ISO 45001:2018 Clause 5: Leadership and worker participation

CLAUSE 5 – Leadership and worker participation

Top management and their workers are required to have involvement in the input and operation of the OHSMS management system and must ensure that the requirements are integrated into the organization’s OHSMS processes and that the policy and objectives are compatible with the strategic direction of the organization. The top management must take overall responsibility and accountability for the prevention of work-related injury and ill-health as well as the provision of safe and healthy workplaces and activities. This clause places requirements on top management to assign relevant responsibilities and support other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. Critical to the success of the OH&S management system is leadership and commitment from ‘Top Management’. The expectation of leaders within an organization is to become champions of the system and provide the necessary resources to protect workers from harm. This clause is the cornerstone for the success of the OH&S MS. In OHSAS 18001, top management was responsible for OH&S and was required to ‘appoint’ a member of top management with specific responsibility for OH&S. Top management in ISO 45001 is responsible and accountable for the prevention of work-related injury and ill-health as well as the provision of safe and healthy workplaces (not simply providing support for a management system). This requires top management to be personally involved in order to develop, lead and promote a culture that supports OH&S. It should also be noted that leadership and culture are identified as a potential hazard later in the standard. It is also top management that has to ensure that a process for consultation and participation with workers is established. This may include establishing a health and safety committee. It is also the top management’s responsibility to establish, implement and maintain the health and safety policy.
The required contents for the policy include elements such as a commitment to consultation and participation of workers. Importantly consultation with workers on the health and safety policy is included later in this clause. Consultation and participation of workers are significantly enhanced from OSHAS 18001 which was limited to participation in hazard identification and consultation on changes. In ISO 45001 consultations involve seeking views before making a decision with clear two-way communication, whilst participation is involved in decision-making. This must include non-managerial workers. The organization is now required to provide the mechanisms, time, training, and resources for consultation and participation of workers. This includes removing any obstacles or barriers such as language, literacy, or fear of reprisals.

Context 5.1: Leadership and commitment

Top management should demonstrate leadership and commitment with respect to the OH&S management system. Top management must be taking overall responsibility and accountability for the prevention of work-related injury and ill-health as well as the provision of safe and healthy workplaces and activities. Top management must be ensuring that the OH&S policy and related OH&S objectives are established and are compatible with the strategic direction of the organization. The top management must be ensuring the integration of the OH&S management system requirements into the organization’s business processes. The top management must be ensuring that the resources needed to establish, implement, maintain and improve the OH&S management system are available. The top management must be communicating the importance of effective OH&S management and of conforming to the OH&S management system requirements. The top management must be ensuring that the OH&S management system achieves its intended outcome. The top management must be directing and supporting persons to contribute to the effectiveness of the OH&S management system. The top management should be ensuring and promoting continual improvement. The top management should be supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. The top management should be developing, leading, and promoting a culture in the organization that supports the intended outcomes of the OH&S management system. The top management should be protecting workers from reprisals when reporting incidents, hazards, risks, and opportunities. The top management should be ensuring the organization establishes and implements processes for consultation and participation of workers. The top management supporting the establishment and functioning of health and safety committees.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

Leadership and commitment, including awareness, responsiveness, active support, and feedback, from the organization’s top management, are critical for the success of the OH&S management system and achievement of its intended outcomes; therefore, top management has specific responsibilities for which they need to be personally involved or which they need to direct. A culture that supports an organization’s OH&S management system is largely determined by top management and is the product of individual and group values, attitudes, managerial practices, perceptions, competencies, and patterns of activities that determine the commitment to, and the style and proficiency of, its OH&S management system. It is characterized by, but not limited to, active participation of workers, cooperation and communications founded on mutual trust, shared perceptions of the importance of the OH&S management system by active involvement in the detection of OH&S opportunities, and confidence in the effectiveness of preventive and protective measures. An important way top management demonstrates leadership is by encouraging workers to report incidents, hazards, risks, and opportunities and by protecting workers against reprisals, such as the threat of dismissal or disciplinary action, when they do so.

The requirements within this clause are generally self-explanatory. You will need to provide information on how top management ensures the OHSMS is compatible with the strategic direction as well as taking responsibility for promoting a safety culture to ensure that the management system achieves its intended outcome. In clause 5.1, 45001 uses the term ‘top management’ to refer a group or an individual at the highest level, controlling and directing the organization. This sets out a list of things that top management must do, to demonstrate commitment and leadership with respect to their health and safety management system. Three of these directly refer to the rights of workers:

To support establishing and the ongoing operation of health and safety committees, this clause specifically refers to the need to put emphasis on the participation of non-management workers in setting up these committees.
Ensuring that clause 5.4 is implemented.
Ensuring the protection of workers from any reprisals when they report hazards and risks.

The following are examples of how leadership can be demonstrated within the OH&S management system:

Take overall responsibility and accountability for the prevention of work-related injury / ill health, as well as the provision of a safe and healthy work environment
Facilitating positive culture and continual improvement
Ensure the OH&S system is integrated within the business processes
Promote communication internally and externally and at all levels (cascading from the top)
Protect workers from reprisal when reporting incidents,
hazards, risk, and opportunities
Provision and support for safety committees

For an external audit, the expectation is for senior leadership to be at the heart of the OH&S management system with a clear demonstration of understanding the system.

Clause 5.2: OH&S policy

Top management must establish, implement and maintain an OH&S policy. The policy must include a commitment to provide safe and healthy working conditions for the prevention of work-related injury and ill health and is appropriate to the purpose, size, and context of the organization and to the specific nature of its OH&S risks and OH&S opportunities. The policy should provide a framework for setting the OH&S objectives. The policy should include a commitment to fulfill legal requirements and other requirements. It should include a commitment to eliminate hazards and reduce OH&S risks. The policy should include a commitment to continual improvement of the OH&S management system. It should include a commitment to consultation and participation of workers, and, where they exist, workers’ representatives. The OH&S policy should be available as documented information. It should be communicated within the organization. It must be available to interested parties, as appropriate. It must be relevant and appropriate.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

The OH&S policy is a set of principles stated as commitments in which top management outlines the long-term direction of the organization to support and continually improve its OH&S performance. The OH&S policy provides an overall sense of direction, as well as a framework for the organization to set its objectives and take actions to achieve the intended outcomes of the OH&S management system. These commitments are then reflected in the processes an organization establishes to ensure a robust, credible, and reliable OH&S management system (including addressing the specific requirements in this document). The term “minimize” is used in relation to OH&S risks to set out the organization’s aspirations for its OH&S management system. The term “reduce” is used to describe the process to achieve this. In developing its OH&S policy, an organization should consider its consistency and coordination with other policies.

Top management needs to establish, implement and maintain an OHSMS policy that includes a commitment to provide safe and healthy working conditions for the prevention of work-related injury and ill health and is appropriate to the purpose, size, and context of the organization and to the specific nature of its OHSMS risks and opportunities. The policy must be communicated, set out the framework for establishing measurable occupational health and safety objectives and targets, including a commitment to consultation and participation of workers or representatives and a commitment to eliminate hazards and fulfill legal requirements.

An OH&S Policy is a ‘Statement of Intent or ‘Mission Statement’ which sets out the framework to manage the Occupational Health and Safety Management System. The OH&S policy is approved by senior leadership and will drive the controls that are in place and the actions that are carried out to improve it. The standard specifically requires that the OH&S policy should include commitments to:

Provide a framework for setting objectives
Provide safe and healthy working conditions for the prevention of work-related injury and/or ill-health
Eliminate hazards and reduce OH&S risks
Continual improvement of the OH&S system
Consultation and participation of workers and where they exist worker representatives,
Fulfilment of legal and other requirements

Once the OH&S policy has been approved it must be communicated to stakeholders including workers. The policy must be available to interested parties, which will include customers and external providers on request. In addition, periodically the OH&S policy must be reviewed by senior leadership to ensure it remains applicable to the context of your organization.

Sample Occupational Health and Safety Policy

This policy will apply to __(Name of Business)_____ at all locations.

__(Name of Business)______________ is committed to providing a healthy and safe work environment for its workers and preventing occupational illness and injury. To express that commitment, we issue the following policy on occupational health and safety.
As the employer, (Name of Business) is responsible for the health and safety of its workers. __(Name of Business)______________ will make every effort to provide a healthy and safe work environment. We are dedicated to the objective of eliminating the possibility of injury and illness.
As _(CEO/Owner/etc.)______________ I give you my personal promise to take all reasonable precautions to prevent harm to workers.
Supervisors will be trained and held responsible for ensuring that the workers, under their supervision, follow this policy. They are accountable for ensuring that workers use safe work practices and receive training to protect their health and safety.
Supervisors also have general responsibility for ensuring the safety of equipment and facility.
__(Name of Business)__________________ through all levels of management, will cooperate with the Joint Occupational Safety and Health (JOSH) Committee or the Health & Safety Representative and workers to create a healthy and safe work environment. Cooperation should also be extended to others such as contractors, owners, officers, and so on.
The workers of (Name of Business) will be required to support this organization’s health and safety initiative and to cooperate with the JOSH Committee or Health & Safety Representative and with others exercising authority under the applicable laws. It is the duty of each worker to report to the supervisor or manager, as soon as possible, any hazardous conditions, injury, accident, or illness related to the workplace. Also, workers must protect their health and safety by complying with applicable Acts and Regulations and following policies, procedures, rules and, instructions as prescribed by
__(Name of Business)______________.
_(Name of Business)______________ will, where possible, eliminate hazards and, thus, the need for personal protective equipment. If that is not possible, and where there is a requirement, workers will be required to use safety equipment, clothing, devices, and materials for personal protection.
__(Name of Business)________ recognizes the worker’s duty to identify hazards, and supports and encourages workers to play an active role in identifying hazards and to offer suggestions or ideas to improve the health and safety program.
Signed:
Title:
This policy has been developed in cooperation with the Committee, Health & Safety Representative, or workers.

—————————End of example—————————————

Clause 5.3: Organizational roles, responsibilities, and authorities

Top management must ensure that the responsibilities and authorities for relevant roles within the OH&S management system are assigned and communicated at all levels within the organization and maintained as documented information. Workers at each level of the organization must assume responsibility for those aspects of the OH&S management system over which they have control. While responsibility and authority can be assigned, ultimately top management is still accountable for the functioning of the OH&S management system. Top management must assign the responsibility and authority for ensuring that the OH&S management system conforms to the requirements of this document. There must be reporting on the performance of the OH&S management system to top management.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

Those involved in the organization’s OH&S management system should have a clear understanding of their role, responsibilities, and authorities for achieving the intended outcomes of the OH&S management system. While top management has overall responsibility and authority for the OH&S management system, every person in the workplace needs to take into account not only their own health and safety but also the health and safety of others. Top management being accountable means being answerable for decisions and activities to the organization’s governing bodies, legal authorities, and, more broadly, its interested parties. It means having ultimate responsibility and relates to the person who is held to account if something is not done, is not done properly, does not work, or fails to achieve its objective. Workers should be enabled to report hazardous situations so that action can be taken. They should be able to report concerns to responsible authorities as required without the threat of dismissal, disciplinary action, or other such reprisals. The specific roles and responsibilities identified in 5.3 may be assigned to an individual, shared by several individuals, or assigned to a member of top management.

Top management needs to ensure that the responsibilities and authorities for relevant roles are assigned, communicated, and understood throughout the organization. The scope and boundaries of the OH&S Management System must now be thoroughly examined and defined considering the aforementioned interested parties and their needs, plus resulting compliance obligations. Also requiring consideration are the OH&S Management System functions and physical boundaries, and all products, services, and activities, including the organization’s ability to exert control on external factors, with the results of the whole definition included in the OH&S Management System and kept critically as “documented information.”It requires the organization to define clear roles, responsibilities, and authorities throughout the organization.
It is recognized that overall responsibility for the OH&S management system falls to ‘Top Management’ however individuals must take account of their own health and safety and that of others. Consider documenting roles, responsibilities, and authorities within high-level and localized organizational charts. Individual policies and work instructions may also include responsibility and authority however competence must be considered. Top management is ultimately responsible for the OH&S management system, even if the day-to-day decisions related to occupational health and safety are delegated to others. What is delegated and to whom should be clearly and unambiguously communicated so that everybody understands who is responsible for what. Top management should assign responsibility and authority for:

Ensuring that the OH&S management system conforms to the requirements of ISO 45001;
Reporting on the performance of the OH&S management system to top management.

Since resources can be limited, opportunities should be sought out to integrate OH&S responsibilities within existing functions of the organization, such as manufacturing, facilities management, purchasing, and human resources. If other management systems are already in place, such as quality, environment, energy or food safety, synergies may exist where there are similar roles and responsibilities. This will enhance ownership of OH&S management across the organization and potentially create efficiencies. ISO 45001 requires that the responsibilities and authority of all persons who perform duties that are part of the OH&S management system be documented. These can be described and included in:

OH&S management system procedures;
Operational procedures and process maps;
Project and/or task descriptions;
Job descriptions;
Induction training packages.

Such documentation can, among others, be required for the following personnel:

Management at all levels in the organization, including top management;
Safety committees/safety teams;
Process operators and the general workforce;
Those managing contractors;
Those responsible for OH&S training;
Those responsible for equipment operation and maintenance;
Those responsible for facilities management;
Employees with OH&S qualifications, or other OH&S specialists, within the organization;

Care should be taken with the clarification of responsibilities at the interfaces between different functions (e.g. between departments, between different levels of management, between workers, between the organization and contractors and between the organization and its neighbors).

Some examples of Roles, responsibility, authority, and accountability

1.) Managing Director:

Overall responsibility for the performance of the Organization
Overall responsibility & accountability for the OHS System, directly or through a nominated executive
Chair and Management Review Meeting
Define the OHS Policy
Review and approve the OHS System manual and its amendments
Ensures adequate resources are available for effective implementation
Appoint Management Representative
Approval of Purchase Orders for capital items
Overall accountable for continual improvement of the OHS Management system

2.) Cross-Functional Team:

Preparation of objectives and targets in consultation with Top Management
Conducting departmental reviews
Coordinate in providing resources for departmental elements of OHS.
Providing direction to the department on the design, implementation, and maintenance of OHS
Resolving corrective action issues
The MR is accountable for the effective implementation of OHS MS
Identify training needs for personnel directly reporting.

3) Legal Team:

Identify applicable legislation and other requirements.
Evaluate Legal compliance
Communicate the legal non-compliances
Hold review meetings on a legal requirement.
Update with latest legislations / amendments.
DGM-HR is accountable for compliance with OHS legal & other requirements.

4) Audit Team:

Conduct internal audits as per the audit schedule
Generate audit reports
Verify the audit closure
MR is accountable for conducting audit & NC closure

5) Emergency Response Team:

Review emergency response & preparedness manual
Train the people for emergency response
Conduct the role during the mock drill
To see the entry of unauthorized persons is restricted to areas.
To check whether Fire Extinguishers are provided at appropriate places and are tested periodically.
To check persons working are using proper PPE’s
To train the personnel over the safety & to identify key areas where safety is necessary
To identify safe assembly area
Impart safety awareness to all employees through in-house training as per the needs identified.
To check whether safety instructions have been prepared and displayed at relevant places through Operation control Instruction for use of Safety Personal Protective Equipment.
To see all the effectiveness of the emergency preparedness
An emergency response team has been constituted with Personnel from all departments to review / initiate actions for identified potential Emergency situations identify through the significant Study.
To co-ordinate with respective Functions head for identifying different types of emergency situations and prepares an “onsite emergency plan” which briefly describes the action to be taken by the employees during identified emergency situation internally.
To prepare an evacuation plan & to describe the plan for evacuation from the emergency area and to identify the gathering point.
To prepare mitigation actions after the emergency.
To organize Mock drills or Mock exercise, to test the Onsite emergency plan for the different identified emergency situations.
To make sure the Mock Drill records are maintained by the Safety Officer. To decide the possible changes needed in the emergency plans.
The safety officer is accountable for compliance with Emergency preparedness and response

6) First Aid Team

The team should regularly monitor medicine availability in the box.
The First Aid personnel shall take care of the injured persons and in case of an emergency condition.
The First Aid persons should take care that the injured persons are shifted to the hospital in time.
Admin Officer is accountable for maintaining adequate first-aid medicines, providing first aid to injured personnel.

7) Safety Committee:

Safety Committee shall meet as often as necessary but at least once in three months. The minutes of the meeting shall be recorded
Safety Committee shall have the right to be adequately and suitably informed
Functions and duties of the safety committee shall include-
Dealing with all matters concerning health, safety, and environment, and to arrive at practical solutions to problems encountered.
Creating safety awareness among all the workers.
Undertaking educational, training and promotional activities.
Discussing reports on safety, environmental and occupational health surveys, safety audits, risk assessments, emergency and disaster management plans and implementation of the recommendations made in the reports.
Carrying out health and safety surveys and identifying the cause of accidents.
Looking into any complaint made on the likelihood of imminent danger to the safety and health of the workers and suggesting corrective measures and
Reviewing the implementation of the recommendations made by it.
Incident investigation results & review of the effectiveness of the action taken.
Safety Officer is accountable for conducting safety committee meeting.

The activity-wise responsibilities are as shown below

S. No	Activity	Responsibility
1	Appointing a Management Representative	Managing Director
2	Selection of CFT Members	MR
3	Review and approval of Policy	Prepared by MR, Reviewed & approved MD
4	Conducting Initial Review & Significant Impact / Risk Assessment	CFT
5	Setting up objectives and targets	MR & CFT
6	Establishing Management Program	MR & CFT
7	Approval of Management Program	Managing Director
8	Identification of Legal and Other Requirements	Legal Team
9	Providing resources for Implementation	Managing Director
10	Identifying training needs	CFT
11	Organising Training	HR Department
12	Internal Communication	As per defined Procedure
13	External Communication
14	Document Control	MR
15	Operational Control Measurement & Monitoring	CFT
16	Emergency preparedness and response	Safety Officer & ERT Members
17	Review of Procedures after emergency	ERT
18	Calibration of Instruments	QA Deputy Manager
19	Handling and Investigating NC’s	MR & CFT
20	Initiating Corrective and Preventive action	MR & Resp Dept HOD’s
21	Maintaining Records	CFT
22	Conducting Audit	Trained Internal Auditors
23	Conducting Management Review	Managing Director

—————————End of example—————————————

Clause 5.4: Consultation and participation of workers

The organization must establish, implement and maintain processes for consultation and participation of workers at all applicable levels and functions, and, where they exist, workers’ representatives, in the development, planning, implementation, performance evaluation, and actions for improvement of the OH&S management system. The organization must provide mechanisms, time, training, and resources necessary for consultation and participation. Worker representation can be a mechanism for consultation and participation. The organization must provide timely access to clear, understandable, and relevant information about the OH&S management system. It must determine and remove obstacles or barriers to participation and minimize those that cannot be removed. Obstacles and barriers can include failure to respond to worker inputs or suggestions, language or literacy barriers, reprisals or threats of reprisals, and policies or practices that discourage or penalize worker participation. The organization must emphasize the consultation of non-managerial workers while determining the needs and expectations of interested parties and establishing the OH&S policy. The organization must emphasize the consultation of non-managerial workers while assigning organizational roles, responsibilities, and authorities as applicable. The organization must emphasize the consultation of non-managerial workers while determining how to fulfill legal requirements and other requirements. The organization must emphasize the consultation of non-managerial workers while establishing OH&S objectives and planning to achieve them. The organization must emphasize the consultation of non-managerial workers while determining applicable controls for outsourcing, procurement, and contractors. The organization must emphasize the consultation of non-managerial workers while determining what needs to be monitored, measured, and evaluated. The organization must emphasize the consultation of non-managerial workers while planning, establishing, implementing, and maintaining an audit program. The organization must emphasize the consultation of non-managerial workers while ensuring continual improvement. The organization must emphasize the participation of non-managerial workers while determining the mechanisms for their consultation and participation. The organization must emphasize the participation of non-managerial workers while identifying hazards and assessing risks and opportunities. The organization must emphasize the participation of non-managerial workers while determining actions to eliminate hazards and reduce OH&S risks. The organization must emphasize the participation of non-managerial workers while determining competence requirements, training needs, training, and evaluating training. The organization must emphasize the participation of non-managerial workers while determining what needs to be communicated and how this will be done. The organization must emphasize the participation of non-managerial workers while determining control measures and their effective implementation and use. The organization must emphasize the participation of non-managerial workers while investigating incidents and nonconformities and determining corrective actions. Emphasizing the consultation and participation of non-managerial workers is intended to apply to persons carrying out the work activities but is not intended to exclude, for example, managers who are impacted by work activities or other factors in the organization. It is recognized that the provision of training at no cost to workers and the provision of training during working hours, where possible, can remove significant barriers to worker participation.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

The consultation and participation of workers, and, where they exist, workers’ representatives, can be key factors of success for an OH&S management system and should be encouraged through the processes established by the organization. Consultation implies a two-way communication involving dialogue and exchanges. Consultation involves the timely provision of the information necessary for workers, and, where they exist, workers’ representatives, to give informed feedback to be considered by the organization before making a decision. Participation enables workers to contribute to decision-making processes on OH&S performance measures and proposed changes. Feedback on the OH&S management system is dependent upon worker participation. The organization should ensure workers at all levels are encouraged to report hazardous situations so that preventive measures can be put in place and corrective action is taken. The receipt of suggestions will be more effective if workers do not fear the threat of dismissal, disciplinary action, or other such reprisals when making them.

The organization must establish, implement and maintain processes for consultation and participation of workers at all applicable levels and functions, and, where they exist, workers representatives, to continually improve the OHSMS. These clauses require engagement with work health and safety committees and existing workers’ representatives. The essence of any health and safety management system is for an organization to proactively and systematically engage with its workers, at all levels, to collaboratively prevent: incidents, injury, and disease. There is considerable evidence that the effective participation of workers and the representation of their interests in OHS are crucial elements in improving health and safety performance at the workplace. This representation occurs through the use of health and safety representatives (HSRs). Clause 5.4 requires an organization to set up a health and safety management system process or processes to ensure the consultation and participation of all workers, including the representatives of workers. 45001 also states that organizations are to support the establishment of health and safety committees. So that workers have an ongoing role in improving the organization’s health and safety management system and its outcomes, by:
• Developing
• Planning
• Implementing and
• Evaluating the organization’s health and safety management system and its outcomes.
So as then to proactively and systematically improve the organization’s health and safety management system and its outcomes in reducing injury, illnesses, disease, and fatalities. 45001 also requires that the organization provides the necessary resources, training, and time through its mechanisms for consultation and participation. When an organization decides to develop, plan, implement, performance evaluate, or improve its health and safety management system. Clause 5.4 also calls for the organization to give emphasis to the participation of workers who are not managers in the following:

Setting up processes for their consultation and participation
Hazard identification, risk assessment and opportunities for improving health and safety outcomes
Working on how to eliminate hazards and if not possible, then reducing remaining health and safety risks
Deciding health and safety risk controls and how to implement these effectively
Establishing: training needs, competence levels and the evaluation of training
Deciding the health and safety communication measures and the manner in which they are done
The investigation of health and safety incidents, including near misses and other types of exposures to hazards and their risks, including nonconformities with the health and safety management system, and decisions over actions to correct these.

Clause 5.4 specifically refers to giving emphasis to consulting workers who are not managers in the following;

Drawing up the work health and safety policy.
Working out who has what health and safety roles,
The determination of the organization’s fulfillment of their legal and other requirements.
Designing the health and safety objectives for the organization including plans for their achievement.
Working out risk management processes in the use of outsourcing, contractors, and procurement.
Decisions over implementing, monitoring, measuring and evaluating elements of the organization’s health and safety management system.
Decisions over applying the audit process, including the audit plan and its establishment, implementation and maintenance.

ISO 45001:2018 Clause 4: Context of the Organization

CLAUSE 4 – CONTEXT OF THE ORGANISATION

This clause underpins the 2018 Standards and establishes the context of the Occupational Health and Safety Management System (OHSMS). This clause is found in all ISO management system standards, and it requires the organization to determine all internal and external issues that may be relevant to the achievement of the objectives of the OH&SManagement System itself. This includes all elements which are, and maybe capable of, affecting these objectives and outcomes in the future. It gives you the opportunity to identify all internal and external issues that are relevant and may affect, the strategic direction of the organization and the OHSMS. You will also need to identify the needs and expectations of workers and other interested parties that are relevant to your management system. These groups can include workers, shareholders, subcontractors, regulatory groups, etc. Finally, you’ll need to establish, implement, maintain and continually improve the management system.

This clause ‘sets the scene’ for the organization and the scope and boundaries for the occupational health and safety management system. Importantly ISO 45001 should be aligned to the strategic direction of the organization, embedding OH&S management into the core business functions, rather than as a stand-alone discipline. Within this clause the organization has to determine the internal and external factors that may affect its ability to achieve the intended outcomes of its OH&S MS. Externally this may be issues such as socio-economic and political instability; internally, it may be issues such as restructuring, acquisitions or new products. The organization is also required to determine the needs and expectations of ‘interested parties with regard to the OH&S MS. This means that the system cannot operate in isolation – those who have an interest in the outcomes of the OH&S MS – workers, shareholders, legal authorities, contractors, etc have to be considered.
Most organizations will have worked through these two aspects as part of their overall risk and opportunity management (and/or if they have other ISO standards) but it is important for ISO 45001 that these issues are expressly considered against the intended outcomes of the OH&S MS. How could political insecurity or an organizational restructure put worker’s health and safety at risk? Or provide an opportunity to improve the workplace? The final scope for the OH&S MS must be documented. this helps to evidence the integrity of the MS. It would be unacceptable to exclude a particular part of the business or site due to poor health and safety performance. Remember the aim for the OH&S MS – to prevent injury and ill-health and provide a safe and healthy workplace. Excluding a particular part of the business would undermine the overall credibility of the organization.

Context 4.1: Understanding the Organization and Its Context

The organization should determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcomes of its OH&S management system.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

An understanding of the context of an organization is used to establish, implement, maintain and continually improve its OH&S management system. Internal and external issues can be positive or negative and include conditions, characteristics, or changing circumstances that can affect the OH&S management system, for example:
a) external issues, such as:
1) the cultural, social, political, legal, financial, technological, economic, and natural surroundings and market competition, whether international, national, regional, or local;
2) introduction of new competitors, contractors, subcontractors, suppliers, partners and providers, new technologies, new laws, and the emergence of new occupations;
3) new knowledge on products and their effect on health and safety;
4) key drivers and trends relevant to the industry or sector having an impact on the organization;
5) relationships with, as well as perceptions and values of, its external interested parties;
6) changes in relation to any of the above;
b) internal issues, such as:
1) governance, organizational structure, roles, and accountabilities;
2) policies, objectives, and the strategies that are in place to achieve them;
3) the capabilities, understood in terms of resources, knowledge, and competence (e.g. capital, time, human resources, processes, systems, and technologies);
4) information systems, information flows and decision-making processes (both formal and informal);
5) introduction of new products, materials, services, tools, software, premises, and equipment;
6) relationships with, as well as perceptions and values of, workers;
7) the culture in the organization;
8) standards, guidelines, and models adopted by the organization;
9) the form and extent of contractual relationships, including, for example, outsourced activities;
10) working time arrangements;
11) working conditions;
12) changes in relation to any of the above.

It requires an organization to assess both internal and external influences in formulating and implementing a health and safety management system. In addition to the traditional customer, economic and competitive factors, it notes that these influences can include how laws, technical developments, and even political/ cultural/social changes might impact the mission of the organization, whether their origin is local, regional, national or international. It specifically wants the ISO 45001 directed health and safety effort to address the requirements of Clause 4.2. 4.3, and 4.4.

The organization must understand the internal and external issues that can impact in a positive or negative manner its health and safety performance including, inter alia, organizational culture and structure, and the external environment including cultural, social, political, legal, financial, technological, economic, market competition and natural factors of significance to its performance. The company will be required to identify all relevant internal and external issues including conditions, characteristics, or changing circumstances that can affect its occupational health and safety management system and then address those that require further attention. External issues include the following:

The cultural, social, political, legal, financial, technological and economic conditions in which the company operates, whether at the international, national, regional or local level.
The legislative framework in which the organization operates including statutory, regulatory and other forms of legal requirements, Competition and market conditions.
Relationship with contractors, suppliers, partners and other external interested parties.
Key drivers and trends of relevance to the industry or sector in which the organization operates.

Internal issues include:

The size and complexity of the organization and the nature of the activities carried out therein;
The strategic direction of the organization, its policies, and objectives.
Organizational governance and structure, roles and accountabilities.
The capability and capacity of the organization in terms of resources, knowledge, and competence (e.g. capital, employee competencies, processes, systems, and technologies).
Information systems: information flows and decision-making processes (both formal and informal) and the time frame within which they are accomplished.
The process for introducing new products, materials, services, tools, software, premises, and equipment.
Organizational style and the health and safety culture of the organization.
The form and extent of contractual relationships, including, for example, outsourced activities.
Working time arrangements.
Working conditions;

An understanding of the organization and its context can be achieved at a strategic level by using techniques such as Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis, and Political, Economic, Social, Technological, Legal, and Environmental (PESTLE) analysis. Alternatively, depending on the size and complexity of its operations, the organization can use a simpler approach, such as brainstorming and asking, “what if” questions. A formal process or documented information is not required in order to satisfy the requirements of this sub-clause – the onus is on each organization to adopt the approach best suited to its circumstances. However, the process adopted by the organization to develop an understanding of its context should guide its efforts to plan, implement, maintain and continually improve its occupational health and safety management system. It is recommended that the organization documents and periodically updates the process and its results as needed. The results can be used to assist the organization in:

Setting the scope of its OH&S management system.
Determining the risks and opportunities that need to be addressed. /li>
Developing or enhancing its OH&S policy.
Establishing its OH&S objectives.
Fulfilling its compliance obligations.

Clause 4.2: Understanding the Needs and Expectations of Workers and other Interested Parties

The organization must determine the other interested parties, in addition to workers, that are relevant to the OH&S management system. The organization must also determine the relevant needs and expectations (i.e. requirements) of workers and other interested parties. The organization must also identify the needs and expectations which could become legal requirements and other requirements.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

Interested parties in addition to workers can include:
a) legal and regulatory authorities (local, regional, state/provincial, national or international);
b) parent organizations;
c) suppliers, contractors, and subcontractors;
d) workers’ representatives;
e) workers’ organizations (trade unions) and employers’ organizations;
f) owners, shareholders, clients, visitors, local community and neighbors of the organization and the general public;
g) customers, medical and other community services, media, academia, business associations, and non-governmental organizations (NGOs);
h) occupational health and safety organizations, occupational safety, and health-care professionals.
Some needs and expectations are mandatory; for example because they have been incorporated into laws and regulations. The organization may also decide to voluntarily agree to, or adopt, other needs and expectations (e.g. subscribing to a voluntary initiative). Once the organization adopts them they are addressed when planning and establishing the OH&S management system.

This requirement addresses the desires and demands of all those who may have an interest in the organization and could impact its mission and who, in turn, should then influence its OHSMS It asks those seeking ISO 45001 certification to have an ongoing system for determining these influences.

Clause 4.1 requires the organization to understand the internal and external issues that can impact in a positive or negative manner its health and safety performance including, inter alia, organizational culture and structure, and the external environment including cultural, social, political, legal, financial, technological, economic, market competition and natural factors of significance to its performance. Consideration of the above will aid the identification of interested parties and their needs and expectations. ISO 45001 defines an interested party or stakeholder as “a person or organization that can affect, be affected by, or perceive itself to be affected by a decision or activity”. ISO 45001 requires the organization to determine:

The other interested parties, in addition to workers, that are relevant to the OH&S management system.
The relevant needs and expectations or requirements of workers and other interested parties.
Which or these needs and expectations are or could become legal and/or other requirements

Interested parties in addition to workers can include:

Legal and regulatory authorities such as the Health and Safety Authority HSA/Health and Safety Executive HSE;
Kuwait Agency for Safety and Health at Work.
Owners, shareholders, the parent company.
Suppliers, contractors and subcontractors.
Workers’ representatives such as safety representatives/safety councils/health and safety committee.
Trade unions and employers’ organizations.
Clients.
Visitors.
Local community and neighbours of the organization.
The general public.
Medical and emergency services.
The media.
Non-governmental organizations (NGOs)

Occupational health and safety organizations such as IOSH Occupational safety and health-care professionals. Some needs and expectations are mandatory because they have been incorporated into laws and regulations. For example, the Safety, Health, and Welfare at Work (Chemical Agents) Regulations 2001 and the Control of Substances Hazardous to Health Regulations 2002 (COSHH) require the organization, if applicable, to ensure that the exposure of employees and other persons to hazardous substances is either prevented or adequately controlled. The organization must assess the risks posed by hazardous substances to decide what precautions are needed to prevent or adequately control exposure. It must also ensure that the control measures are used and maintained. If necessary, the exposure of employees to hazardous substances should be monitored and appropriate medical surveillance should be carried out. Plans and procedures should be prepared to deal with accidents and incidents that involve hazardous substances. Employees should be properly informed, trained, and supervised.

The organization may also decide to voluntarily agree to, or adopt, other needs and expectations such as subscribing to a voluntary initiative. Once the organization adopts these needs and expectations they are addressed when planning and establishing the OH&S management system. Employees indubitably constitute the organization’s most significant interested party, whose needs and expectations must be identified and addressed. The organization should seek out their views on health and safety concerns regarding work activities, products or services. It should follow up on inquiries, requests, complaints or suggestions made by employees to learn more about their expectations. The health and safety committee is an excellent forum for the gathering and evaluation of workers’ concerns. The organizations should take the time to understand the relevant interested parties’ needs and expectations and determine the ones that are relevant to the OH&S management system and should be addressed.

Clause 4.3: Determining the Scope of the OH&S Management System

The organization must determine the boundaries and applicability of the OH&S management system to establish its scope. When determining this scope the organization must consider the external and internal issues and take into account the legal and other requirements identified from the needs and expectations of workers and other interested parties. The organization must take into account the planned or performed work-related activities. The OH&S management system must also include the activities, products, and services within the organization’s control or influence that can impact the organization’s OH&S performance. The scope must be documented.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

An organization has the freedom and flexibility to define the boundaries and applicability of the OH&S management system. The boundaries and applicability may include the whole organization, or (a) specific part(s) of the organization, as long as the top management of that part of the organization has its own functions, responsibilities, and authorities for establishing an OH&S management system.
The credibility of the organization’s OH&S management system will depend upon the choice of the boundaries. The scope should not be used to exclude activities, products, and services that have or can impact the organization’s OH&S performance, or to evade its legal requirements and other requirements. The scope is a factual and representative statement of the organization’s operations included within its OH&S management system boundaries that should not mislead interested parties.

Because of the above more wide-ranging franchise, the standard requires the scope of the OH&S to potentially be widened to include how the needs of those relevant groups noted above can be addressed within the OH&S as it delivers its products and services.
Define the Scope of your OH&S. The scope of the OH&S Management System must be defined; what parts of the workplaces associated with the plant/factory and the office/administration are included in the system.
Once the scope is defined, an organization must include in the OH&S management system the activities, products, and services that it controls or influences and that can impact its OH&S performance. Clause 4.1 requires the organization to understand the internal and external issues that can impact in a positive or negative manner its health and safety performance including, inter alia, organizational culture and structure, and the external environment including cultural, social, political, legal, financial, technological, economic, market competition and natural factors of significance to its performance. Clause 4.2 requires the organization to identify relevant interested parties and their needs and expectations.

Once the organization has determined and assessed its internal and external issues and identified the needs and expectations of relevant interested parties, including its workforce, it should then define the boundaries and applicability of the OH&S management system. The scope of the OH&SMS can include the whole organization, or specific and identified functions or sections of the organization. Therefore, if the organization makes a statement that it conforms to ISO 45001, then it must make the scope of the management system available so that interested parties clearly understand what parts of the organization are covered. The scope of the management system should include everything under the organization’s control or influence that could impact its OH&S performance. The credibility of the organization’s OH&S management system will largely depend on the extent of the defined boundaries. Under no circumstances should the scope be used to exclude activities, products or services that have or could have the potential to impact the organization’s OH&S performance, or to evade its legal and other requirements. An inappropriately narrow or exclusive scope could undermine the credibility of the organization’s OH&S management system with its interested parties and reduce its ability to achieve the intended outcomes of the occupational health and safety management system. The scope is a factual statement of the organization’s operations or business processes to be included within its OH&S management system boundaries. Once the scope is defined, the concept of ‘organization’ is limited to what the scope covers, e.g. if the scope of the OH&S management system is limited to a particular function or section of the organization, the remainder of the organization is then considered to be an external provider or other interested parties. The organization should maintain the scope of the OH&S management system as documented information and make it available to interested parties. There are several methods for so doing, e.g. using a written description, inclusion on a site map, an organizational diagram, a webpage, or posting a public statement of its conformity. When documenting its scope, the organization should consider using an approach that identifies the activities or processes involved, the products or services that ensue, and the location(s), where they occur.

An example of how a scope could be derived

Company Overview

LLL is an electronic controller, power supply manufacturer, and installer within passenger and goods lifts within buildings. This extends to industrial settings, including petrochemical and mines. The business is based in Kuwait. Kuwait is well placed geographically to act as the gateway to the Persian Gulf, the European continents, and Africa. Situated in the northern edge of Eastern Arabia at the tip of the Persian Gulf, it shares borders with Iraq and Saudi Arabia. There are good aviation links to America and Europe.

Our company growth strategy is linked heavily with the construction, petrochemicals, and mining markets within differing jurisdictions. Our ﬁscal growth play requires the business to grow with a projected Turnover from 7m KWD to 7.5 KWD within two years and an increase in profit from 8% to 11%. Other strategies may result in a move to base the organization within more preferential tax regimes to assist in the growth and profit objectives. The growth plan will require engagement as tier-one suppliers, into established and specialist lift manufacturers, in addition to developing a reputation as installers of lift power supplies and controllers into hazardous environments. It is therefore crucial that not only must our products be suitable for those environments, but also our installation teams must perform well within high safety performance cultures and be capable of immediate compliance with the safety requirements of our customers. Offices for installation and commissioning teams will be established in the main conurbations. Technical sales support for speciﬁers and lift manufacturers will be country-based.

The company enables its customers to meet their compliance requirements of ISO 45001, local and government legislation, and regulations. The OH & S Management System (OH & S MS) serves to formalize the policies, processes, and operating standards that will apply to the company’s employees, partners, and contractors. Successful growth would permit the penetration into wide markets with an objective to standardize controllers. Aﬁersales service is therefore critical to our reputation and growth. Combining this with our expertise in the local, regional and national markets gives us increasing leverage in sales through our undoubted ability to produce bespoke solutions at short notice and compliant with hazardous environments.

The global perspective of the business demands that we not only comply but exceed the requirements of national laws. LLL is to earn a reputation as an ethical employer. Whilst an excellent work ethic is to be expected from our employees, overwork will not be tolerated. The management of work-related upper disorders (WRULD) and matters such as absenteeism, through stress management, are vital to our success. Our Human Resources Department with be active and instrumental in achieving this goal. Our reputation for safety leadership is such that we must be seen to occupy the center stage amidst our competitors and be perceived as such by our valued customers.

External and Internal Issues

The company determines the external and internal issues that are relevant to its purpose and strategic direction and that affect its ability to achieve the intended results of the OH&S MS. Consideration is given to the:

Positive and negative factors or conditions.
External context and issues, such as legal, regulatory, technological, competitive, cultural, social, political and economic environments.
Internal context and issues, such as values, culture, organization structure, knowledge and performance of the business.
Determination and requirements of the needs and expectations of interested parties relevant to the OH&S MS.
Authority and the ability to exercise control and influence.
Activities, products, and services are relevant to the business.
Documented information is retained as evidence to support that the context of the organization has been taken into account in the OH&S MS.

External issues

1.Purpose of the Company

The vision of the company is to become the predominant partner for liﬁ controllers and power supplies in high hazard industries and to develop equipment and techniques that are considered the safest in the world. This is to be enhanced with reliable staff to install and where necessary maintain their installations. External issues relevant to health and safety are identiﬁed below. Risks and opportunities associated with these are contained in the organization’s risk assessments.

2. Site Context

The company operates manufacturing, a research center, and an installation team. (Issue: Legal Compliance)
The legal environment in Kuwait contains, amongst other things, statutory requirements contained in the Occupational Health and Safety Act. Health and safety statutory regulations are enforced within Kuwait and civil liability may attach to incidents within the workplace. The structure of safety is not dissimilar to that within the UK and therefore given the very extensive provisions for health and safety within the UK, it is considered that UK legislation and practice will be adopted unless this fails to satisfy Kuwait requirements, in which case the more demanding requirements will be met. The Department of Occupational Safety and Health regularly inspects operators, responds to complaints. (Fines and legal costs)

3. Market Pressures

In recent years, the company has had an increase in requests from customers for its safety record and control methodology. This has especially been the case where there has been a need to install on-site and to supply to the petrochemical and raw material processing industries. Also of note, are high proﬁle architectural skyscrapers with attendant security controls.

Reliability of components is regarded as being equally important to customers as health and safety, during construction and maintenance. LLL has not been able to respond adequately to requests for information and has failed prequaliﬁcation on a number of instances. (Stakeholder complaints, evaluation of compliance with customer requirements).

Guidance documents on health and safety responsibilities have been published by relevant local industry trade associations and the Department of Occupation Safety and Health (DOSH) and the company is beginning to make use of those. (Concern: Stakeholder complaints legal compliance)

In response to international market pressures and to ensure that the company’s stakeholder needs were being met, the management of the company authorized the implementation of a health and safety management system that meets the requirements of ISO 45001:2018. The company decided not to acquire third-party certiﬁcation of the system. (Loss of stakeholder confidence)

4. History

The company was formed 40 years ago and has always operated at the Ahmedi. Early production focused on servicing local and regional customers. More latterly, with increasing demand for high-quality products and site-based installation and service, demand has grown into more complex installations. Company expansion followed and the company now holds a number of key accounts with property owners, construction companies, and one petrochemical organization, though inquiries are increasing from the petrochemical and mining sectors. (Legal compliance, not meeting stakeholder interests)

Internal Issues

The company already had an integrated management system that incorporates quality and environmental management. The company started developing its formal health and safety management system last year. The Head of SHEQ was initially charged with the responsibility of implementing the system by the Board. Later, responsibility for the management system was given to a new post (Health and Safety Manager). The Head of SHEQ has overall responsibility for maintaining any documents as part of the integrated environment, health and safety, and quality system. Consequently, the head of HSEQ wrote most of the health and safety documents including risk assessments, processes, and procedures. Time pressures effectively excluded any practical contribution from other managers. (Lack of consultation & participation, culture & loss of staff and associated competence)

LLL employs 255 personnel of which: 20 are in R&D and testing; 140 personnel work over three shifts within the manufacturing center; 50 Installation team; 20 Delivery and distribution and 25 Sales. Kuwait has a legal structure of Acts, Regulations, and Guidance for the management of health and safety. The requirements of LLL and their partners are to comply with local legalization and additional good practice. There is also a requirement to implement and monitor corporate objectives. These corporate objectives are provided on the 1 January each year to the Managing Director of its Holding company.

The manufacturing process

LLL designs, develops, assembles, transports, installs, commissions, and maintains lift controllers and associated items for passenger and goods liﬁs. It also arranges transportation of the ﬁnished product to the Asian market. Approximately 20% of the site is taken up by the Prospect Heights Factory, of which the ground ﬂoor is entirely occupied by the assembly and materials storage areas including ﬁnished product. There is very little space to spare, and stores on site are kept to a minimum, relying on ‘just in time (lean)’ delivery of materials. First ﬂoor offices contain production administration, Sales & Purchasing, Executive functions, and staff canteen facilities. A separate R&D testing laboratory for developing controllers and switchgear is also present.

Occasionally work is carried out over the weekends, mainly for maintenance or to accommodate extra work for urgent, complex, or large orders. Key components are bought into the company; frames are cut to size, electronic printed circuit boards (PCB’s) are designed; PCB boards are made by an outsourced supplier, and then populated; inserted into cabinets; moved to the test areas; tested; packaged and sent to site for either installation by subcontractor or installation by LLL installation team. In addition, research and development of electronic controllers take place within established test areas; as does bespoke design and population of printed circuit boards. The organization hopes to corner the market with its unique design for controllers and therefore the R&D function is critical to their business success. The key steps in the manufacturing process are:

Designers or technical sales gather key performance data for the desired product. This is passed to the production players who determine the through-put into the production department and associated delivery dates.
The printed circuit boards are requested from specialist supplies; the boards are checked for defect and provided to production to populate with electronic components. This process can take some time to achieve.
The populated boards are passed through the wave solder machine. There are a number of issues in connection with this machine. There is fume from the solder and on occasion, the machines have to be cleaned. There are fire risks and burn risks all of which is managed successfully through good practice and PPE.
Completed circuit boards are sent to QA for checking and QC.
The full-size plan for the design for the frame and panel is printed out with a plotter and used as a full-size template. The production team lay this out on benches and begin to cut components to size and construct the frame, We have many problems with backs and long period spend doing this seem to create H&S issues.
Steel channel is cut to size with cutting wheels.
A hole is drilled to receive the electrical components.
The electrical components are secured onto the frame ready for wiring. The wiring process is very ﬁddly and some employees only wish to do this for short periods.
All electrical components are degreased before final location into the frame. This is often completed by hand using turpentine. Again some employees complain of dermatitis although we believe that the cause lies outside of the work environment.
The assembled frame is mechanically or manually handled into the cabinet. This involves some manual handling.
The cabinet is wheeled on a trolley into the test area where it is tested and electrically H&S checked.
It then moves to the packaging and dispatch area for palletizing and loading onto lorries as required.
All components are kept inside the manufacturing area as adverse atmospheric conditions may detrimentally affect individual components.

Interested Party	Needs, Expectations, and Issues
Owners/Shareholders	Have a growing business that provides the profit. Be well governed and well managed. Want staff to enjoy their work, be challenged, perform their job competently and meet the company and customer requirements.
Customers	Value for money. A simple solution that manages compliance easier. Implementation of the product in-line with customer expectations. Receive responsive support. Delivery of free content to educate around compliance.
Suppliers/Contractors	Ongoing and secure work. To be paid on time. The clear understanding of requirements. Constructive feedback. Want to provide services/products to a reliable, reputable and financially viable business
Partners	Make them more financially secure through additional revenue from Mango sales. Enable them to change their business model from hour-based to value-based income. Want a solution that they can sell, promote and support that will assist their client’s to manage compliance. Provide great support and knowledge to help them support their customers.
Employees within business	Job security. The salary for work performed. Flexible work hours. A clear understanding of their role and responsibilities. Able to raise issues of concern and provide constructive feedback. Good, friendly work environment. To feel valued and appreciated. Opportunities for personal development.
Regulators	To meet the required laws and regulations. To submit all tax obligations accurately and on time. To maintain high standards of corporate governance.
Community	Good corporate citizen. Diversity of employees

Vision, Mission, and Values

Vision: “Gets everyone involved and participating in QHSE”
Mission: Makes compliance enjoyable.
Values: Our customers’ are successful in compliance

Strengths	Weaknesses
Provider of a great quality product. Provider of great support for the product. Responsive development to market requirements. Responsive to identified software issues. The depth of knowledge of the buyer’s persona. Regular delivery of free content. Low client turnover relative to the industry. Quick deployment of product post-sales. Deep knowledge of customer’s pain Adaptable, responsive and able to make decisions. Flexible to meet a wide range of customer service issues. Open to suggestions for improving the product Owners have recognized the need to have external expertise to grow the business. Looking at ways of improving the business.	Identification of good partners to meet our standards/ requirements. Managing and review partner performance Too operational and not strategic enough for partners Reliance on key employees within the business. Time-poor in a few key areas. Don’t have strong relationships with industry players. Measurable marketing outcomes based on known starting points
Opportunities	Threats
Changes to standards in our core markets: ISO 45001, H&S Act, Food Safety. New technologies Partnering with other solutions: Software and Hardware New focussed markets. Certification to ISO 45001 will open up other market opportunities through the marketing of the process. More marketing via additional platforms To educate the industry in compliance.	Competition Technology

Key Business Strategies

Strategies	Description
Develop business processes to accommodate the expected growth.	Develop and implement business processes that are suitable for business. Achieve certification to ISO 45001. Transfer of knowledge to partners and employees for all key processes. Use technology to manage as many processes as appropriate
Improve the efficiency and effectiveness of the core processes	Identify the core processes (i.e. development and release, sales, marketing, implementation, support) Identify new ways (e.g. lean techniques) of doing the core processes. Update and embed the core processes to ensure knowledge is retained
Personnel to be capable of delivering the growth for the business	Key leadership personnel to be capable of leading and managing their staff. Competency gaps to be identified by leadership personnel Personnel to be assessed as competent for their role Personnel to receive training for the role Personnel to receive appropriate experience to do the role
Grow market share in all markets	Identify and train new partners Continuously review partner performance Identify changes to legislation, standards, and regulation Identify key market verticals in each jurisdiction Increase the number of qualified lead by creating more content and delivery across multiple channels Improve the sales conversion rate from qualified leads to sale

Scope

Our health and safety management system address all employees and customers affected by the manufacture and installation of our lift controllers and power supplies to our customers. The OH & S MS describes how the company requirements are to be addressed throughout its operations and addresses the requirements of ISO 45001:2018.

—————————End of example—————————————

Clause 4.4: OH&S Management System

The organization must establish, implement, maintain and continually improve an OH&S management system, including the processes needed and their interactions, in accordance with the requirements of this document.

As per Annex A (Guidance on the use of ISO 45001:2018 standard) of ISO 45001:2018 standard it further explains:

The organization retains the authority, accountability, and autonomy to decide how it will fulfill the requirements of this document, including the level of detail and extent to which it:
a) establishes one or more processes to have confidence that it (they) is (are) controlled, carried out as planned and achieve the intended outcomes of the OH&S management system;
b) integrates requirements of the OH&S management system into its various business processes (e.g. design and development, procurement, human resources, and sales and marketing).
If this document is implemented for a specific part(s) of an organization, the policies and processes developed by other parts of the organization can be used to meet the requirements of this document, provided that they are applicable to the specific part(s) that will be subject to them and that they conform to the requirements of this document. Examples include corporate OH&S policies, education, training and competency programmes, and procurement controls.

An organization must establish, implement, maintain and continually improve an OH&S management system, including the processes needed and their interactions, in accordance with the requirements of ISO 45001. Learn more about what a process approach is.
For the OH&S Management System, the organization can decide how it will fulfill the requirements of ISO 45001, including the level of detail and extent to which it will:
Integrate requirements of the OH&S management system into its various business operations, such as design & development, procurement, human resources, sales, and marketing, etc.
Incorporate the issues associated with its context (4.1), its interested party requirements (4.2), and the scope (4.3) of its OH&S management system. Make use of policies and processes developed by other parts of the organization such as corporate OH&S policies, document management system, competency programs, procurement controls, etc. Document the process properly, including updates, and making it available to all involved. Clause 4.4 requires the organization to establish, implement, maintain and continually improve its OH&S management system, including the processes needed and their interactions. The OH&S management system should reflect the context of the organization, be proportionate to its size and complexity, and be properly resourced. An OH&S management system should be viewed as an organizing framework that should be continually monitored and periodically reviewed to provide effective direction for an organization’s responses to changing internal and external issues. The OH&S management system should be aligned and integrated with other business processes to ensure that OH&S performance is not compromised in order that other business objectives can be achieved, e.g. sacrificing health and safety at the expense of achieving productivity objectives. It is imperative that OH&S requirements are aligned and integrated with the organization’s management practices and business processes. For example, if an organization conducts an annual strategic review of its market position, customer needs and expectations, and business performance, then it is more effective to incorporate an understanding of the internal and external issues that can impact on its health and safety performance, interested party needs and expectations, and OH&S performance into that process. By doing so, occupational health and safety issues can be evaluated in light of the organization’s strategy, and OH&S initiatives can be aligned with other business imperatives. The organization should consider the application of a PDCA approach towards its OH&S management system as follows:

Plan – decide what the organization wants to achieve (considering internal and external issues, the needs of interested parties, and risks and opportunities), and put in place the necessary processes and resources.
Do – put the plans into action.
Check – monitor and measure processes and performance against requirements and what you want to achieve.
Act – take actions to deal with nonconformities and to improve OH&S performance.

OH & S-Process

Example of Procedure for Design and Development

1. SCOPE

This procedure covers all roles, responsibilities, and authorities related to the Design process at XXX

2. PURPOSE

The purpose of this procedure is to define the design control process used by XXX during the design and development of its products and services.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual.
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Production.
3.4 Procedure for Purchase.
3.5 Procedure for QA.
3.6 Business Development and Marketing Procedure
3.7 Procedure For Review of Customer Requirements

4.TERMS & DEFINITIONS

4.1 Design verification: Testing aimed at ensuring that all design outputs meet design conditions imposed at the beginning of the process.

4.2. Design validation: Testing aimed at ensuring that a product or system fulfills the defined user needs and specified requirements, under specified operating conditions. See also validation.

4.3 Design review: A design review is a milestone within a product development process whereby a design is evaluated against its requirements in order to verify the outcomes of previous activities and identify issues before committing to – and if need to be re-prioritise – further work. The ultimate design review, if successful, therefore triggers the product launch or product release.

5.0 RESPONSIBILITY AND AUTHORITY

The Design Manager is responsible for implementation and management of this procedure.

6.0 DETAILS OF PROCEDURE

6.1. Design Planning

6.1.1. The Design Manager plans the stages and controls for Design and development, by taking into account:

Nature, duration and complexity of design activities
Required process stages, including applicable design activities
Required verification and validation activities
Internal and external resources needed
Interfaces between persons involved in Design
Design regulations, standards

6.1.2. The design planning documentation shall be recorded electronically and/ or in hard copy form, as appropriate. This will include the Design Team comprising of the assigned design engineers, support staff, subordinate third party providers, and the responsibilities and authorities for each. Where third parties are utilized, this shall define the approved points of contact.
6.1.3. The Design Manager must ensure that the Design Team:

Implements design control
Generates the design plan and schedule
Reviews changes to product or service design
Defines activities of verification and validation

6.1.4. At any stage, the Designers must maintain design control with history of changes as per Design Change Log.

6.2. Design inputs

6.2.1 Design “inputs” are the requirements for the final product or service.
6.2.2 According to the preliminary design, the Design Manager decides whether to involve customers with the Design team, and creates the Design Task, which contains the input data that defined the request for product or service.
6.2.3 The product or service specifications/ requirements are maintained in the Document Register by the Department Head.

6.3 Developing the Design Plan

6.3.1 According to the Design Task , the Design Team creates the Design Plan and defines:

• The design phases
• All activities related to phase realization
• Input elements of each phase
• Responsibilities of team members for each phase
• Phase realization deadlines
• Phase deliverables
• Resources needed
• Changes in phases and approval of changes
• Design phase status (reviewed, validated, verified and completed)

6.3.2 The Design Plan will be updated as the design work progresses.

6.4 Design Outputs

6.4.1 Once design inputs are captured, the production of design outputs may begin. Typically, these are:

Drawings
Specifications
Models
Standards and specifications, work instructions, method statements etc.

6.4.2 The Department Head oversees the development of the appropriate design outputs, including those produced by third party providers.
6.4.3 All design outputs must be developed so they properly address the applicable design input requirements.

6.5 Design Controls

6.5.1 Design Reviews and Verification

6.5.1.1 The Designer/ Drafter of the design output shall review the Design.
6.5.1.2 Additional verification shall be performed by peer, expert designers or by a third party.
6.5.1.3 The Design Manager shall then perform design verification, to check that the design inputs have been addressed satisfactorily in the design outputs. Records of design verification are maintained as formal approvals. The design process may not proceed until all design outputs are verified as having addressed the design inputs.
6.5.1.4 Should the design review/ verification phase identify any problems/changes, the Design Team shall suggest actions to resolve them. These actions shall be recorded in the Change Review Record.
6.5.1.5 After phase review, the Department Head approves the start of the new phase by signing the Design Plan.

6.5.2. Design Validation

6.2.1 Design validation is performed by Consultants/ Client Representatives by comparing the design documents with the project specifications and the design data.
6.2.2 The Design Team conducts validation before release of product or service.
6.2.3 The Design Manager will ensure necessary actions are taken on problems/changes identified during the review or verification and validation activities.

6.6. Design Changes

6.6.1 Where changes/ variations are required in the design, the customer shall request these formally, or the customer’s approval obtained prior to commencing any work.
6.6.2 The Design Manager shall review the change request and record his approval in the Change Review Record.
6.6.3 The status of all design changes shall be maintained in a Design Change Log.
6.6.4 Applicable design data or documents will be revised with their revision indicator incremented and updating of Document Register. Obsolete design documents shall be removed from circulation, or identified as such, to prevent their unintended use.
6.6.5 Changed designs must go through the same design review, verification and validation as the original design.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Change Review Record (D&D / QF/01)
7.2 Design Plan (D&D / QF/02)
7.3 Design Task (D&D / QF/03)
7,4 Design Change Log(D&D / QF/04)

Example of Procedure for Logistics

1. SCOPE

This procedure covers all roles, responsibilities, and authorities related to the Logistics process at XXX

2. PURPOSE

The purpose of this procedure is to manage vehicles and other heavy equipment use in an efficient and effective manner, to encourage the safety of vehicles, drivers and passengers, and to minimize damage to XXX’s vehicles.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Production.
3.4 Procedure for Purchase.

4.TERMS & DEFINITIONS

4.1. Heavy equipment: Heavy equipment refers to heavy-duty vehicles, specially designed for executing construction tasks, most frequently ones involving earthwork operations. They are also known as heavy machines, heavy trucks, construction equipment, engineering equipment, heavy vehicles, or heavy hydraulics.
4.2. Logistics: Planning, execution, and control of the procurement, movement, and stationing of personnel, material, and other resources to achieve the objectives of a campaign, plan, project, or strategy. It may be defined as the ‘management of inventory in motion and at rest.’

5.0 RESPONSIBILITY AND AUTHORITY

5.1 Logistics officer
5.2. Supply Chain Manager
5.3. Store keeper
5.4. Drivers and Helpers

6.0 DETAILS OF PROCEDURE

6.1. Transportation Management

6.1.1. Wherever applicable, the term vehicle to be applied to heavy Equipment and driver or the operator of heavy equipment.
6.1.2. Usage of vehicles and other equipment for personal use is prohibited; responsible persons besides paying for the loss will be subject to legal action.
6.1.3. Vehicles/Heavy Equipment should not be used after official working hours unless there is a need for it based on the work plan.
6.1.4. Logistics Officer should prepare a Transportation and Routing work plan with approvals to work plan by the Project Coordinator.
6.1.5. The Transferring Party must load products to the vehicle according to the Transportation and Routing work plan.
6.1.6. The Driver receives other related documents (Return Note/Rework Report/Scrap Report/Delivery Note) and signs indicating the materials are in his possession, are on the way, and transports the materials.
6.1.7. When loading materials from site/production, Return Note and Rework/Scrap Report is prepared by Site Engineer/Supervisor and given to the driver.
6.1.8. When loading is from Warehouse, Delivery Note is prepared by Storekeeper and given to the driver.
6.1.9. The Driver delivers the Return Note and Delivery Note to transferring party.

6.2. Safe working guidelines

6.2.1. In case of accident drivers should immediately report the incident and type of damage or involving personal injuries to the local law enforcement agency and to his supervisor as soon as possible and the supervisor to visit the accident site to ensure and be able to decide what caused the accident and who the blame goes to.
6.2.2. Drivers who fail to adhere to vehicle usage policies and procedures are subject to disciplinary action according to the severity of the infraction. If a violation occurs while operating XXX’s vehicle, all fines are the responsibility of the driver.
6.2.3. Transportation is responsible to ensure all drivers are well aware of traffic regulations and abide by those rules.
6.2.4. The driver should take every precaution to ensure the safety of passengers. No person may ride in a vehicle unless properly restrained by a seat belt It shall be the driver’s responsibility to ensure that all passengers are properly restrained.
6.2.5. All traffic and parking laws are to be obeyed. Posted speed limits are not to be exceeded, nor is the vehicle to be operated above safe driving speeds for road conditions. All traffic and parking violations and fines, including any late fees or penalties, are the responsibility of the driver involved. Failure to promptly pay a violation or fine may result in disciplinary action.
6.2.6. The driver of the vehicle shall take every precaution to ensure the safety of the vehicle and its contents. The driver shall lock the vehicle and take the keys.
6.2.7. The driver should ensure tires are in good condition and the air pressure is correct, lights and signals are clean and working.
6.2.8. The driver should ensure oil and antifreeze/coolant is at proper levels and shock absorbers do not show any signs of leaks meanwhile the braking system in top working order
6.2.9. The driver should try to consider the safety distance while driving behind the driver in front – more in bad weather or at night.
6.2.10. The driver should ensure to pass on the left, but only where it’s permitted and where you can see enough clear space to pass comfortably. Be especially alert in heavy traffic – for sudden stops, cars passing or moving in and out of lanes, debris, construction, or potholes.
6.2.11. The driver should constantly check rearview and side mirrors for approaching traffic.
6.2.12. The driver should obey the speed limit and other rules of the road use windshield wipers, lights, and defroster in rain and snow. Turn on headlights as soon as it starts to get dark.
6.2.13. Cell phones should not be used by drivers when operating and driving vehicles.
6.2.14. The Driver should have valid licenses and permits and be well aware of all the traffic rules and regulations of the country.

6.3. Responsibilities of Fleet/Heavy Equipment Supervisor

6.3.1. To keep all the vehicles ready, functional, and fully equipped with supplies and accessories based on the seasonal requirement and make sure efficient use of all transportation means.
6.3.2. Usual repair and technical maintenance of all vehicles and transportation facilities in accordance with the vehicle’s manufacturing company catalog.
6.3.3. Monitoring all transportation facilities including vehicles power generation machines, workshops and other transport-related machinery during official hours.
6.3.4. Ensure all vehicles have license plates, usage permits, logbooks, and legally have no barrier to be used by the driver.
6.3.5. Monitoring the cleanness, technical maintenance, for all vehicles are done properly and timely.

6.4. Vehicle Management guidelines for requesting fuel, lubricants and other spare parts

6.4.1. Driver to put a Requisition Form after the vehicle reached the given norm of (i.e. changing engine oil).
6.4.2. The requisition should be approved by the Fleet/Heavy Equipment Supervisor.
6.4.3. The Requisition form should be filled for requesting needed material from the stock. If the spare parts were not available in the stock, the storekeeper will recommend a purchase from the market in the same form.
6.4.4. Next step is to visit Store for receiving the required spare parts/supplies for the vehicle.
6.4.5. The driver will then have to go to the Maintenance for the physical maintenance (changing engine oil, filter, air filter, diesel filters and etc.).
6.4.6. For useless spare part the Spare Register that is used for the parts and supplies that are no more in use and has been depreciated should be filled and returned to stock along with those depreciated spare parts/ supplies.

6.5. Vehicle Maintenance guidelines

6.5.1. Fleet Supervisors must provide the driver with the required amount of fuel and lubricants used during the travel and ensure the vehicle is fully functional and operational.
6.5.2. Log Sheets for all vehicles should be kept up to date and KM and dates of usage should be listed at the beginning and endpoints of all trips. Users of the vehicles must write the Starting KM, the destination of the trip, and the end of travel KM counter into the Vehicles log book.
6.5.3. Fuel consumptions differ by type of vehicle, engine, Cylinder, and type of fuel (Petrol, Diesel) of vehicles and are calculated per KM. Drivers are responsible to check and ensure the KM counter at the vehicle is functional and should verify it with the Fleet Supervisor.
6.5.4. All vehicles and Heavy Equipment of XXX based on the technical specification of the manufacturing company should be kept functional and operational as well should be operated based on the manufacturing company’s catalog for routine and seasonal maintenances. The Fleet/Heavy Equipment Supervisor is responsible to ensure all the vehicle maintenances and cleanups are done in a timely manner logged in Vehicle Maintenance Log and based on the schedules maintained in Vehicle Maintenance Schedule. Critical Spare parts must be maintained in the Spare part Register.
6.5.5. Vehicles and Heavy Equipment should be kept in a safe and covered area during night times and official holidays. The Transportation Department should ensure the safety and security of the vehicle parking.
6.5.6. Drivers are responsible to coordinate with Fleet /Heavy Equipment Supervisors for technical maintenance, cleaning services and take good care of their assigned vehicles based on need and given schedules, and ensuring their vehicles have enough fuel and other required lubricants to operate normally. Preventive and Breakdown Maintenance must be carried out at authorized agencies and must be managed by Fleet Supervisors.
6.5.7. Driver to put a Requisition form explaining the type of technical problem in the vehicle to Fleet/Heavy Equipment Supervisor.
6.5.8. The Supervisor will approve the request and refer it to the Maintenance Supervisor. The Maintenance Supervisor will inspect and check the vehicle and will provide their findings and feedback.
6.5.9. Fleet/ Heavy Equipment Supervisor to put a Requisition form to the Procurement Department describing the technical issue of the vehicle and list down required spare parts for the vehicle to be replaced based on the recommendation and findings of the Maintenance Supervisor committees.
6.5.10. Once approved, the Procurement department to procure and coordinate the purchase of the approved spare parts with the contractor/Vendor.
6.5.11. Once the spare parts are provided they should be checked by the Fleet/Heavy Equipment Supervisor for their review and confirmation. Meanwhile, all paper works including the purchase bills and approved requests should be prepared and sent to the Finance department for processing and payments.
6.5.12. Driver to take the vehicle to the workshop or authorized Agency for maintenance and replacing the spare parts, and to return the damaged spare parts to stock.

6.6. Quarterly Maintenance

6.6.1. Check #1 Include but is not limited to full check of the vehicle from the front wheel and continued to the rear wheel of the vehicle, the vehicle should be placed in the workshop, for the technical inspection and test drives, if any faults identified then the vehicle should be parked for maintenance following the procedures explained in above for replacing any damaged spare parts, and should be recorded in the vehicle maintenance history logbook.
6.6.2. Check #2 is more detailed in comparison to check #1 and includes, opening, cleaning, and refreshing lubricants of front and rear wheels, checking brakes, brake pads, shock absorbers, metal compression coil springs, as well as same maintenance and checks are applied on the rear wheels of the vehicle. Furthermore all lubricants for the gearbox, steering wheel, brake, and other necessary parts
6.6.3. Weekly, Monthly, and Quarterly Checklists should be maintained as per the Checklist for each vehicle/equipment.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Vehicle Log (QMS F 103)
7.2 Automobile maintenance schedule (QMS F 104)
7.3 Vehicle Maintenance Log (QMS F 105)
7.4 Transportation & Routing Plan (QMS F 106)
7.5 Spare Part Register (QMS F 107)

Example of Procedure for Project Management

1. SCOPE

This procedure applies to all projects executed/supervised by XXX, including activities starting from planning for the project, and up to handing over of the project to the owner.

2. PURPOSE

The purpose of this procedure is to establish and maintain an organizational framework for the process of supervising the execution of projects, which take place as part of the services provided by XXX

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Logistics.
3.4 Procedure for QA
3.5 Procedure for Production.
3.6 Procedure for Purchase.
3.7 Procedure for Training.
3.8 All documents used by Consultant.

4.TERMS & DEFINITIONS

4.1 Project Consultant: wherever it is mentioned in this procedure, it means the Consultant’s Project Manager.

.5.0 RESPONSIBILITY AND AUTHORITY

5.1 Executive Director
5.2 Sr. Project Managers
5.3 Site Manager
5.4 Design Manager
5.5 Health And Safety Officer
5.6 Storekeeper
5.7 QA/QC Manager
5.8 Site Engineer
5.9 Site Surveyor & QS

6.0 DETAILS OF PROCEDURE

6.1 General

6.1.1 Once the contract is signed, Sr. Project Manager submits a file to the Concerned Site Manager, this file contains at least the following documents:

Contract and tender documents.
Priced bill of quantities (BOQ); along with price breakdown.
Method Statement.
Priced Resources.
Project drawings & designs.
All correspondence and studies related to the project.
A report that gives suggestion and a brief about the project

6.1.2 After signing a Project contract, the Executive Director in Coordination with Sr. Project Manager, assigns the project execution team which includes the following staff:

Sr. Project Manager
Site Manager
Design Manager
Health And Safety Officer
Storekeeper
QA/QC Manager
Site Engineer
Site Surveyor & QS
Any other staff required.

6.2 Issuing Production Work Order

6.2.1 Site Manager received the requirements from the Project Consultant/Client.
6.2.2 Site Project Manager checks the specifications and measurements according to the project requirements.
6.2.3 Site Manager sends the Work Order for Design Manager to start with the project design.
6.2.4 Site Manager approves the design and gets the final approval from the Project Consultant/Client.
6.2.5 Site Manager after getting the final approval from the Project Consultant /client, sends the approved work Order for the Design Manager to start manufacturing design.

6.3 Planning

6.3.1 Site Manager holds an opening meeting with the Project Team; in order to introduce the supervision team and exchange the related project documents with all concerned parties. During this meeting, Sr. Project Manager provides the attendees with all project forms and templates that should be used by the contracting team.
6.3.2 Site Manager supervises preparing the following set of documents in order to be submitted to the Sr. Project Manager;

Detailed project plans for each stage of the project (This includes Time Schedules, HR plans, and Procurement Schedules). These plans explain all activities, timeframes, workforce, and materials to be used for each stage.
Project’s organizational structure & project’s staff C.V’s.
Relevant designs & drawings.

6.3.3 Sr. Project Manager reviews submitted plans and requests for changes if needed; after discussing these changes with the Site Manager.
6.3.4 Sr. Project Manager provides revised plans to the Executive Director-Contracting for approval.
6.3.5 Executive Director-Contracting signs and stamps the plans indicating his approval. Copies of the approved plans are kept with the Sr. Project Manager and Site Manager for progress follow-up.
6.3.6 Based on the approved plan, the Site Manager Coordinates with the Project team in order to prepare a Procurement Schedule; indicating all planned purchases for the project. These forms should recursively be updated during the project; in accordance with the actual purchases and their dates.
6.3.7 Sr. Project Manager ensures that all received Submittals Forms from the Project Consultant /Client are logged using the Contractor’s Submittals Log (that is approved by the Project Consultant/client.
6.3.8 At the beginning of each week, the Site Manager prepares the Weekly Work Schedule for each project; indicating planned activities for the project in the upcoming week. Knowing that this schedule should be compatible with the project’s overall plan.
6.3.9 Once it is prepared, a copy of this plan should be submitted to Sr. Project Manager.

6.4 Approvals

6.4.1 Staff Approval:
6.4.1.1 Site Manager submits the project’s organizational structure (O.S.) and staff CVs, to the Sr. Project Manager for approval.
6.4.1.2 Sr. Project Manager compares the titles and qualifications of the submitted staff C.V.s and ensures that they comply with the contract’s agreed-upon requirements.
6.4.1.3 If the Site Manager is not satisfied with any of the staff, a formal letter is sent to the Sr. Project Manager to change that employee. This letter should indicate the reasons for not accepting the employee.
6.4.1.4 Staff is approved through formal letters sent by Executive Director – Contraction.
6.4.1.5 A copy of all sent approvals shall be maintained by the project’s Site Secretary.
6.4.2 Design:
6.4.2.1 The design planning is dependent upon the project and its needs, as soon as the Project has been assigned, the design is prepared as follows:

6.4.2.1.1 The review of design input (client needs and wants, acceptance criteria) taking note of any conflicting requirements, if any.
6.4.2.1.2 Any statutory/regulatory/safety obligations must be adhered to, irrespective of whether the client requests it.
6.4.2.1.3 The documented design output showing how the proposed service meets the Client’s input requirements are then verified.
6.4.2.1.4 Control changes/modifications to the established design are authorized by the Project Consultant/client and controlled by using the Work Order.
6.4.2.1.5 Validation of the design output is carried out by the client/consultant

6.4.2.2 Project Consultant /Client submits to Site Manager the relevant drawing(s) for the work to be completed. Afterward, the submitted Drawing is submitted to the site Manager and Design Manager. Submittals log is updated accordingly.
6.4.2.3 Design Manager receives the work order from the Site Manager.
6.4.2.4 Design Manager starts doing the design for the project and then sends it to Sr. Project Manager if there is any adjustment on the design the Design Manager will adjust it and resend it to the Design Manager.
6.4.2.5 Design Manager prepares the design which is subject to verification and checking in-house to ensure that it meets the requirements
6.4.2.6 Site Manager approves the design and gets the final approval from the Project Consultant /Client.
6.4.2.7 Design Manager after getting the final approvals issues to work order to production manager to start the production process as per the production procedure.
6.4.2.8 Site Manager after completing manufacturing design starts ordering the materials from Storekeeper.
6.4.2.9 Products are then installed as per the approved project plan.
6.4.2.10 The revisions of all documents/ drawings should be logged, archived, and maintained in a way that makes it easy to retrieve them.

6.4.3 Materials Approval
6.4.3.1 Site Manager should obtain approval of all materials used in the project from Project Consultant/Client.
6.4.3.2 Sr. Project Manager gets sample material for the production department.
6.4.3.3 Site Manager performs the necessary tests on a sample before approving the Material. If tests were unsatisfactory, the Site Manager coordinates with the production manager/procurement manager to solve the issue and get new material.
6.4.3.4 Site Manager Co-ordinates to get final approval from the Project Consultant/Client.
6.4.3.5 All approved samples are kept with the Site Manager in a specific room on the project site (Sample Room). Samples are identified using a label that includes martial name, origin, and supplier’s name. Samples room should be safe and access-controlled. In addition, it should provide all the necessary conditions to safeguard the kept samples.
6.4.3.6 Site Manager uses the approved sample to compare the actually used materials in execution.
6.4.3.7 Project’s Submittals Log is updated by the concerned Site Secretary with each received Submittal form.
6.4.3.8 Copy of test results and examination reports are kept in the specific project file by Site Secretary.

6.5 Storage – in site

6.5.1 Records are maintained for the receipt, inspection, acceptance, and issuing material as per the production procedure.
6.5.2 All stored products are identified clearly for easy accessibility.
6.5.3 Store Keeper control in and out products.
6.5.4 Regular Stocktaking is performed as per the production procedure.
6.5.5 If needed any unavailable material is ordered by the site Manager.
6.5.6 At the end of the project storekeeper sends all excess and damaged materials for the main store with the delivery note.

6.6 Project Execution Follow-up

6.6.1 During the project’s execution, Sr. Project Manager receives on a daily basis the Daily Project Report from the Site Manager that shows the day’s work progress.
6.6.2 In the presence of the related staff. The site Manager holds weekly meetings with the Sr. Project Manager to discuss the performed work and to plan for work to be performed next, problems or obstacles that may interrupt the project progress are discussed in the meeting as well.
6.6.3 Minutes of the meeting are prepared for each weekly meeting, which includes the date and time of the meeting, attendees, points discussed, the decision made, any pending issues to be investigated, and plans for the next week.
6.6.4 The minute of the meeting is signed by all attendees. Site Manager – through Site Secretary – keeps a copy of all minutes of meetings in the project’s files.
6.6.5 A copy of the minutes of the meeting is forwarded to Executive Director- Contracting.
6.6.6 At the end of each month, the Site Manager prepares a “Monthly Report” that summarizes the executed work during the month, in addition to the percentage of project completion, expenditure, cost of used materials and staff, and occurred major issues (if any). In addition, photos of the current status of the project are attached to this report before it is submitted to the Sr. Project Manager by a formal letter for approval.

6.7 Quality Control:

6.7.1 When a phase ends, or a work package is going to be handed over to the client, the QA/QC site checks whether the work is complying with the required specification.
6.7.2 In case of non-conformity, the QA/QC site Quality Control officer prepares a CIR in which he will explain the case, the root cause, and the required corrective action as explained in the Continual Improvement procedure.
6.7.3 QA/QC Site shall follow-up with the concerned staff and Site Manager to ensure implementing the corrective actions and closing the CIRs.

6.7.4 QA/QC site ensures that all measurement instruments used in the project are calibrated. The site Manager should maintain all calibration certificates, as well as he is responsible for maintaining the validity of the “Calibration Certificates” for all measurement items used in the site location. He should also maintain a Measurement Equipment List that includes all measurement equipment that is used on the site. This list should regularly be updated with the expiration dates of the equipment calibration – if applicable.

6.8 Variation Orders

6.8.1 A need for a variation order appears when changes in the design are required when the Project consultant/client decides to add, change or cancel some works or deal with damaged works caused by other parties.
6.8.2 Once there is a need for variations, an official Variation Order Form is prepared by the Site Manager and then approved by the Executive Director- Contracting.
6.8.3 In case the variation order includes the change in time and cost, the Site Manager coordinates with the Sr. Project Manager and Sr. Estimator in order to estimate that financial and technical (Schedule) changes related to the variation order.
6.8.4 Once the Variation Order is approved by Project Consultant/Client; the Site Manager coordinates with the Design Manager in order to reflect changes on the shop drawings as well as the project plan.
6.8.5 Variation order-related work can start only after obtaining the approvals from Project Consultant and Client on both drawings and offer.

6.9 Occupational Safety

6.9.1 Health & Safety Officer is responsible for making sure that all “safety” signs are well-prepared and distributed all over the workplace.
6.9.2 All employees shall ensure that their employees receive safety orientation prior to starting work on any project.
6.9.3 All Employees shall ensure that they comply with all safety regulations that apply by Kuwaiti local laws or by the agreement with the Company. A safety plan shall be prepared by the Health & Safety Officer. Through this plan, safety requirements are reflected in the site location.
6.9.4 The safety plan should be approved by the Site Manager before being put into action. after approval, a copy of this plan is sent to the Health & Safety Officer, who is responsible for making sure that all staff are complying with this plan.
6.9.5 On a regular basis, the Health & Safety Officer checks the work location in order to identify any safety violations.
6.9.6 In case of finding any safety violations, the Health & Safety Officer prepares a Safety Violation Notice, indicating the case, its causes, and what should be done in order to deal with this potentially hazardous situation.
6.9.7 A copy of the Safety Violation Notice is officially submitted to the concerned contractor/staff.
6.9.8 The details of the violation are discussed in the weekly progress meeting.
6.9.9 In case any accident takes place inside the work location, Health & Safety Officer fills the Accident Report; indicating the details of the case, what exactly happened and what is the root cause for the accident, and what was done in order to deal with the accident.
6.9.10 First Aid Kits should be maintained within the site location, whereas they could be used for minor accidents. However, for major accidents; Health & Safety Officer or any present employee should call for emergency
6.9.11 Project Site – Safety Checklist is provided to the Health & Safety Officer. In addition, all applicable health & safety work instructions are communicated to the concerned project staff.

6.10 Handing Over

6.10.1 At the end of each stage of the project and after doing necessary quality control checks, the Site Manager prepares a “request for inspection and approval” in order to be submitted to the Project Consultant/Client.
6.10.2 Project Consultant/Client inspects the finished work and, if rejected, he provides his written notes and reasons for rejection to the Site Manager.
6.10.3 Site Manager works with the concerned staff in order to deal with the Project Consultant/Client comments /feedback. He should ensure that the rejected work is corrected within the assigned time listed in the project schedule and in a way that is compatible with the contract signed.
6.10.4 When the project ends, the Site Manager prepares a formal letter to inform the Project Consultant/Client that the project is completed.
6.10.5 Based on the received letter, the Project Consultant/Client forms a committee that inspects the whole project’s contractual works and prepares a Snag List that contains a list of remaining works (if any).
6.10.6 Prepared Snag List is signed by both the Project Consultant/Client and the Site Manager.
6.10.7 Site Manager agrees with the Project Consultant/Client on the timeframe to finalize the work items mentioned in the Snag List. Afterward, this Snag list is signed by two sides of the contract.
6.10.8 After finishing all remaining works, the Site Manager sends another formal letter to the Project Consultant/Client, who checks the performed works again and – if acceptable – prepares and signs an “Accomplishment Letter” to indicate project completion.
6.10.9 All documents are filed in their proper files by the Secretary.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Weekly Work Schedule (QMS F 093).
7.2 Request for Substitution ( QMS F 094).
7.3 Daily Project Report ( QMS F 095).
7.4 Job Site Instruction ( QMS F 096).
7.5 Job Site Instruction Log ( QMS F 097).
7.6 Measurement Equipment List ( QMS F 098).
7.7 Variation Order Form ( QMS F 099).
7.8 Safety Violation Notice ( QMS F 100).
7.9 Accident Report (QF-PM-101).
7.10 Job Order ( QMS F 102)

Example for Procedure of Production

1. SCOPE

This procedure covers all roles, responsibilities, and authorities related to the Production process at XXX.

2. PURPOSE

This procedure identifies and establishes plans for production processes that directly affect product quality. It is designed to ensure that these processes will be carried out under controlled conditions.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Logistics.
3.4 Procedure for QA
3.5 Procedure for Purchasing.

4.TERMS & DEFINITIONS

4.1 Quality Plan:

A quality plan is a document, or several documents, that together specify quality standards, practices, resources, specifications, and the sequence of activities relevant to a particular product, service, project, or contract.

4.2 Special process:

These are the processes, results of which cannot be fully inspected and ensured after the completion of the process.

5.0 RESPONSIBILITY AND AUTHORITY

5.1 Production Manager
5.2 Coating Production Manager
5.3 Factory General Foreman
5.4 Factory Supervisor
5.5 Store Manager & QA/QC
5.6 Packing & QC
5.7 Store Keeper
5.8 Maintenance Supervisor

6.0 DETAILS OF PROCEDURE

6.1 Quality Control

Store manager & QA/QC checks and approves specifications / data sheet received from Sr Project Manager and issues to production Department.
Based on the customer’s requirements and commitments, the Production Manager. plans production based on daily basis in Master Production Plan and Status Report.
Production Manager intimates Project Manager daily on the status of production progress through Daily Production Report
Work Instructions are provided to operators describing:
- The operations to be carried out
- Safety precautions to be adopted
- Inspection and Checks to be carried out.
Process Specifications are given to supervisors describing:
- Important process control parameters & limiting values, the machinery and Equipment to be used.
- If the material need for coating, the material first send for coating Dept.
- Method of achieving required product quality etc.
Product characteristics are periodically checked as per Inspection & Testing section of this procedure for ensuring compliance with requirements.
It is ensured that machinery provided can meet the needs and that capability is maintained by periodic, planned preventive maintenance.
Instruments are calibrated.
Handling and Storage facilities are such that the quality of product does not deteriorate.
New equipment and production processes are established by Design department in consultation with Production and QC Depts.

6.2 Coating

Degreasing: This is the first stage, removal of oil, grease and other unwanted contaminants like dirt from the surface.
Water Rinse – 1: In this stage, a proper water wash is performed. Whenever components are degreased, they should be rinsed.
Derusting: In this stage, rust and scales are removed from the component by means of acid solution.
Water Rinse – 2: In this stage, a proper water wash is performed as the derusting process is followed by one or two water rinses to remove all traces of acid.
Phosphating: In this stage, the clean surface of the component is coated within a thin layer of phosphate or chromate salt by using a phosphating.
Water Rinse – 3: The above operation is followed by one or two water rinses.
Passivating: After the surface of the phospated component is chemically cleaned, the Components are dipped into a solution of hot chromic acid for a period of 12 to 24 hrs, which tends to passivate the phosphated surface and protect it from rusting until the components are ready for painting.

6.3 Inspection and Testing:

6.3.1 Incoming Inspection:

Incoming products are received and physically verified by Storekeeper based on P.O as per procurement procedure.
Incoming raw materials are verified/inspected/tested for receiving inspection to ascertain conformity with specified requirements by Store QA/QC.
Store QA/QC prepares as QC plan according to which the products are regularly inspected. A QC plan form is necessary.
Material not in QC plan Form are verified / inspected in accordance with purchase order specification/details to ascertain conformity with specified requirements by QC or concerned department.
Extent of incoming inspection is planned on the basis of control exercised on the supplier’s usually quality of works. They may be accepted on the basis of:-
Scrutiny of test certificate / documentation furnished by supplier or
Sampling inspection or
100% Inspection
Incoming products that are verified to be conforming to specified requirements are released to stores and records of inspection are maintained indicating approval authority.
Products found non-conforming are clearly labeled and segregated.
Procurement officers contact the concerned external provider regarding their non-conforming products.

6.3.2 In process Inspection

The QC plan describes the stages during processing of a product at which inspection / verification for conformance is necessary, details and extent of checks are defined in the QC Test Plan.
In-process inspection may be carried out by:-
Patrol inspection.
Sampling inspection of specified quantity at specified intervals.
When results of in-process inspection are satisfactory, the products are allowed to go to the next stage after details are recorded in QC Plan Form and authorized.
When results are not satisfactory, the process is stopped for investigation and correction before restarting the production process.
Products are identified for inspection status as per Product Labeling and Identification and records are maintained.

6.3.3 Final Inspection

Products are taken up for final inspection after QC ensures that the product has passed all previous tests of in-coming and in-process stages satisfactorily.
Final inspection is based on sampling plans as per quality test plan.
Products found conforming are so certified, identified for inspection status and released for dispatch. Results of Inspection are recorded in Pre-Dispatch Inspection Report.
When contractually required, Test Certificates are issued to the customer.
Products found non-conforming are labeled, segregated and are recorded in NC Register and concerned employees are notified for review and remedial action.
Records of final inspection of various products are approved by Store Manager & QA/QC and the records are maintained.

6.4 Special Processes: –

Special processes used in XXX like welding, Painting, Galvanizing, Sandblasting is mentioned in Special Process Qualification Report.
Special process control plan are prepared by the production manager
Special process control plan provided for special process are meticulously followed by the production department.
The process parameters, personnel and equipment are qualified based on satisfactory results.
It is ensured that special process is carried out only by qualified personnel using standard equipment and operating within qualified range of process parameters. The record of qualification of special process is recorded in Special Process Qualification Report.
Control parameters mentioned in Special process control plan are carefully measured and recorded at specified intervals.

6.5 Maintenance:

Maintenance Supervisor is responsible to plan and carry out periodic preventive maintenance based on the Preventive Maintenance Chart to ensure continued process capability.
Based on conditions of use and experience, periodic maintenance work on machines is planned by maintenance Supervisor. Maintenance is done based on maintenance schedule.
Work instructions for Periodic maintenance like checking, filling of oil/grease of production machine are provided to Technicians for execution.
Scheduled maintenance plans are executed by maintenance personnel and records are maintained in respective machine file.
When breakdown occurs necessary repair / rectification work is carried out and records are maintained in Breakdown Maintenance Report. Production Supervisor reviews the record and maintains records of down time hours, spares consumed and approximate cost of spares/repair.
Root cause analysis and corrective records shall be maintained for all the major machine break downs. The records shall include details of breakdown experienced/attended, the effectiveness of action taken and preventive action if any.
Machine Details like capacity, location and spares parts of machine shall be maintained in the respective Machine History Card.
Maintenance Supervisor plans to procure and stock essential spare parts to ensure maintenance with minimal down time. List of critical spares and existing stock is maintained.
All the spares / accessories with shelf life shall be identified with label containing details like: Name, location of use/application and date of receipt etc.

6.6 Product Labeling and Identification:

Production department refer to the Project Identification Number for identification at the time of storage and dispatch.
Identification at stores (In-coming.): Incoming material are identified by label, Inspection status is indicated by color code i.e. Green – Conforming and with Yellow sticker on label for Hold/Awaiting inspection & Red sticker for Rejected / Non-Conforming product. Details of each material is recorded in the Receiving Inspection
IN-Process Identification: Each Job Order has a unique identification number and the product is identified through this number. Details of the semi finish/finish product are recorded. Product status is indicated by color code at bottom of the label, i.e. Green – Conforming and with Yellow sticker on label for Hold/pending decision & with Red sticker for Rejected / Non-conforming product.
Finished Product: Each tested and accepted Product is Labeled ‘Inspected OK’ stamp. Hold and pending decision is identified with yellow sticker marked as ‘HOLD” and non-conforming drum is identified with Red sticker marked as ‘REJECTED’.
Dispatch Identification: At the time of packing and dispatch a label is provided to each finish product, which is identified by label. Care is taken to ensure the identification is complete in all respect including customer requirements as mentioned in the Specification.
Job orders are received from Project Managers/Sales Managers
Job orders are prioritized by Production Manager and a production plan is made accordingly
Project Manager/Sales Manager is informed of the estimated completion date
The job order is processed as per the production plan, and as per the coating section within the procedure
Project Manager/Sales Manager is informed of the completion/delay of the job order
Job orders’ status is reported to Project Manager on a daily basis

6.7 Handling, Storage, Packaging, Preservation and Delivery

6.7.1 HANDLING:-

Following equipment are provided for convenient and safe handling of product at all stages:
Hydraulic Trolley.
Overhead cranes.
Pallets .etc.
Necessary care is taken during handling of products, so as to ensure no damages.
Conditions of stock are periodically inspected to detect deterioration, if any was found. Timely corrective action should be implemented as per Procedure for correction and Corrective action

6.7.2 STORAGE

Records are maintained for receipt, inspection, acceptance and issue of Material.
All stored products are identified clearly for easy accessibility.
Fire extinguishers, checked at regular intervals, are available for use in case of emergency.

6.7.3 PRESERVATION

Precautionary measures for storage of raw materials, spare parts, packaging materials etc. are taken to preserve quality of product and protect against deterioration due to environmental factors like humidity and dust.
The finished products which can be affected by environmental condition are preserved by plastic / tarpaulin covering, during wet season and sand storms.

6.7.4 PACKAGING

Materials are packed to prepare them for transportation.
Packing activities are carried out ensuring :-
Good quality packing material.
Customer specific packing requirements.
Inspection after packing.
Identification label for finished goods.
Transportation of finished goods are done as per the Logistic Procedure

6.8 Incentive Scheme

Production Manager issues an incentive scheme for the production staff based the available production capacity and historic production data
Production incentive scheme is approved by Managing Director
Based on the achieved number of finished products, if the production target is achieved, production staff are rewarded as per the approved incentive scheme.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Job Order ( QMS F 088)
7.2 Production Plan( QMS F 089)
7.3 Order Entry ( QMS F 090)
7.3 Delivery Note ( QMS F 091)
7.4 Stock Level Sheet ( QMS F 092)

Example for Procedure for Contract

1. SCOPE

Applicable for Outsourced processes

2. PURPOSE

To ensure effective control of Outsourcing.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Manufacturing.
3.4 Procedure for QA
3.5 Procedure for Purchasing.

4.TERMS & DEFINITIONS

4.1 Outsourced Processes:

An “outsourced process” is a process that the organization has identified as being needed for its operations and quality management system (QMS), but one which it has chosen to be carried out by an external provider outside the managerial control of your facility and may not be subject to the same QMS as your organization.

5.0 RESPONSIBILITY AND AUTHORITY

The Contract Manager is responsible for the review, establish and maintain this procedure and CE is responsible for the approval of this procedure. The project Manager and other concerned Managers are responsible for compliance with this procedure.

6.0 DETAILS OF PROCEDURE

6.1 Contractor Registration

The need for contractors will be identified by the contract execution. The need could arise out of the business plan or request by the Project Manager. The pre-qualification parameters will be defined at the organizational level by the Contract Manager. The parameters would include:-

The minimum experience in similar work

The minimum value of contracts handled by the contractor in past in individual capacity.
An acquaintance of contractor with city / local norms.

The Contract Manager will invite details from contractors. The invitation could be through a newspaper advertisement, word of mouth, or through associates. The new contractor will be required to submit the following documents:

Company Profile (legal entity status) of the contracting firm
Credentials and work have done
List of equipment
Financial Statements (Balance sheet, Profit and Loss statement)
Current project in-hand
Staff Details and Plant and Machinery details

The eligibility of a contractor will be determined on the basis of information submitted vis-à-vis the pre-qualification parameters. If the parameters are not met, then the contractor will not be considered for registration, and communication of the same will be sent to the contractor. In case the pre-qualification parameters are met a site visit will be organized at one or more projects of the contractor to get an understanding of the execution-specific parameters like quality, finishing, safety, etc. The observations of the site visit will be captured in a site visit report. The inspection team puts its observations in a site visit. Report and comprises of one representative each from execution, contract, and quality department. The contract executive will then collect the information and prepare a contractor assessment report. The final assessment includes parameters like – market reputation (clientele/developers worked within the past), staff strength (labor – skilled/semi-skilled), equipment, etc. The type of work that can be awarded to the contractor will be decided by the Contract Manager and the entry-level rating of the contractor will also be decided. In case the contractor rating is not satisfactory the contractor will not be considered for registration and the same will be communicated to the contractor and the details will be captured in the contractor database. In case the contractor rating is satisfactory the contractor details are captured in a registration form. The registration form consists of the following details:-
• Details of the company – name, and type of entity, contact details
• Registration details
• Details of resources – plant and machinery, manpower, material
• Financial details – turnover, financial statements, latest income tax clearance, etc.
A report of shortlisted contractors will be forwarded weekly to the Contract Manager for approval. The contract Manager will review the details and rating of the new contractors. If the contractor and rating are not acceptable the contractor will not be considered for registration in the database and the details will be updated in the contractor database. In case the contractor and the rating are acceptable, the Contract Manager will sign the contractor registration form and the details will be updated in the contractor database.

6.2 Contractor Selection

Determination of method of appointment of the contractor
The Contract Manager in coordination with the Project Manager will decide the type of contract to be awarded. Types of contract can be classified as below:
• Lump-Sum Contract
• Item Rate Contract
• Turnkey Contract
• Cost Plus Contract

Based on the decision taken by the Contract Manager, the contracts department personnel will determine the category of contractor required as well as the period of the contract. The contract can be awarded through three methods. Based on the requirement, the contracts Manager will identify the best suitable method. Methods for the appointment of contractors are:

1 Appointment through Tendering Process
2 Appointment through Competition Process
3 Appointment through Preferred Vendor Selection

6.2.1 Selection through tendering process

The contract Executive will prepare a tender document. The tender document will consist of: company covering letter, the scope of work, bid qualification criteria, bill of quantity (BOQ), tender drawings/plans, technical specifications, standard terms of the project, special terms of business, completion period, commercial terms (bank guarantee/performance guarantee/insurance, etc.) cut-off date and time for the closing of the bid.

The tender document will be forwarded to the Contract Manager for review. The required changes will be made by contracts department personnel in case of any change recommended by the Contract Manager and will be signed by the Contract Manager. Registered contractors who are considered under tendering process category will be identified by the contract executive from the contractor database. The contractors to be identified for bid are decided by the contracts department in consultation with the Project Manager/MD.

The criteria for identification are available & the current workload of the contractor apart from the experience in the required job. A Notice Inviting Bids for the tender will be sent to the applicable media by the contract execution. Notice inviting bids for the tender should be sent to the minimum number of contractors. (Not less than 3). A signed copy of tender documents will be distributed to the interested contractors on the decided date.

Duly filled and sealed tender bids, both technical and financial will be received from contractors by the contract executive on the decided date. . Any bid, received after the cut-off date/time, will not be considered valid for negotiation. The technical bid will be first evaluated by the contracts department. The contractors who do not pass the technical bid will be rejected and the contractors who pass the technical bid will be considered further for price bid evaluation.

After the contractors are finalized for price/financial bids, a preliminary cost comparison is formulated. Rates quoted by contractors for every item will be compared with the company’s expected rates. Based on the comparison, the list of items with rate variations more than tolerable limits of company rates will be prepared and contractors will be called for discussion for the same. If any anomaly is found in the discussion, contractors will be asked to submit the fresh bid for the identified items, and based on fresh bids, cost comparison sheets will be prepared. If any anomaly is not found, the preliminary cost comparison sheet will be finalized.

Comparative sheets will be analyzed in detail and the same will be compared with budgeted cost. Rounds of negotiations will be conducted by the contracts department. Details of every negotiation round shall be documented by the contracted Executive. Based on the negotiations and comparative sheets, HOD contracts will finalize the contractor. The contractor finalization note shall be generated and will be signed by all the concerned parties.

6.2.2 Selection through the Competition process
The contract Executive will prepare an inquiry for the work to be contracted and get approval from the head of contracts. Once the inquiry is approved and signed by the head, it will be forwarded to contractors selected from the contractor database. The contract Executive will receive the quotes on the date mentioned in the inquiry. Once the quotations are received, the contracted Executive will compare the costs of different quotations. Through comparative analysis, negotiation will be carried out with the bottom three contractors.

Based on the negotiation, the two lowest contractors will be determined and the cost comparison sheet will be updated by the contract execution. Cost sheets of both the lowest contractors will be compared with the company’s budgeted cost. The Contract Manager will carry out rounds of negotiation with both the contractors. Based on negotiations, the contractor providing the lowest rate would be considered, and finalized note will be prepared. The finalized note will be sent to the director for approval.

If the Managing director does not approve the contractor, the contract manager will approach other contractors.
If the director approves the contractor, the contractor will be finalized and the detail contract agreement will be prepared.

The contract agreement will be signed by the contractor and the Managing director. Selection for minor works based on standard rate list. BOQ for the minor works will be received by PM at the site. The items under minor works shall be verified for their inclusion in the rate list. If the items are not included in the rate list, rate analysis will be done by PM with contract executive and the same will be forwarded to Contract Manager for approval. If the items are included in the rate list, the contract Manager shall identify whether the suitable registered contractor is available or not.

If a suitable contractor is available, the contractor shall be identified from the contractor database and will be finalized.
If a suitable contractor is not available, the contracts department will identify new contractors for the same. New contractors must get registered with the company. Follow the “contractor registration” process for new contractor registration. After the approval and registration, contractors shall be asked to quote for the concerned work. A cost comparison sheet will be prepared and the contractor will be finalized by the PM and contracts department.

6.2.3 Preferred Vendor
This type of contracting is preferred when the organization decides to do a corporate tie-up with a particular brand/make for the large volume of work valid for a period of time e. g. Cranes, Lifts, water pumps, etc. Summary of the volume of contracts to be issued and volume of work and period of work shall be prepared by the contract executive.

Rate analysis of the items under this method will be carried out. A cost comparison sheet shall be prepared. The comparative sheet will be compared with the budgeted cost and will be forwarded to the Contract Manager for discussion. If it is not found feasible, other modalities will be worked out. If it is found feasible, the item will be shortlisted for inquiry. As per the inquiry done, the contract executive will receive the details of work for bulk orders. Based on the details, the contract executive shall identify the options for bulk orders. Vendors will be asked to quote for the selected orders. After receiving the quotes, a comparison statement on various offers will be prepared. Contract Manager contracts will negotiate with the vendors and finalize the suitable vendor. After the vendor finalization, a vendor note shall be prepared. Vendor Note includes the details of the vendor & the agreement of bulk supplies. E.g. Percent of discount on the MRP prevailing at the time of requirement or flat rate for a year or two etc.

6.3 Preparation of work order

Based on the finalized details of the contractor, the contract executive will prepare a draft work order and the same will be forwarded to the Contract Manager for approvals. After making necessary changes in the draft work order (if any), the final work order will be prepared by the contract’s personnel and will be approved and signed by the Contract Manager.
6.3.1 Amendment of work order
The Project Manager (PM) will suggest the amendment details to the contract manager. The need for the amendment is noticed by PM in case of any one of the situations:

Scope of work getting modified due to site conditions (Extra work)
Quantity of work getting modified beyond the limit stated in the contract (Extra items)
Rate of one or more items in the Work Order getting changed due to site conditions

Impact of the amendment on project cost and progress of the project will be noted by PM and the same along with the amendment details will be forwarded to the Contract Manager. After getting the approval from the Contract Manager, the new work order incorporating the required changes will be prepared by the contracts department. The amended work order shall be signed by the concerned persons.

6.4 Evaluation of Contractor

The Contract Manager will identify the evaluation parameters for rating contractors. The evaluation parameters would include broad parameters like- Schedule adherence, material wastage, rework, safety measures at the site, work quality, billing efficiency (errors and frivolous claims), interaction experience, etc. Contractor evaluation will be carried out every six months. The contracts Executive shall distribute the evaluation forms to the site, contract personnel, and quality assurance department. Contractor evaluation is to be carried out by awarding points for each parameter.
Contractors will be stratified as Grade A; Grade B, Grade C vendors respectively

Vendor Grades	Point Scoring Range	Decision	Action
Grade A	70- 100	Retain	Give bulk of business
Grade B	40 – 69	Retain	Ask for further improvement
Grade C	00-39	Discontinue	Delist

After evaluating the contractors based on feedback forms received from the quality assurance department and site, if the contractor gets grade C, the contractor will be de-listed and details of the same will be communicated to the concerned departments. Briefing on improvements needed for the work will be given to the contractors under Grade B. Key concerns of contractors will be understood and documented by the persons communicating with the contractors regarding improvement. A report on contractor evaluation will be prepared and forwarded to the HOD contracts.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Contractor Evaluation ( QMS F 083)
7.2 Contractor appointment processing time( QMS F 084)
7.3 Open work orders to date( QMS F 085)
7.4 Work awarded without work order( QMS F 086)
7.5 New contractors identified( QMS F 087)

Example of Procedure for Purchasing

1. SCOPE

Applicable for Purchasing activity carried out as well as carried out at HO, all location as well as carried out at all sites.

2. PURPOSE

To ensure that the Purchase product confirmed to specified requirements and suppliers are evaluated and selected on the basis of their ability to meet purchase product requirements.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2 Procedure for Correction and Corrective Action.
3.3 Procedure for Manufacturing.
3.4 Procedure for QA
3.5 Procedure for Contract.

4.TERMS & DEFINITIONS

4.1 Supplier Evaluation:

Supplier evaluation is the process to access new or existing suppliers base on their delivery, price, production, and quality of management, technical, and services. A standard supplier evaluation framework shall be used in all cases for the existing and potential suppliers.

5.0 RESPONSIBILITY AND AUTHORITY

The purchase Manager is responsible for the review, establish and maintain this procedure and CE is responsible for the approval of this procedure.
The project Manager and other concerned Managers are responsible for compliance with this procedure.

6.0 DETAILS OF PROCEDURE

6.1 Conducting Materials research and development

6.1.1 Purchase Executive must scan the domestic as well as international markets for the latest and cost-effective material used in the construction industry through sources like references from existing suppliers, in-house staff, competitor database, industry referrals, and Industry magazines.
6.1.2 The research findings will be collated by the purchase department personnel into a summary sheet and the same will be forwarded to the Purchase Manager for review.
6.1.3 In case the Purchase Manager selects a material profile that interests him, he will issue instructions to obtain further information on the same. Demonstration for the same will be called for from the concerned vendor
6.1.4 The material sample will be analyzed on the following parameters:
i. Impact on the P/C (Performance to Cost)
ii. Quality Implications
iii. Adequate availability
iv. Logistic Constraints (if any)
v. Ease of incorporation in the construction process
vi. Special Conditions other than existing (if any)
6.1.5 Report comprising of the analysis of the material sample and the recommendations will be forwarded to the Purchase Manager for a final decision. The report of the above findings will be retained in the database for future reference.

6.2 Vendor Registration

6.2.1 The need for identifying a new vendor will arise in the following cases:

The current number of approved vendors is lower than the acceptable norm
Item is critical to the business operations of XXX
Lead time for an item is high and there is a need to reduce it for reducing inventory holding costs.
There has been no change in the vendor profile over the last 1 year.

6.2.2 The company will endeavor to procure mainly from approved vendors. Based on the market research conducted and other sources i.e. reference from the third party, business associates, the procurement department will invite the identified vendors for registration with the company.
6.2.3 Vendors will be approached and requested to submit their profiles and product details. The purchase department will screen the vendors on the basis of the following parameters:

Product- type, grade, specification,
Current & potential manufacturing capacity,
Market reputation,
Creditworthiness,
Financial background,
Legal entity status,
Experience in the industry

An initial vendor inquiry report will be prepared for capturing the above information. In case the Head of the procurement department is not satisfied with the findings, the vendor is rejected and the reason for rejection will be captured and attached along with the vendor profile in a separate rejected vendor file for future reference. If the procurement department is satisfied, then a joint factory visit will be carried out by a team comprising of the procurement and quality assurance department personnel respectively.
The joint team will submit a factory visit report. In case the factory visit report is satisfactory, additional details (if any) are called for. All the relevant vendor information will be captured in the vendor database and the same will be updated on a continuous basis.
A monthly report on new vendors identified will be forwarded to the Purchase Manager for review. Approved vendors will then be classified into different categories based on the type of order to be awarded. An entry for approved vendors will be made in the system along with an entry-level rating. After approval vendor code is allotted to approve the vendor and is registered in the vendor database. Rejected Vendors are informed and the same is updated in the vendor database along with reasons for rejection.
The vendor database will contain the following information:

Vendor’s name, address, telephone, telex & fax numbers
Main group codes of items supplied
Key contact person
Legal entity status
Status – whether manufacturer, dealer or trader
Vendor rating
Permanent Account Number

6.3 Procurement Planning

6.3.1 Arrive at an enterprise-wide procurement plan

The purchase department will receive the BOQ comprising of a schedule of materials needed for the entire project from the estimation department as well as a final project schedule suggesting the timelines based on milestones defined. Based on the BOQ and final project schedule, the Purchase Manager will make an enterprise-wide procurement plan consisting of a quantum of consolidated material over a period of time (yearly/ monthly/ quarterly) for all projects. The enterprise-wide Purchase plan will be forwarded to the HOD for approval. If the plan is approved, the same will be documented, circulated, and monitored in the department. Changes suggested (if any) will be incorporated and resent to Purchase for approval.

6.3.2 Yearly materials requirement planning

Based on the enterprise-wide procurement plan and the material requirements of all the Project sites, Purchase Executive will consolidate the requirements and then prepare a schedule of the requirement for the quantities required for monthly and annual consumption. The material requirement is consolidated to arrive at the quantity for each construction material and the schedule of material requirements.

6.3.3 Monthly Categorization and Deciding Purchase Mode

The Purchase Executive will carry out an analysis of criticality v/s quantum and accordingly categorize the materials. Based on the categorization, materials are classified for the decisions like direct purchase, rate contract, and strategic alliance. If the material is critical and the quantity is high and the rate of the material seems to be fluctuating, the procurement department will decide to get into a rate contract. If the material requires standardization, the Purchase Manager can go in for a strategic alliance with the vendors. Materials covered under this model can be decided by the Purchase Manager. If either rate contracts or strategic alliance is not feasible then decided to go in for direct purchase can be taken.

6.4 Identification and Selection of Vendor

Details of the materials requirements received from the estimation department will be identified and studied by the Purchase Executive. Vendors will be identified for strategic alliance and inquiries will be floated. The vendors will be identified based on market research and other details available with the purchasing department. Based on the offers received from vendors, quoted prices will be compared with the budgeted cost. If the cost doesn’t exceed the budgeted cost, the agreement will be prepared and forwarded to the Purchase Manager for approval. If the cost exceeds the budgeted cost, approvals shall be obtained from the BU head or Managing Director (as the case may be) for the appropriate reasons. Intimation regarding the same shall be sent to the purchase departments across all locations.

6.5 Rate Contract

Identify materials and enter into a contract. Based on the material requirement plans received from the estimation department, the quantum of materials for the rate contract will be identified by the purchasing department. A detailed cost analysis of the materials will be carried out by Purchase Executive. A cost analysis will be done taking into account the past prices, present rates and fluctuations in the rates of the material, etc. The purchasing executive will constantly scan the industry for price movements in the domestic and international sectors.
The purchasing executive will then identify the vendors and invite them to discuss the quantum and rates of the materials. Negotiations will be carried out to arrive at the pre-decided rate. A vendor approval note will be generated and forwarded to the Purchase Manager for approval. A list of approved vendors is maintained in the database. After the final approval from the Purchase Department, contract conditions shall be formulated and documented. This contract document will be approved by the legal department. Contract conditions will include clauses like material specification, agreed price, delivery time, price fluctuations, payment terms and considerations, quality parameters, etc. Intimations regarding the same will be forwarded to all purchase departments across all levels.

6.6 Select Vendor

Based on the indent received from the site, the Purchase executive shall ascertain whether the material indented is covered under rate contracts or strategic alliance. If the material is not covered under any of the above, the purchase executive will prepare inquiry letters and forward them to the purchase manager for approval. After approval, the inquiries will be floated along with the material list to at least three approved vendors from the vendor database.
Vendors will be requested to send their quotations to the purchasing department. The same will be opened by the purchase manager. The purchasing executive will prepare a comparative rate chart highlighting the vendors offering the second-lowest and lowest quote. The purchase Manager will then renegotiate with both of these vendors to arrive at the most competitive quote.
A verbal quote may be accepted at this level provided the vendor follows up with a written (revised) quotation within 24 hours. The comparative rate chart will be updated with the revised quotes to determine the least quote vendor. The comparative rate chart will be signed by the Purchase executive who made it and also by the Purchase Manager. Only in a certain exceptional case, the MD will be consulted and approval will be obtained. In certain cases where the vendor offering the lowest quote is not given the contract, the MD should be informed and reasons for the same should be formally documented.

6.7 Receive Material Requisition

6.7.1 Receiving a requisition
The project manager/Concerned department Manager will identify the requirement of material and verify the quantity against the procurement budget. The Project Manager/ Concerned Manager will enter the following details in the system: items required, specifications, quantity, desired delivery date. The Project Manager has to approve the requisition online and only then can it be viewed by the Purchase Manager. The indent raised by the site shall be received by the purchase executive. The purchasing executive shall determine whether the delivery date mentioned in the intent is as per the ‘Lead Time Schedule’. If the delivery date does not meet the lead time schedule, the project manager will be required to provide justification for the same.
6.7.2 Inter-Site Transfer of Material
If the delivery date meets the lead time schedule, the store coordinator will check the availability of stock at the central warehouse or other sites in the vicinity for the same material and inform the purchase executive accordingly. If the stock is available at the central warehouse or other sites, a material transfer note will be prepared through the system and the same will be forwarded to the project manager. If the required quantity is not available at a central warehouse or other sites, a purchase order shall be raised for the required material.

6.8 Preparation of Purchase Order

A purchase requisition will be prepared by the Concerned Manager and shall be forwarded to the Purchase Manager/Executive with the prior approval of the project manager through the system. Based on the requisition received from the site, the Purchase Manager/Executive will prepare the purchase order which will be system generated. The purchase order for direct materials shall be raised on the basis of the rate contract as entered into. The purchase order for finished materials will be raised on the basis of the long-term contract with the strategic partner. The purchase order for regular material shall be raised on the basis of the monthly ‘base rate’ determined. The project manager will ensure that the cost is within the budgeted cost. In case the cost exceeds the budgeted cost, the Purchase Manager will provide reasons for the same and obtain approval from the CEO. The purchase order will be approved as per limits specified in the authority matrix. The PO will then be sent/ emailed to the vendor.

6.9 Vendor performance evaluation

A vendor evaluation policy will include
i. Criteria for vendor evaluation
ii. Parameters for evaluation
iii. Frequency of evaluation
Vendors will be evaluated once in a quarter, semi-annually, or annually as decided by the management. The evaluation shall be carried out by filling up the vendor evaluation form & vendor rating.
The form is to be filled in by the sites; purchase department; quality assurance team. An average score is to be worked out of scores given by sites; purchase department; quality assurance department & accounts departments
Vendors will be evaluated on four key parameters on a weighted average scale (totaling to 100 points)

Price – preferential price treatment,
Efficiency in delivery – ability to supply within a short notice apart from the normal lead time delivery,
Ease in dealings – Responsiveness to XXX issues, complaints, proactiveness in dealings, billing errors
Consistent quality

The evaluation will be carried out based on consignments received during the applicable half financial year. Vendors to be stratified as Grade A; Grade B, Grade C vendors respectively

Vendor Grades	Decision	Action
Grade A	Retain	Give bulk of business
Grade B	Retain	Ask for further improvement
Grade C	Discontinue	De list

Discussions will be held with Grade B vendors by the Purchase Manager on a proactive basis to determine the root cause and initiate corrective action. Based on vendor ratings, management may decide to re-allocate business shares to vendors with high-performance levels. No vendor (for an item) will be de-listed without prior intimation to the respective user department Manager/Purchase and vendor itself. The vendors delisted will need to follow the vendor registration process for being re-considered as approved vendors if they so desire. The purchase Manager shall forward the rating report to the Project Manager and MD.

6.10 Material Bill Passing

The Purchase/QA engineer will receive the 1st copy of the PO from the vendor for the material supplied. He will verify it against the Purchase materials. This will be entered in the GRIN entry module of the system to work out the bill amount to be paid to the vendor. The vendor will send the bill. Bill passing department will verify the bill. After verification of the bill according to the PO qty & rate, invoice entry will be made in the system. Once the bill is passed, it will be forwarded to the accounts department for releasing payment. The accounts department will review the invoice and release the payment.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Purchase Order ( QMS F 075)
7.2 Vendor Registration Form ( QMS F 076)
7.3 Vendor Rating Form ( QMS F 077)
7.4 Vendor Evaluation Form ( QMS F 078)
7.5 Comparative Rate Chart ( QMS F 079)
7.6 Project Procurement Schedule ( QMS F 080)
7.7 Corporate Procurement Plan ( QMS F 081)
7.8 Lead Time Chart( QMS F 082)
7.9 Receipt and verification/ raw material( QMS F 083)

Example of Procedure for Control of Customer Property

1. SCOPE

To establish and maintain procedure for verification, storage and maintenance of customer supplied products for conversion, fabrication as per requirements of customer.

2. PURPOSE

To provide a consistent process to identify, verify, protect, and safeguard customer property(i.e. products, materials, tools, software, etc.) maintained at XXX.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2Customer Related Processes.
3.3 Procedure for Correction and Corrective Action.
3.4 Procedure For Review of Customer Requirements
3.5 Procedure for Control of Documented Information
3.6 Procedure for Manufacturing.
3.7 Procedure for QA
3.8 Procedure for Monitoring and Measurement of customer satisfaction.

4.TERMS & DEFINITIONS

4.1 Customer property: property owned by the customer and provided for use in meeting the requirements of the contract. Customer property can include intellectual property, including customer furnished data used for design, production and/or inspection.

5.0 RESPONSIBILITY AND AUTHORITY

Sales dept is responsible for obtaining information about customer supplied products and communicating to concerned Depts like QA, ADMN, and PROD.

6.0 DETAILS OF PROCEDURE

6.1 Involvement of customer supplied products in a contract is clearly brought out by sales in the contract review and concerned Depts. are kept informed through the sale order / work order (W.O).
6.2 On receipt of the product, QA verifies the same in a manner identical to purchased product and communicate acceptability.
6.3 In case of discrepancy, loss or damage observed on receipt:
a) For receipt directly from customer, information is given by QA through sales.
b) For receipt directly from supplier (under advice from customer) information is given by QA to supplier directly for corrective action keeping customer informed through sales for follow-up and ensuring the disposal of complaint.
c) Disposal of any such non-conformity is decided as suggested by customer.
6.4 Products found acceptable are stored at raw material stores. Products are stored with identification, including customer name and issued to PROD when need arises.
6.5 Any difficulty experienced or unsuitability observed during conversion/fabrication is recorded in the raw material inspection register and communicated to the customer/ supplier through sales.
6.6 In case of any adverse reports sales reports to customer for corrective action.
6.7 Damaged or unsuitable products are labeled and stored separately for further disposal as per procedure for Non Conforming product.
6.8 Reconciliation of incoming customer supplied product, dispatch of finished product and available stock is done once a month.
6.9 Customer supplied product is treated on par, with purchased product and procedures for inspection, storage, usage and disposal of non-conforming product are identical in both cases.
6.10 Customer supplied raw materials may be accepted for commercial convenience with mutual understanding on the quality of material supplied. Value of the customer supplied product is adjusted when calculating the price for the finished product.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Receipt and verification/ raw material( QMS F 070)
7.2 Inspection register – ( QMS F 071)
7.3 Communication of NC, loss or damage. – ( QMS F 072)
7.4 Work order – ( QMS F 073)
7.5 Raw material inspection status label Sale / Works Order – ( QMS F 074)

Example of Procedure For Review of Customer Requirements

1. SCOPE

To ascertain that customer needs are correctly understood, documented, and communicated to all concerned for necessary action.

2. PURPOSE

This procedure ensures that the customer requirements are determined and met with the aim of enhancing customer satisfaction.

3. REFERENCE DOCUMENTS

3.1 XXX Quality Manual,
3.2Customer Related Processes.
3.3 Procedure for Correction and Corrective Action.
3.3 Procedure for Control of Documented Information
3.4 Procedure for Manufacturing.
3.3 Procedure for QA
3.4 Procedure for Monitoring and Measurement of customer satisfaction.

4.TERMS & DEFINITIONS

4.1 Customer – is defined as the organization or its employee(s), regardless of the person’s title, who issued the order to our Company. This is also the organization that makes payments to our Company for services/products delivered.

5.0 RESPONSIBILITY AND AUTHORITY

The sales manager is responsible for recording, acting upon, and communicating to the customer on all complaints received. PROD, QA, PD, and all other concerned Depts are responsible to assist the sales Dept when required.

6.0 DETAILS OF PROCEDURE

6.1 Contract Review is carried out before submission of an offer, again after receipt of order, before its acceptance, and in case of any amendments.

6.2 REVIEW AT OFFER STAGE

6.2.1 On receipt of verbal / written inquiry, HOD SALES scrutinizes the same and assigns it to an individual or group for study, if necessary.
6.2.2 Enquiry is studied with the help of the quotation form for ensuring the availability of complete information on the following:

Technical requirements.
Commercial requirements.
Infrastructure and capability to meet specified requirements.
Extent of traceability, if specified.
Applicable Indian / International regulatory requirements.
Records requirements.
Requirement not stated but expected by customer.

Note: Quotation form may change with respect to customer requirements.

6.3.3 If in the study, the customer’s specifications are found to be unclear or incomplete, clarifications are sought.
6.3.4 If specifications are complete and all required information is available with sales, a techno-commercial offer, clearly bringing out the deviations, if any, from customer specification, is prepared and submitted by sales.
6.3.5 If any information which is required to submit a clear offer is not available with sales, it obtains a clarification from concerned depts like PD, ADMN, QA, PROD either by consultation or a formal meeting or internal correspondence before submission of the offer. Records of agreements received are recorded by sales in the customer file.
6.3.6 Revisions to specified requirements or offered terms are effected either through MOM, correspondence or revised offer.
6.3.7 In case of inquiries from regular or repeat customers, above steps may not arise.

6.4 REVIEW AT ORDER STAGE.

6.4.1 When a verbal / documented order is received, it is scrutinized with reference to quotation with the help of a Sale Order / Work Order to ensure that it is in line with the commitments made.
6.4.2 If any deviations are found which are not acceptable, they are resolved with the customers and amendments obtained.
6.4.3 Where necessary, dept/inter-dept reviews are again conducted to reconfirm all points.
6.4.4 Acknowledgment of order (AO) is released to the customer.
6.5 If any modification to the original order is received from the customer the contract review is again done to the extent necessary and agreed with the customer through order amendment acceptance (OAA).
6.5.1 AO and OAA may change with respect to customer requirements. Accepted changes are conveyed to the concerned department by issuing amended work order containing applicable remarks.
6.6 Verbal orders are accepted for urgent requirements from regular, known customers at the discretion of HOD.
6.6.1 When accepting verbal orders it is ascertained that the customer’s requirements are clearly understood and this is recorded and communicated to the customer in the form of AO.
6.7 Monthly delivery schedule is prepared by the first working day of each month and issued to PROD Dept. concerned departments. Day-to-day operational changes are thereafter conveyed verbally / through notes and record copies are updated regularly.
6.8 The deliveries affected to the customer are reviewed regularly and changes, if any, are communicated to the customer, where applicable
6.9 Records of contract review are maintained by sales in customer-wise files.
6.10 Sales Dept maintains a customer’s directory giving details of name, address (office & works), and contact details like name and mobile numbers of chief executive and contact persons. This directory is continuously updated.

7.0 RETAINED DOCUMENTED INFORMATION

7.1 Sale / Works Order – ( QMS F 060)
7.2 Acknowledgment of Order – ( QMS F 061)
7.3 Order Amendment Acceptance – ( QMS F 062)
7.4 Customer’s Directory – ( QMS F 063)
7.5 Quotation – ( QMS F 064)
7.6 Monthly Delivery Schedule – ( QMS F 065)

	Cassettes for populating the printed circuit boards with the smaller components. The larger components are inserted manually.
	Wave solder machine for lead-free soldering. The apron is worn when cleaning the machine. There have been problems with the ventilation but this has not affected production.
	Assembly area for producing controller boxes. This requires the use of abrasive wheels. There can be sparks that occur from the cutting and noise is only a problem in short bursts.
	Tool bench and jig table for assembly of panels.
	Assembly of the electronic relays and switches. Stooping over the benches for hours is required.
	Cables reels on a freestanding jig with other tools and equipment to construct electronic panels.
	Open panel ready to receive the electrical components
	Assembled frame put into the cabinet. View of the internal electronic controls (relays and switches).
	Transporting panels within the factory on trolleys.
	Panels for testing within the test centre located with R&D
	Forklift trucks located at goods in for loading and unloading components and panels.

CLAUSE 5 – Leadership and worker participation

Sample Occupational Health and Safety Policy

Some examples of Roles, responsibility, authority, and accountability

1.) Managing Director:

2.) Cross-Functional Team:

3) Legal Team:

4) Audit Team:

5) Emergency Response Team:

6) First Aid Team

Responsibility

CLAUSE 4 – CONTEXT OF THE ORGANISATION

An example of how a scope could be derived

Company Overview

External and Internal Issues

External issues

Internal Issues

The manufacturing process

1. SCOPE

2. PURPOSE

3. REFERENCE DOCUMENTS

4.TERMS & DEFINITIONS

5.0 RESPONSIBILITY AND AUTHORITY

6.0 DETAILS OF PROCEDURE

6.1. Design Planning

6.2. Design inputs

6.3 Developing the Design Plan

6.4 Design Outputs

6.5 Design Controls

6.6. Design Changes

1. SCOPE

2. PURPOSE

3. REFERENCE DOCUMENTS

4.TERMS & DEFINITIONS

5.0 RESPONSIBILITY AND AUTHORITY

6.0 DETAILS OF PROCEDURE

6.1. Transportation Management

6.2. Safe working guidelines

6.3. Responsibilities of Fleet/Heavy Equipment Supervisor

6.4. Vehicle Management guidelines for requesting fuel, lubricants and other spare parts

6.5. Vehicle Maintenance guidelines

6.6. Quarterly Maintenance

7.0 RETAINED DOCUMENTED INFORMATION

1. SCOPE

2. PURPOSE

3. REFERENCE DOCUMENTS

4.TERMS & DEFINITIONS

6.0 DETAILS OF PROCEDURE

6.1 General

6.2 Issuing Production Work Order

6.3 Planning

6.4 Approvals

6.5 Storage – in site

6.6 Project Execution Follow-up

6.7 Quality Control:

6.8 Variation Orders

6.9 Occupational Safety

6.10 Handing Over

7.0 RETAINED DOCUMENTED INFORMATION

1. SCOPE

2. PURPOSE

3. REFERENCE DOCUMENTS

4.TERMS & DEFINITIONS

5.0 RESPONSIBILITY AND AUTHORITY

6.0 DETAILS OF PROCEDURE

6.1 Quality Control

6.2 Coating

6.3 Inspection and Testing:

6.4 Special Processes: –

6.5 Maintenance:

6.6 Product Labeling and Identification:

6.7 Handling, Storage, Packaging, Preservation and Delivery

6.8 Incentive Scheme

7.0 RETAINED DOCUMENTED INFORMATION

1. SCOPE

2. PURPOSE

3. REFERENCE DOCUMENTS

4.TERMS & DEFINITIONS

4.1 Outsourced Processes:

5.0 RESPONSIBILITY AND AUTHORITY

6.0 DETAILS OF PROCEDURE