buildings, workspace and associated utilities, a) process and EHS equipment (both hardware and software), and b) supporting services (such as transport, communication or information systems).Records from maintenance activities are maintained (see Clause 4.2.4).6.4 Work environmentAAA has determined and provided a suitable and conducive work environment needed toachieve conformity to product and EHS requirements.The work environment is managed via the 5S Control Plan (CP-64) that defines the actionsrequired for each of the 5S elements.The 5S Audit Checklist (F-64) is used to audit the implementation of the 5S Control Plan (CP-64).6.5 FinancesAAA has determined, provided and managed its finances needed to achieve conformity toproduct and EHS requirements.7 Product realization7.1 Planning of product realizationAAA has planned and developed the processes needed for product realization.Planning of product realization is consistent with the requirements of the other processes ofthe IMS (see Clause 4.1).In planning product realization, the AAA determines the following, as appropriate: a) quality objectives and requirements for the product, b) EHS requirements related to the product, c) the need to establish processes and documents, and to provide resources specific to the product, d) required verification, validation, monitoring, measurement, inspection and test activities specific to the product and the criteria for product acceptance, and e) records needed to provide evidence that the realization processes and resulting product meet requirements (see Clause 4.2.4).
  14. 14. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 14 of 29The output of this planning is documented in the Quality Plan (QP-71).Figure 2 depicts the product realization process flow: Figure 2 Process A Start/Stop Process B Process D Process C7.2 Customer-related processes7.2.1 Determination of requirements related to the productAAA has determined a) requirements specified by the customer, including the requirements for delivery and post-delivery activities, b) requirements not stated by the customer but necessary for specified or intended use, where known, c) EHS requirements, d) statutory and regulatory requirements applicable to the product, and e) any additional requirements considered necessary by the organization.7.2.2 Review of requirements related to the product
  15. 15. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 15 of 29AAA reviews the requirements related to the product. This review is conducted prior to AAA’scommitment to supply a product to the customer (e.g. submission of tenders, acceptance ofcontracts or orders, acceptance of changes to contracts or orders) and ensures that a) product requirements are defined, b) contract or order requirements differing from those previously expressed are resolved, and c) the organization has the ability to meet the defined requirements.Records of the results of the review and actions arising from the review are maintained (seeClause 4.2.4).Where the customer provides no documented statement of requirement, the customerrequirements are confirmed by AAA before acceptance.Where product requirements are changed, AAA ensures that relevant documents areamended and that relevant personnel are made aware of the changed requirements.7.2.3 Customer communicationAAA determines and implements effective arrangements for communicating with customers inrelation to a) product information, b) EHS requirements, c) enquiries, contracts or order handling, including amendments, and d) customer feedback, including customer complaints.7.3 Design and developmentAAA does not engage in any product design and development activities.OR (choose one and delete the other)7.3 Design and development7.3.1 Design and development planningAAA plans and controls the design and development of product. During the design anddevelopment planning, AAA determines a) the design and development stages, b) the review, verification and validation that are appropriate to each design and development stage, and
  16. 16. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 16 of 29 c) the responsibilities and authorities for design and development.AAA manages the interfaces between different groups involved in design and development toensure effective communication and clear assignment of responsibility.Planning output is updated, as appropriate, as the design and development progresses.This process is controlled by the Quality Plan (QP-71).7.3.2 Design and development inputsInputs relating to product and EHS requirements are determined and records maintained (seeClause 4.2.4). These inputs include a) functional and performance requirements, b) EHS requirements, c) applicable statutory and regulatory requirements, d) where applicable, information derived from previous similar designs, and e) other requirements essential for design and development.The inputs are reviewed for adequacy and requirements are ensured to be complete,unambiguous and not in conflict with each other.7.3.3 Design and development outputsThe outputs of design and development are in a form suitable for verification against thedesign and development input and are approved prior to release.Design and development outputs a) meet the input requirements for design and development, b) provide appropriate information for purchasing, production and service provision, c) contain or reference product acceptance criteria, and d) specify the characteristics of the product that are essential for its safe and proper use.Information for production and service provision include details for the preservation of product.7.3.4 Design and development reviewAt suitable stages, systematic reviews of design and development are performed inaccordance with planned arrangements (see 7.3.1) a) to evaluate the ability of the results of design and development to meet requirements, and
  17. 17. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 17 of 29 b) to identify any problems and propose necessary actions.Participants in such reviews include representatives of functions concerned with the designand development stage(s) being reviewed.Records of the results of the reviews and any necessary actions are maintained (see Clause4.2.4).7.3.5 Design and development verificationVerification is performed in accordance with planned arrangements (see 7.3.1) to ensure thatthe design and development outputs have met the design and development inputrequirements.Records of the results of the verification and any necessary actions are maintained (seeClause 4.2.4).7.3.6 Design and development validationDesign and development validation is performed in accordance with planned arrangements(see 7.3.1) to ensure that the resulting product is capable of meeting the requirements for thespecified application or intended use, where known.Wherever practicable, validation is completed prior to the delivery or implementation of theproduct.Records of the results of validation and any necessary actions are maintained (see Clause4.2.4).7.3.7 Control of design and development changesDesign and development changes are identified.The changes are reviewed, verified and validated, as appropriate, and approved beforeimplementation.The review of design and development changes includes evaluation of the effect of thechanges on constituent parts and products already delivered.Records of the results of the review of changes and any necessary actions are maintained(see Clause 4.2.4).7.4 Purchasing
  18. 18. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 18 of 297.4.1 Purchasing processAAA ensures that purchased product conforms to specified purchase and EHS requirements.The type and extent of control applied to the supplier and the purchased product aredependent upon the effect of the purchased product on subsequent product realization or thefinal product and EHS.AAA evaluates and select suppliers based on their ability to supply product in accordance withits technical, financial and/or delivery requirements.AAA maintains an Approved Suppliers Register (R-741) which lists all regular suppliers ofproducts required by AAA. Supplier quotations are sourced from this register. If there is nomatching or adequate number of suppliers, new suppliers are sought.Annually, AAA evaluates its approved suppliers in terms of their conformity in meetingpurchase and EHS requirements.The following records are maintained: a) Supplier Registration Form (F-741-A), b) Purchase Requisition Form (F-741B), c) Request For Quotation (F-741C), d) Purchase Orders (F-741D), e) Purchasing Inspection Form (F-743E), f) Supplier Evaluation Form (F-743F), and g) Suppliers’ quotations.7.4.2 Purchasing informationPurchasing information describes the product to be purchased, including, where appropriate, a) requirements for approval of product, procedures, processes and equipment, b) requirements for qualification of personnel, and c) IMS requirements.AAA ensures the adequacy of Purchase Orders (F-741D) prior to their communication to thesupplier.7.4.3 Verification of purchased productAAA establishes and implements inspection activities necessary for ensuring that purchasedproduct meets specified purchase requirements.
  19. 19. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 19 of 29Where AAA or its customer intends to perform verification at the suppliers premises, it shallstate the intended verification arrangements and method of product release in the purchasinginformation.Inspection activities and actions to receive or reject any delivery of purchased productsincluding subsequent actions are recorded in the Purchasing Inspection Form (F-743E).7.5 Production and service provision7.5.1 Control of production and service provisionAAA plans and carries out production and service provision under controlled conditions.Controlled conditions include, as applicable, a) the availability of information that describes the characteristics of the product, including applicable EHS requirements, b) the availability of work instructions, as necessary, c) the use of suitable equipment, d) the availability and use of monitoring and measuring equipment, e) the implementation of monitoring and measurement, and f) the implementation of product release, delivery and post-delivery activities.7.5.2 Validation of processes for production and service provisionAAA validates any processes for production and service provision where the resulting outputcannot be verified by subsequent monitoring or measurement and, as a consequence,deficiencies become apparent only after the product is in use or the service has beendelivered.Validation demonstrates the ability of these processes to achieve planned results.AAA establishes arrangements for these processes including, as applicable, a) defined criteria for review and approval of the processes, b) approval of equipment and qualification of personnel, c) use of specific methods and procedures, d) requirements for records (see Clause 4.2.4), and e) revalidation.7.5.3 Identification and traceability
  20. 20. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 20 of 29Where appropriate, AAA identifies the product by suitable means throughout productrealization.AAA identifies the product status with respect to monitoring and measurement requirementsthroughout product realization.AAA controls the unique identification of the product and maintains records (see Clause4.2.4).7.5.4 Customer propertyAAA exercises care with customer property while it is under its control or use.AAA identifies, verifies, protects and safeguards customer property provided for use orincorporation into the product.If any customer property is lost, damaged or otherwise found to be unsuitable for use, AAAreports this to the customer and maintains relevant records (see Clause 4.2.4).The Customer Property Form (F-754) is used to record any loss or damage to customerproperty and communications with the affected customer.Customer property includes intellectual property, personal or corporate data.7.5.5 Preservation of productAAA preserves the product during internal processing and delivery to the intended destinationin order to maintain conformity to requirements.As applicable, preservation includes identification, handling, packaging, storage andprotection.Preservation also applies to the constituent parts of a product.7.6 Control of monitoring and measuring equipmentAAA determines the monitoring and measurement to be undertaken and the monitoring andmeasuring equipment needed to provide evidence of conformity to product and EHSrequirements.AAA establishes processes to ensure that monitoring and measurement can be carried outand are carried out in a manner that is consistent with the monitoring and measurementrequirements.
  21. 21. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 21 of 29Where necessary to ensure valid results, measuring equipment are a) be calibrated or verified, or both, at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards; where no such standards exist, the basis used for calibration or verification shall be recorded (see Clause 4.2.4); b) be adjusted or re-adjusted as necessary; c) have identification in order to determine its calibration status; d) be safeguarded from adjustments that would invalidate the measurement result; e) be protected from damage and deterioration during handling, maintenance and storage.In addition, AAA assesses and records the validity of the previous measuring results when theequipment is found not to conform to requirements. In such cases, AAA takes appropriateaction on the equipment and any product affected.Records of the results of calibration and verification are maintained (see Clause 4.2.4).When used in the monitoring and measurement of specified requirements, the ability ofcomputer software to satisfy the intended application is confirmed. This is undertaken prior toinitial use and reconfirmed as necessary.Confirmation of the ability of computer software to satisfy the intended application typicallyincludes its verification and configuration management to maintain its suitability for use.This process is controlled by the Performance Monitoring & Measurement Procedure (PR-923).8 EHS risk management8.1 EHS aspects and hazard identification, risk assessment and determining controlsAAA has established, implemented and maintained the EHS Risk Control Procedure (PR-81)for the ongoing a) identification of environmental aspects of its activities, products and services within the defined scope of its IMS that it can control and influence taking into account planned or new developments, or new or modified activities, products and services, b) determination of those environmental aspects that have or can have significant impacts on the environment, and c) identification of occupational health and safety hazards, assessment of associated risks and determination of necessary controls.
  22. 22. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 22 of 29The methodology is defined with respect to its scope, nature and timing to ensure it isproactive rather than reactive, and provide for the identification, prioritization anddocumentation of risks, and the application of controls, as appropriate.The EHS Risk Register is maintained to monitor the status of all significant EHS risks.For the management of change, AAA identifies the EHS aspects and hazards and EHS risksassociated with changes in the organization, the EHSMS, or its activities, prior to theintroduction of such changes. AAA ensures that the results of these assessments areconsidered when determining controls.When determining controls, or considering changes to existing controls, consideration is givento eliminating and reducing the EHS risks according to the following hierarchy: a) elimination, b) substitution, c) engineering controls, d) signage/warnings and/or administrative controls, e) personal protective equipment.AAA ensures that the EHS risks and determined controls are taken into account whenestablishing, implementing and maintaining its EHSMS.8.2 Legal and other requirementsAAA has established, implemented and maintained the EHS Legal Requirements Procedure(PR-82) for a) identifying and accessing the legal and other EHS requirements that are applicable to it, and b) determining how these requirements apply to its EHS risks.AAA has ensured that these applicable legal requirements and other requirements to whichthe organization subscribes are taken into account in establishing, implementing andmaintaining its EHSMS.
  23. 23. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 23 of 29As such, AAA maintains the Legal Requirements Register (R-82) to document all applicablelegal and other requirements and keeps this information up-to-date. Primarily, applicablesections of the following statutes are documented: a) Environmental Quality Act 1974, including its regulations, and b) Occupational Safety & Health Act 1994, including its regulations.AAA communicates relevant information on legal and other requirements to persons workingunder the control of the organization, and other relevant interested parties.8.2.1 Evaluation of complianceConsistent with its commitment to compliance to legal and other requirements (see 8.2), AAAperiodically evaluates its compliance with applicable legal and other requirements to which itsubscribes and keeps records of the results of these periodic evaluations, as per the the EHSLegal Requirements Procedure (PR-82).8.3 Operational controlAAA has determined those operations and activities that are associated with the identifiedEHS aspects and hazards where the implementation of controls such as procedures, workinstructions, signages and personal protective equipment is necessary to manage the EHSrisks. This includes the management of change (see 8.1).For those operations and activities, AAA implements and maintains: a) operational controls, as applicable to AAA and its activities where the organization has integrated those operational controls into its overall IMS, b) controls related to purchased goods, equipment and services including their communication to the suppliers and contractors, c) controls related to contractors and other visitors to the workplace, a) documented procedures, to cover situations where their absence could lead to deviations from the IMS Policy (P-53) and the objectives, and d) stipulated operating criteria where their absence could lead to deviations from the IMS Policy (P-53) and objectives.8.3 Emergency preparedness and response
  24. 24. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 24 of 29AAA has established, implemented and maintained the Emergency, Preparedness &Response Procedure (PR-83) to a) identify the potential for emergency situations, and b) respond to such emergency situations.AAA responds to actual emergency situations and prevents or mitigates associated adverseEHS consequences.In planning its emergency response, AAA takes account of the needs of relevant interestedparties, e.g. emergency services and neighbours.AAA periodically tests this procedure, where practicable, involving relevant interested partiesas appropriate.AAA periodically reviews and, where necessary, revises its emergency preparedness andresponse procedure, in particular, after periodical testing and after the occurrence ofemergency situations (see 8.4).8.4 Incident investigationAAA has established, implemented and is maintaining the Incident Investigation Procedure(PR-84) to record, investigate and analyse incidents in order to: a) determine underlying EHS deficiencies and other factors that might be causing or contributing to the occurrence of incidents, b) identify the need for corrective action, c) identify opportunities for preventive action, d) identify opportunities for continual improvement, and e) communicate the results of such investigations.The investigations are performed in a timely manner. Any identified need for corrective actionor opportunities for preventive action are dealt with in accordance with the Corrective &Preventive Action Procedure (PR-952).The results of incident investigations are documented and maintained.9 Measurement, analysis and improvement
  25. 25. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 25 of 299.1 GeneralAAA plans and implements the monitoring, measurement, analysis and improvementprocesses needed a) to demonstrate conformity to product and EHS requirements, b) to ensure conformity of the IMS, and c) to continually improve the effectiveness of the IMS.This includes determination of applicable methods, including statistical techniques, and theextent of their use.9.2 Monitoring and measurement9.2.1 Customer satisfactionAs one of the measurements of the performance of the IMS, AAA monitors informationrelating to customer perception as to whether AAA has met customer requirements.As such, AAA plans and implements an annual Customer Satisfaction Survey (F-821) whererelevant questions regarding AAA’s products in relation to the customers’ experience areasked and customers’ comments and suggestions are sought.Monitoring customer perception may include obtaining input from sources such as customerdata on delivered product quality, user opinion surveys, lost business analysis, compliments,warranty claims and dealer reports.9.2.2 Internal auditAAA conducts internal audits annually to determine whether the IMS a) conforms to the planned arrangements for product realization processes (see 7.1) and EHS risk management, to the requirements of the ISO 9001, ISO 14001 and OHSAS 18001 Standards and to the IMS requirements established by AAA, and b) is effectively implemented and maintained.Annually, an Internal Audit Schedule (F-922A) is planned, taking into consideration the statusand importance of the processes, areas and EHS risks to be audited, as well as the results ofprevious audits.The audit criteria, scope, frequency, auditors and methods of audit are defined appropriatelyin the Internal Audit Schedule (F-922A) and the Audit Plan (F-922B).
  26. 26. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 26 of 29The selection of auditors and conduct of audits always ensures objectivity and impartiality ofthe audit process where auditors are ensured to observe the audit principles and not audittheir own work.The Internal Audit Procedure (P-922) has been established to define the responsibilities andrequirements for planning and conducting audits, establishing records and reporting results.Records of the audits and their results are maintained (see Clause 4.2.4).The management responsible for the area being audited ensures that any necessarycorrections and corrective actions are taken without undue delay to eliminate detectednonconformities and their causes.Follow-up activities include the verification of the actions taken and the reporting of verificationresults (see 9.5.2).9.2.3 Monitoring and measurement of processesAAA has established, implemented and maintained the Performance Monitoring &Measurement Procedure (PR-923) to monitor and measure its IMS performance on a regularbasis.This procedure provides for: a) both qualitative and quantitative measures, appropriate to the needs of the organization, b) monitoring of the extent to which the organization’s objectives are met, c) monitoring the effectiveness of IMS processes and their controls, d) proactive measures of performance that monitor conformance with the IMS programmes, controls and operational criteria, e) reactive measures of performance that monitor customer complaints and satisfaction levels, environmental impacts, ill health, incidents (including accidents, near-misses, etc.), and other historical evidence of deficient IMS performance, f) recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective action and preventive action analysis, and g) the control of calibration and maintenance processes of monitoring and measuring equipment and the retention of associated records.These measures demonstrate the ability of the processes to achieve planned results. Whenplanned results are not achieved, correction and corrective action are taken, as appropriate.
  27. 27. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 27 of 299.2.4 Monitoring and measurement of productAAA monitors and measures the characteristics of the product to verify that productrequirements have been met.This is carried out at appropriate stages of the product realization process in accordance withthe planned arrangements (see 7.1).Evidence of conformity with the acceptance criteria is maintained and records are ensured toindicate the person(s) authorizing release of product for delivery to the customer (see Clause4.2.4).The release of product and delivery of service to the customer does not proceed until theplanned arrangements (see 7.1) have been satisfactorily completed, unless otherwiseapproved by a relevant authority and, where applicable, by the customer.9.3 Control of nonconforming productAAA ensures that product which does not conform to product requirements is identified andcontrolled to prevent its unintended use or delivery.The Nonconforming Product Procedure (PR-93) has been established to define the controlsand related responsibilities and authorities for dealing with nonconforming products.Where applicable, AAA deals with nonconforming product by one or more of the followingways: a) by taking action to eliminate the detected nonconformity; b) by authorizing its use, release or acceptance under concession by a relevant authority and, where applicable, by the customer; c) by taking action to preclude its original intended use or application; d) by taking action appropriate to the effects, or potential effects, of the nonconformity when nonconforming product is detected after delivery or use has started.When nonconforming product is corrected it is subject to re-verification to demonstrateconformity to the requirements.Records of the nature of nonconformities and any subsequent actions taken, includingconcessions obtained, are maintained (see Clause 4.2.4).9.4 Analysis of data
  28. 28. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 28 of 29AAA determines, collects and analyses appropriate data to demonstrate the suitability andeffectiveness of the IMS and to evaluate where continual improvement of the effectiveness ofthe IMS can be made.Methods of the analysis of data include, where appropriate: a) Line Chart/Trend Chart/Control Chart - used to detect trends and unusual activities within the data set, b) Pareto Chart Analysis - used to analyze the different components that make up the data value in a descending order, complete with the cumulative percentage line superimposed on it, c) SWOT Analysis - used to analyze process strengths, weaknesses, opportunities and threats based on the characteristics of the data set - whether internal or external, d) Arithmetic average or mean - used to identify the average performance value of the process, e) Median - used to identify the actual middle value of the data set, f) Mode - used to identify the most frequent value occurring within the data set, g) Range - used to determine the difference between the lowest and highest values of the data set, h) Cause and Effect Analysis - used to analyze the causes and effects of a given data set, i) Risk Analysis - used to identify potential risks given the actual data set, and j) Other analysis methods, as appropriate.The analysis of data provides information relating to a) customer satisfaction (see Clause 8.2.1), b) conformity to product requirements (see Clause 8.2.4), c) effectiveness of the EHS performance, d) characteristics and trends of processes and products, and e) suppliers’ performance (see Clause 7.4).8.5 Improvement9.5.1 Continual improvementAAA continually improves the effectiveness of the IMS through the use of the IMS Policy (P-53), objectives, audit results, analysis of data, corrective and preventive actions andmanagement review.9.5.2 Corrective and preventive actions
  29. 29. Integrated Management System Manual AAA Company Document code: M-422 Revision: 0 Page 29 of 29AAA takes action to eliminate the causes of nonconformities and potential nonconformities inorder to prevent recurrence and occurrence.Corrective and preventive actions are appropriate to the effects of the nonconformities,potential nonconformities and EHS risks encountered.The Corrective & Preventive Action Procedure (PR-952) has been established to definerequirements for a) reviewing nonconformities and potential nonconformities including customer complaints, b) determining their causes, c) evaluating the need for action to ensure that nonconformities do not recur or occur, d) determining and implementing action needed, e) records of the results of action taken (see Clause 4.2.4), and f) reviewing the effectiveness of the corrective and preventive actions taken.Where the corrective action and preventive action identifies new or changed EHS aspects andhazards or the need for new or changed controls, the procedure requires that the proposedactions are taken through a risk assessment prior to implementation.

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