Integrated Management System Manual

Brownsover Road
Swift Valley Industrial Estate
Rugby
Warwickshire
CV21 1RD

Authorised by: Craig Chambers, Managing Director

Date: 25th May 2017

Meeting the requirements of ISO9001:2015, ISO14001:2015, BS OHSAS 18001: 2007

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Issue 45 – 25.05.2017 Page 1 of 24

 Revision History

Issue
Date Amendments Who by
No
Overall upgrade of manual to be complaint to ISO9001:2015 and
43 28.11.2016 CC
ISO14001:2015

44 01.03.2017 Amendment to Policy Statement CC

45 25.05.17 Amendment to Policy Statement JC

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Issue 45 – 25.05.2017 Page 2 of 24

 CONTENTS

TITLE Page

Company Profile 4

Introduction 4

Objectives & Planning to Achieve Them 4

Internal Audit & Review 5

Regulations 5

Competence & Awareness 5

Resource – Infrastructure 5

Resources – Work Environment 5

Understanding the Context of the Organisation Internally & Externally 6

Requirements of Interested Parties 7

Determining the Scope of the Management System 8

Interaction of Processes 9

Leadership, Commitment, Organisational Roles, Responsibilities & Authorities 10

Management System Policy Statement 11/12

Health & Safety Policy Statement 13

Planning – Risks & Opportunities 14

Process 1 - Management system review 15

Process 2 - Competency, training and awareness 16

Process 3 - Monitoring and measurement including internal audit 17

Process 4 - Nonconformance reporting and corrective action 18

Process 5 - Performance measurement and monitoring 19

Process 6 - Consultation and communication 20

Process 7 - Document and record management 21

Identification and Assessment of H&S Risks and
Process 8 - 22
Environmental Aspects
Identification and maintenance of legislative and requirements
Process 9 - 23
register
Process 10 - Control of hazards/Identification of objectives 24

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TITLE Integrated Management System Manual

Approved By Craig Chambers – Managing Director of Häfele U.K. Ltd.

2.0 Company Profile

Häfele U.K. Ltd is part of a long established German company founded in 1923. The U.K. subsidiary was founded
in May 1980, and moved into their present purpose built premises in Rugby in 1984. These premises have since
been expanded and state-of-the-art storage racking and conveyor equipment has been installed. The company is
one of the largest furniture fittings and hardware distribution centres in the U.K.

The U.K. Company presently employs approximately 402 staff. An organisation chart is available on the Intranet.

Häfele U.K. (HUK) Ltd has a Management System which is in compliance with ISO9001:2015, ISO 14001:2015,
SA8000 and OHSAS: 18001:2007. The company has also achieved FSC accreditation, covering the supply of
wooden products.

An overview of the key processes and support processes are shown below. Details of the organisational structure
are available on the network.

An overview of the key processes and support processes are shown below with the organisational structure.

2.1 Introduction

The Company has adopted an integrated management policy aimed at improving its performance in the areas of
quality, environment and health & safety management and reducing the negative impacts of its own activities and
operations.

HUK Ltd has also adopted this management system to support its policy. The system sets out the roles and
responsibilities for managing, auditing, reviewing and updating its policies and procedures in support of its overall
management policy.

2.2 Objectives and Planning to Achieve Them

The Company will adopt on an annual basis targets for quality, environmental and health & safety improvement.
These will be specific, measurable, achievable and consistent with their stated policy continually improving their
environmental and health and safety performance. Objectives and Targets will be monitored on an on-going basis
by the individual given responsibility on the Improvement Programme. Overall the SMT will be responsible for
achieving continual improvement throughout the management system.

The departments of HUK produce a business plan every year and KPI’s are introduced from the plans.

A full review of the Improvement Programmes will be carried out on at minimum an annual basis.

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Issue 45 – 25.05.2017 Page 4 of 24

2.3 Internal Audit and Review

The Company aims for continuous improvement in its quality, environmental and health & safety performance. To
achieve this the organisation shall conduct internal audits at planned intervals to provide information on whether
the IMS conforms to the organisations own requirements and the requirements of the standards. Audits shall be
planned through an audit schedule that shall define the scope of the audit. Audits shall be carried out by impartial
and objective auditors who shall report to management the results of the audits.

Performance will be monitored, along with progress towards any targets. Information shall be collated for an annual
management review.

2.4 Regulations

The Company will review annually existing and impending legislation that impacts on its business activities.

2.5 Competence & Awareness

The senior management will arrange for training for managers and staff to assist them in their role. Training is in
the form of internal, external and tool box talk format dependent on the nature of the training.

Bridge Consultants will also take steps, through visits, to improve awareness among staff generally of our aims in
relation to the quality, environmental and health & safety performance of the company.

2.5 Resources - Infrastructure

Buildings – All buildings leased or owned by the company will be deemed to be a safe working environment.
Internal inspections will be recorded and external reports on Asbestos and Fixed Mains Testing etc shall be
conducted and retained at the site.
Transport – All company fleet vehicles are serviced and maintained as per schedules through Arval.
Communication – This is conducted through several avenues, Email, H&S Committee Meetings, Safety
Inspections, Toolbox Talks, Training, Company Conferences, Weekly magazine – Team Focus & Policies.

2.6 Resources - Work Environment

All staff shall be afforded a good working environment to conduct their business. Welfare arrangements will be
available through toilets, rest areas, water and coffee machines etc.
The working environment shall be deemed safe through internal inspections and external regulatory inspections
such as Gas Boiler / Fire Alarm servicing, PAT testing and Fixed Electrical testing etc.

Risk Assessments including COSHH Risk Assessments are completed by the company and are held at the site.

PPE is issued to all HUK staff as required, and a master record of issued equipment is maintained and held by the
H&S department.

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Issue 45 – 25.05.2017 Page 5 of 24

4.1 Understanding the Context of the Organisation Internally and Externally

Cultural /Social – Little Interest

Regulators and legislation – Significant interest
HUK fit well into the local scene , employing local people . It is unlikely that
HUK themselves are subject to typical legislative requirements including those applying to
they would have any significant impact or that cultural issues would greatly
H&S, Environment , business and employment . Legislation is reviewed on an ongoing basis
affect HUK .
through NQA In Touch subscription .

Landlord – No Interest
Competitors – Significant Interest HUK own their site at Rugby .
HUK have numerous major competitors in the UK but any companies who offer office
furniture and fittings as well as ironmongery and architectural products of a nature
that matches HUK are considered to be competitors .
Political – Little Interest
The nature of HUK’s work will result in little to no political interest .

Public, Neighbours and local community - Little Interest

HUK is based at an industrial estate in Rugby , Warwickshire, Neighbours
include business and houses . The company provides employment for Hafele Suppliers – Interested
approximately 402 staff .
External Main suppliers are numerous of which the company endeavour to
have at least 2 suppliers per category , thus minimising the loss of a
context supplier .

Central and LG – Little Interest

Trade Unions
Other than paying Business Rates and providing employment , their interest is
Very few of HUK’s staff belong to a trade union (GMB).Unions would
low.
only get involved at the company on an as required basis . Unions
would look for the best outcome for its members .

Media - Interested Environmental and Geographical – Little Interest

HUK have their own website and social media pages and use this to publish HUK are located on an industrial estate in Rugby .. There are 2
information regarding their activities . Sometimes this information is picked up by the watercourses , in the general area but no SSI or significant wildlife in the
press and can result in wider good publicity . Otherwise It is unlikely that HUK or their vicinity. The impact of HUK’s operations on the local environment is
activities would be of great interest to the media . negligible . It is extremely unlikely that HUK would be affected by flooding or
other natural disaster .
Shareholders /Board – Significant Interest
Hafele is a family ran Limited Company and the Directors of HUK are either current or former
employees . Any issues would therefore be an internal issue and would be dealt with by Customers – Significant Interest
Senior Management . Customers are varied and include B &Q, Wickes, KBB manufacturers / studios ,
shop fitters , independent trade distributors , but do not include members of the
public . The service provided by HUK enables its customers to meet their
Markets/Trends – Significant Interest
needs and requirements .
HUK are extremely aware that changes in the market could significantly affect their business and the
Senior staff are constantly looking out for indicators and trends . Expected sales for new product ranges
are forecast prior to purchase . The Company has broadened the products that they offer in order to
reduce the potential impact of competitors and market changes .

Expertise and competence Employees and staff

Staff competence is reviewed for the offices by line HUK has 402 FT Employees . Employees
managers on an annual basis via appraisals and for the Business planning serve a probationary period . All staff are
warehouse by quarterly performance reviews , and further responsible for ensuring customer
development needs are identified and staff training satisfaction , health safety and welfare , IMS
implemented . This competence includes meeting requirements and all regulatory
customer requirements , ensuring EH &S and regulatory
Accounts requirements .
requirements where appropriate .
Sales/Marketing Work culture
HUK has encouraged employees to feel they
Resources
belong to a ‘family’ and to treat everyone and
HUK constantly reviews its resource requirements , both
Hafele Production/ everything associated with HUK with respect and
human and other and ensures that as far as practicable service to expect respect and loyalty in return . This
these are adequate to achieve the Policy , Strategy and Internal context includes meeting customer needs and ensuring
Objectives .
health safety and welfare , and environmental
compliance .
Objectives and strategy
Contract Review
Purchasing
HUK has a clear vision of what it wishes to achieve and this
is detailed in the IMS policy & the improvement
Internal practices and processes
programmes .
These have been developed and implemented over
many years and are ‘ 2 nd’ nature to most staff .
Availability Operating to consistent processes ensures that
HUK achieves its objectives including customer
Policies satisfaction and ensuring health safety and welfare ,
These have been developed in the light of experience , and environmental compliance .
customer requirements , Env , H&S welfare and regulatory Customer
requirements .
Organisation /Structure
HUK has a defined structure which allows staff to interact and
cooperate with one another and external sources , and which
Premises ensures that information and data flows are effective and
HUK occupy offices and warehouses at its Rugby site which are secure.
modern and well kept and suitable for the activities performed there.
Technology
The company utilises latest technology for office and warehouse
based staff for company business .

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Issue 45 – 25.05.2017 Page 6 of 24

4.2 Requirements of Interested Parties
Interested parties include those shown above in the ‘Context’ diagrams.
The significant requirements of these parties include:
• Customers – these are defined in the “agreements or orders” agreed with each Customer but will
generally include ‘The stockholding and distribution of fittings and accessories to the furniture
manufacturing and architectural ironmongery industries’.
Customers’ needs and expectations shall be for the company to provide product(s) at an agreed price in a time
frame that is acceptable. Environmentally needs and expectations are few but a good company name is
essential to ensure continued business. HUK will be expected to continue to conduct good practises and not
have its name linked to issues that portray the company in a bad light, be it of a H&S or environmental nature.
• Regulators – The Company is subject to a number of regulations including LOLER for the picking cranes
compliance with further legal areas to be met such as manual handling regulations, these are further defined in
the Compliance audits and in the IMS Manual. Legislation is considered implicitly during the risk assessment
and if appropriate would affect the risk rating.
The needs and expectations of the regulators such as the HSE and the EA will be for the company to remain
compliant with the regulations and as such the requirement for visits by the regulators not be required. The need
to perform well from a H&S & Environmental prospective will keep our staff fit for work and environmental
aspects controlled.
• Suppliers – these are controlled through the SAP systems and suppliers must be approved prior to use. HUK
reviews its suppliers annually but considers the risk low.
The needs and expectations of our suppliers will be reciprocated. HUK will expect its suppliers and contractors
to maintain high levels of service whilst ensuring a high standard of controls from an H&S and Environmental
nature. The suppliers and HUK need to perform business with reputable companies and a poor reputation could
affect business between HUK and a supplier/contractor.
• Competitors – Competitors in this market area are numerous and do pose risk to the continued success of the
business and would be very interested in the work carried out by HUK. Protecting data is considered and
conducted.
• Shareholders – As the investors in the Company, the needs of the Shareholders will include ensuring that the
business is successful and gives them a return on their investment.
• Markets/trend – The Company have taken action to expand their product range through purchasing the latest
products and equipment for the business requirements. The needs of the business are to stay at the forefront of
market sector and ensure the most modern technology and equipment/products are sought out and added to
the product range for sale or use by its staff. Customers expect to be able to buy the latest products or
equipment from HUK and ensuring realisation for its customer base is paramount to continued and long term
success.
• Employees and staff – employees are interested in being suitably rewarded for the work they perform. Risks to
the Company are considered in the Business Continuity Plan.
The needs of the staff also include the continued success of the business in order to retain their employment
within HUK. Staff are vital to this element as they provide the man power and expertise to ensure the company
continues to thrive.
• Resources and premises – these are essential to the success of the business and their provision and
maintenance is constantly under review. Staff will expect to work in an environment that safe, clean and
maintained well. The company has in place contracts with various contractors for pre-planned maintenance of
gas boilers and air conditioning for example. Senior Management review resources at meetings and resources
are always on the agenda to ensure the most modern equipment is utilised by the company.

• Internal practices and processes – To help ensure that the business is managed effectively and is compliant
with applicable health, safety and environmental legislation and requirements, HUK has implemented an
Integrated Management System that conforms to ISO9001, ISO14001, OHSAS18001.

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Issue 45 – 25.05.2017 Page 7 of 24

4.3 Determining the Scope of the Management System

HUK, offer the stockholding and distribution of fittings and accessories to the furniture manufacturing and
architectural ironmongery industries. The head office is in Swift Valley Industrial Estate in Rugby, Warwickshire.

Full details of the organisational structure are available with individual responsibilities detailed in the IMS Manual &
H&S Roles & Responsibilities and in job descriptions.

All personnel (employees, temporary staff and contractors) are responsible for ensuring that they work within the
framework of the management system, irrespective of geographical location and contribute to its continual
improvement.

The company has considered its external and internal requirements on page 7 and is fully aware of its compliance
obligations for the business including our compliance requirements when working as either a sub-contractor or
main contractor for our customers.

Potential environmental hazards – these are hazards which may have an impact on the environment. Those which
arise as a result of HUK’s activities may include energy and raw material usage, waste (general waste, cardboard,
paper, IT equipment, hazardous waste etc), emissions from heating boilers, etc.

This document describes the management system applicable to HUK. It includes the requirements of:
ISO9001:2015; ISO14001:2015 and OHSAS18001:2007. The company is certificated with NQA to show that it
complies with the above-named standards.

The scope of this system covers ‘The stockholding and distribution of fittings and accessories to the
furniture manufacturing and architectural ironmongery industries’.
The company does not perform any design work or retain customer property and therefore Clauses 8.3 & 8.5.3 of
ISO9001:2015 are determined not applicable to the scope of the management system.
There are no elements of the ISO14001 or OHSAS18001 standards that are deemed not applicable to the
business.

Associated Documents
Cross-references to the next level of documentation are specified herein.

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Issue 45 – 25.05.2017 Page 8 of 24

4.4 Integrated Management System
HUK has determined the processes needed for this IMS and where deemed appropriate and/or necessary these
are documented. High level Process Maps are provided in this Manual which show the inputs and outputs, the
sequence and interaction, control criteria, resources required, responsibility and authority. The risks and
opportunities have been determined as detailed in 6.0 below. Monitoring and review of the processes encourages
improvement of the processes and the associated procedures / records for the overall enhancement of the
Management System. The determination of its internal and external requirements has been reflected in 4.1, 4.2 &
4.3.

Environmental and
H&S process

Business planning at
Corporate and Site level
(Setting and review of
objectives)
Support processes
include:
Monitoring and
Initial status review (Gap
review
analysis or PER) or
Internal audit
ongoing monitoring
Corrective action
Preventive action
Document control
Identify working practices, Competency
hazards and
environmental aspects and
carry out risk assessments Feedback into
management
review

Identify applicable
legislation and maintain
register

Ensure that risks are

controlled and/or subject
to an improvement
programme

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Issue 45 – 25.05.2017 Page 9 of 24

5.0 Leadership
5.1 Leadership Commitment, Organisational Roles, Responsibilities & Authorities

The Directors of HUK have overall responsibility for taking accountability for the Management System, ensuring the
policy & objectives are established and in context with the strategic direction of the company, promoting the use of
risk based thinking, ensuring resources are available, communicating the importance of the management systems
and the requirement of conformance to it, ensuring the targets are met, ensuring the promotion of customer focus,
engaging, directing and supporting the directors/managers and other staff to ensure the effectiveness of the IMS,
promoting continual improvement and ensuring the integrity of the management system when changes are
required.

The IMS Manager, John Callaghan & H&S Manager Rhiain Liquorish have responsibility for reporting to the other
Directors on the performance of the management system, ensuring the processes deliver their intended outputs,
planning and implementing changes aimed at achieving agreed targets, arranging audits and reviewing with the
directors the company quality, environmental, H&S and sustainability performance. He is assisted in this role by
managers and Bridge Consultants.

Managers working in locations across the company are responsible for promoting the IMS policy in their areas and
providing reports on performance.

Staff and any contractors working on the premises are expected to follow the principles of the IMS policy statement
and its supporting policies and procedures.

Bridge Consultants have been appointed by HUK to provide competent quality, health, safety and environmental
guidance and support to the company as may be required.

The IMS Manager, H&S Manager & Bridge Consultants all have responsibility for maintaining and auditing the
system.

For a full description of individual H&S responsibilities please refer to the H&S Roles & Responsibilities document.

- Has defined the roles,

responsibilities and authority
Craig Chambers regarding this MS.
Managing Director - Ensures that performance
reports regarding the MS are
reviewed by top management.
- Ensures that adequate
resources are provided for this
MS.

J Callaghan - Are responsible for the

Integrated R Liquorish implementation and
Management Health & Safety maintenance of this MS.
Systems (IMS) Manager
Manager

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Issue 45 – 25.05.2017 Page 10 of 24

5.2 Management System Policy Statement
The Häfele U.K. Ltd. IMS Policy is available in this manual below, on the network and on notice boards around the
site. It is made available to interested parties upon written request, and is communicated throughout the Company.

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Issue 45 – 25.05.2017 Page 11 of 24

 Integrated Management Systems Policy Statement

Häfele U.K. Ltd. is committed to providing a service to our customers which ensures that they are provided
with the best possible product and service, whilst endeavouring to protect the environment, our employees,
visitors and all others who may be affected directly, or indirectly, by our activities.
In particular, we shall:
 seek to establish, maintain and continually improve an Integrated Management System (IMS)
addressing the requirements of ISO 9001 (Quality) / 14001 (Environmental) / 18001 (Health and
Safety), FSC-STD-40-004 (V.02) EN and SA8000 (Social Accountability);
 seek to ensure compliance with current and future environmental, social responsibility, and health and
safety legislation as applicable, relating to our operation, and any other initiatives or requirements to
which the company may subscribe;
 commit to liaise with all relevant external bodies and work with our own staff to continually improve our
quality, environmental, social responsibility, and health and safety performance, prevent accidents and
cases of work related ill health, and maintain safe and healthy working conditions;
 identify and seek to reduce significant environmental aspects, health and safety risks, and prevent any
pollution which may arise from our processes, operations and work activities;
 provide appropriate quality, environmental, social responsibility, and health and safety information and
training for our employees, building on competencies and encouraging them to apply good practice,
both at work and at home;
 provide and maintain safe plant, premises and equipment and minimise, re-use and recycle all
packaging materials wherever practicable;
 notify our employees, vendors and customers about our Ethics, Anti-corruption and Gifts policies and
enforce them accordingly.
 discuss quality, environmental, social responsibility, and health and safety issues regularly at the
highest levels of the company, consulting and communicating, where appropriate, with our employees
on all issues affecting them;
 liaise with vendors and customers to facilitate the best possible products, service, safety, social
responsibility, and environmental practices and to promote recycling;
 seek to ensure that the sustainability and recyclability of proposed new products is considered before
they are accepted into our product range;
 inform our vendors of and enforce the company’s Terms and Conditions policy, which insists that all
wooden products provided by our vendors originate from controlled wood sources and, when specified
by our customers, from approved Forestry Stewardship Council (F.S.C.) certified sources;
 establish, implement and review environmental objectives and targets annually, which will be
measurable where practical and linked to the company’s main environmental aspects, and these will be
published in an annual Improvement Programme which the I.M.S. Manager is responsible for
generating and monitoring.
 review and revise this policy as necessary at regular intervals.

Sound management principles and practices shall be documented, maintained and applied to realise these
commitments, and to achieve demanding and publicly available performance objectives.
Arrangements to review our objectives, scope, environmental aspects and performance reviews may be made
by writing to: John Callaghan, I.M.S. Manager, who will also welcome any observations on the quality,
environmental, social responsibility, or health and safety aspects of our activities.

Issue L

Mr. C. Chambers, Managing Director Circulation: Reception (Swift Valley)

Häfele U.K. Ltd. Lobby (Haynes Way)

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Issue 45 – 25.05.2017 Page 12 of 24

Health and Safety Policy

Health and Safety Policy Statement

Häfele UK Limited will:
• establish and implement a health and safety management system to manage the risks associated with our
premises and activities
• regularly monitor our performance and revise our health and safety management system as necessary, to
ensure we achieve our objective of continuous improvement
• provide sufficient resources to meet the requirements of current health and safety legislation, and aim to
achieve the standards of good practice applicable to our activities
• actively promote an open attitude to health and safety issues, encouraging staff to identify and report
hazards so that we can all contribute to creating and maintaining a safe working environment
• communicate and consult with our staff on all issues affecting their health and safety and, in doing so, bring
this policy to their attention
• provide adequate training for our staff to enable them to work safely and effectively, and to ensure they are
competent and confident in the work they carry out
• carry out and regularly review risk assessments to identify hazards and existing control measures; we will
prioritise, plan and complete any corrective actions required to reduce risk to an acceptable level
• maintain our premises and work equipment to a standard that ensures that risks are effectively managed
• ensure that responsibilities for health and safety are allocated, understood, monitored and fulfilled
• provide health surveillance for staff where appropriate, and maintain records
• co-operate with other organisations in these premises to ensure that they are aware of any risks to their
staff and other people posed by our activities, that we are aware of any risks to our staff from their
activities, and that we comply with the relevant requirements of fire legislation
• co-operate with other organisations on construction sites to ensure that they are aware of any risks to their
employees and other people posed by our activities, that we are aware of any risks to our employees from
their activities, and that we comply with the requirements of relevant legislation.
It is the duty of all of us when at work to:
• take reasonable care of our own safety
• take reasonable care of the safety of others who may be affected by what we do or fail to do
• co-operate so that we can all comply with our legal duties
• ensure we do not interfere with or misuse anything provided in the interests of health and safety.

Issue 2

Mr. Craig Chambers, Managing Director Circulation: Reception (Swift Valley)

Häfele U.K. Ltd. Lobby (Haynes Way)

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Issue 45 – 25.05.2017 Page 13 of 24

6.0 – Planning – Risks & Opportunities

The Directors of Häfele U.K. Ltd. have overall responsibility for determining the Risks and Opportunities that are
associated to the business. Risks and opportunities can be attributed to the specific type of business or through the
needs and expectations of its interested parties.

The company has produced a Risk & Opportunities spreadsheet that highlights these areas.

This document is an open record that shall be reviewed annually.

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Issue 45 – 25.05.2017 Page 14 of 24

Key Processes
PROCESS 1 Management System Review Process owner

To review the suitability and effectiveness of the management system, identify

SCOPE opportunities for improvement and, where appropriate, initiate corrective or preventive Managing Director
actions.

Inputs Note: Ensure that at least annually, the Management Review Meeting
evaluates the continuing suitability, adequacy and effectiveness of the IMS
• Company feedback and records the conclusion. In addition, the meeting should consider changes
• Client feedback to the policy, objectives and the other elements of the MS as a result of audit
• Stakeholder feedback findings, changing circumstances and the commitment to continual
• Audit feedback improvement.
• Accident statistics
• QA, Env and H&S feedback Outputs
• Supplier feedback
• Health & Safety committee meetings
• Legislative & compliance review
• Health & Safety policies review IMS Management
(EMS and QMS)
Resource issues, People issues,
Review Meeting
Outputs Other issues, Prioritisation,
(Annual)
Responsibilities, Review of policy,
• See list beside flowchart. strategy and objectives, Legislative
• Preventive action is considered at all levels as review,
can be seen from the various meeting minutes Environmental Initiatives,
and outputs. Environmental Issues.
Audit feedback and review
Minutes are retained indefinitely in electronic format. Preventive action
Nonconformance review
Control elements Resource review
• Internal work instruction QA.10 Interim IMS
Management
• Legislation
Review Meetings
• ISO9001, ISO14001 and OHSAS18001
• Policy

Responsibilities
(Health & Safety)
• Managing Director Accident review and statistical
analysis, Preventive action,
• IMS Manager Corrective actions, Legislation review,
Nonconformance review, Compliance
• Health & Safety Manager H & S meeting
(Biannual) review, Safety initiatives, Health &
Safety Committee feedback and
Interfaces reporting, General Health & Safety
root cause analysis, Contractor
• All processes
control issues, Safety training,
Emergency preparedness review and
feedback, Resources issues, Health
Process metrics
& Safety business plans,
None are in place for this process although overall improvement plans and progress
company performance (in terms of profitability, H & S developments, RIDDOR related
and environment) can be taken as an indication of accidents, MORR related issues
the effectiveness of the process to ensure that Management Review ISO Inputs
continual improvement takes place and that the include;
company’s objectives are met. Results of internal audits & evaluation
of compliance with legal
Health & Safety KPI dashboard includes a number of requirements, Communication from
relevant, measurable and comparable process external parties, Environmental
metrics, these include the following, accident performance of organisation, extent of
statistics, near miss statistics, audit which targets/objectives have been
Nonconformances, Risk assessments, DSE met, status of incident / corrective
assessments, driving licence endorsements. actions, follow up actions from
previous MR’s, changing
Environmentally energy usage & waste recycling
circumstances & recommendations
information is monitored for improvement.
for improvement, Customer
Feedback, Process Performance,
Opportunities for continual
improvement, Performance of
external providers, Adequacy of
Resources, Risks & Opportunities.

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Issue 45 – 25.05.2017 Page 15 of 24

PROCESS 2 Competency, training and awareness Process owner

To ensure that training and development needs are identified and that
SCOPE Managing Director
employees are competent

Inputs

• Competency records
• Job descriptions Review This may take place when
• Training information requirements and
identify the human
objectives are reviewed or as
the need arises (e.g to cover
• Performance appraisal resource need maternity leave, leavers etc)
information
• Legislation
• Resources Define the Ensure that the relevant
competencies quality, environmental and H
required and draw & S issues are defined
up a job including any specific QA,
Outputs Env. and/or H & S roles and
description if
responsibilities.
• Competency records appropriate

• Performance appraisal
Documentation
• Training needs Recruit the Conduct interview, assess,
• Training plan appropriate take references, evaluate
skill levels.
• Post course evaluations person

• Policy Statement
• Environmental Aspects Induction training must
include any relevant quality,
environmental and H & S
Records are retained by HR. Provide induction training.
training and The development needs may
include quality,
assess environmental and H & S
development issues. Such as Env.
Control elements needs aspects. This takes into a/c
ability and the risks of the
• Internal work instruction job.
MIS.02
• ISO 9001, ISO14001 and
OHSAS18001 This may include quality,
Provide
requirements appropriate environmental and H & S
training including general
• Legislation training awareness training.

Responsibilities
• Managing Director
Review the
• HR & Development effectiveness of
the training
Director
• Managers
• Learning & Development
Advisor Carry out
appraisals

Interfaces
• All processes
Contractor Competence
Where applicable copies of competence records shall be retained by the
Process metrics company for contractors conducting works at the site.
Owned and maintained by the
Managing Director &
Representatives

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Issue 45 – 25.05.2017 Page 16 of 24

PROCESS 3 Monitoring and measurement including Internal audit Process owner

To assess the effectiveness of the integrated management system and

SCOPE
compliance with ISO 9001, ISO 14001 and OHSAS18001.
Managing Director

Inputs
• Previous findings
• Accident records and reports
• Criticality of process
• Internal auditor resources
• Inspection checklists This process will take into
• ISO9001, ISO14001 and Compile an annual account the results of
OHSAS18001 audit schedule previous audits, inspections
and agree and other monitoring and the
• Audit checklist inspection regime criticality of the process. In
addition the available
resource will be considered.
Outputs
• Audit/monitoring report (including
corrective action requests)
• Approved audit programme
• Inspection results
• Monitoring programme (e.g. As part of the audit process
Implement ensure that compliance with
areas monitored by Occupational legislative requirements is
inspection process Plan and carry out
Health) evaluated. The standard
(see notes re the audit
• Closure of corrective action(s) frequency)
audit form defines the
methodology of the audit
process.
Records are retained on the network.

Control elements
Report inspection Consider the
• Internal work instruction PM.05 findings and findings and
• ISO9001, ISO14001 and implement implement
OHSAS18001 requirements corrective action if corrective action if
• Legislation appropriate appropriate.

Responsibilities
• Managing Director Follow up to
ensure that the
• IMS Manager corrective action is
effective
Interfaces
• All processes Compile audit progress summaries for
quarterly Quality Reports and a full audit
summary report for senior management, as
part of the annual QMS/EMS review.

Process metrics
Owned and maintained by the Notes:
Managing Director. 1. Auditors shall be independent of the process being audited.
2. The audit scope and frequency is defined in the audit schedule.
Health & Safety KPI dashboard 3. All internal auditors have undergone training and their competency
includes a number of relevant, has been assessed and recorded.
measurable and comparable process 4. Inspections are carried out by nominated persons.
metrics, these include the following, 5. Any nonconformity raised at an internal audit will be recorded on the
accident statistics, near miss audit report – a separate nonconformance report is not used.
statistics, audit Nonconformances,
Risk assessments, DSE
assessments, driving licence
endorsements.
Environmentally energy usage &
waste recycling information is
monitored for improvement.

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Issue 45 – 25.05.2017 Page 17 of 24

PROCESS 4 Nonconformance Reporting & Corrective Action Process owner

Identification and control of nonconforming materials and other entities and the
SCOPE subsequent corrective action taken to eliminate the cause of nonconformity Managing Director
and prevent recurrence. Includes complaints and accident and incidents.

Inputs
• Identification of nonconformity Notes:
• Risk assessments 1. Nonconformances include material defects, process errors, internal
• Accidents and Incident reports audit findings, environmental
• Complaints issues (spills etc) and H & S Issues (accidents, inspection results).
• Nonconformance report 2. NCs can be raised by any employee.
3. Nonconformances raised at internal audits are recorded on the
• Trend analysis (recurrences) audit report. A separate nonconformance report is not used.
• Root cause analysis
• Results of actions taken
• Feedback on effectiveness of This includes
action taken accidents, incidents
and nonconformances.
• Inspection and audit results Feedback to Ensure that the H & S
management Arrangements Manual
and RIDDOR reporting
Outputs requirements are
followed in the event of
• Nonconformance report an accident or near
• Identification of root cause miss.
• Identification of corrective action(s)
• Implemented corrective action
• Elimination of recurrence
Identify and record Identify and
All appropriate records are retained environmental record H & S
non-conformance nonconformance
indefinitely on the network.

Control elements
• Internal work instructions Q.A.04 Where necessary take
and PM.06 immediate action to
• H & S Arrangements Manual limit or mitigate the
• Legislation consequences of the
• ISO9001, ISO14001 and nonconformance
OHSAS18001

Responsibilities Investigate and review

the nonconformance
• Managing Director
• IMS Manager When this involves H &
S ensure that a risk
• Health & Safety Manager Agree corrective assessment is carried
action and implement out prior to the
implementation of
Interfaces corrective action.
• All processes
Follow up to ensure
Process metrics that the corrective
action is effective
Owned and maintained by the
Managing Director & Representatives

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Issue 45 – 25.05.2017 Page 18 of 24

PROCESS 5 Performance measurement and monitoring Process owner

To ensure that the performance of the firms integrated H & S and

SCOPE
Environmental system is measured and monitored on a regular basis.
Managing Director

Inputs
• Accident and H&S
records This process ensures that the Integrated Management System
• Inspection results is monitored and measured on a regular basis.
• Progress to achieving See also Processes 1, 3 and 11.
objectives and
improvement
programmes
• Analysis of historical data
• Corrective actions This function is
• Results of actions taken Monitor whether the carried out mainly
• Feedback on objectives and improvement through the
programmes are being met Management
effectiveness of action Review meetings.
taken

Outputs
Ensure that pro-active
monitoring takes place via
• An effectively monitored inspections, risk
IMS assessments, OH
• Statistical analysis surveillance, and internal
audits.
• Process improvement

All records are retained

indefinitely on the network. Ensure that monitoring takes This is usually
carried out within
place to ensure compliance the audit
with all applicable legislation programme.
Control elements
These re-active
• Internal work instructions measures include
Q.A.10 and PM.05 accident and ill-
• Legislation Ensure that re-active health statistics,
measures of performance environmental
• ISO9001, ISO14001 and are collated and considered incidents, and the
OHSAS18001 results of OH
monitoring.
Responsibilities
This is carried
• Managing Director Ensure that sufficient data
out in a number
of ways e.g.
is available to facilitate accident reports
• IMS Manager corrective and preventive and
action analysis investigations,
• Health & Safety Manager environmental
incident reports.
Interfaces
Ensure that monitoring
• All processes equipment is calibrated and
maintained where
appropriate and that
records are retained.
Process metrics
Improvements in the
performance of the IMS
including, energy review,
waste statistics, customer
feedback, accident statistics

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Issue 45 – 25.05.2017 Page 19 of 24

PROCESS 6 Consultation and communication Process owner

To ensure that internal and external communications are dealt with and that
Scope
internal communication takes place
Managing Director

Inputs
• Communication channels
• Compliance Obligations
• Employee awareness Notes:
1. It has been agreed that the aspects and the policy will
• Internal and external communications not be communicated to outside parties except upon
• Articles/items of interest written request.
2. A MR meeting is held at least annually and considers
Outputs changes that may affect Quality, Env. and H & S. It also
ensures that employees are represented.
• Increased employee awareness
• Communications dealt with It will have been explained
Ensure that all at induction briefings, who
• Communications recorded employees are aware the relevant managers are
• IMS policy available of the lines of and their roles. e.g. IMS
communication Manager and Health &
Safety Manager.
All records are retained indefinitely on the
network. Distribute articles of
In particular where possible
interest via the notice use the e-mail facility to
boards and the raise awareness.
Control elements network

• Legislation Communicate IMS This is carried out as part

• ISO9001, ISO14001 and and H&S of the supplier approval
process or as part of the
OHSAS18001 requirements requirements to setting up of a
contractors and others maintenance project e.g.
Responsibilities working on behalf of Site inductions
the firm
• Managing Director
During audits and
• IMS Manager inspections involve as
Audits should attempt to
involve a broad range of
many employees as employees over a period of
• Health & Safety Manager time. They can be used as
possible in order to
a form of ‘toolbox’ talk.
• All employees heighten awareness

Ensure that external All employees are aware

Interfaces
requests and of the roles of the various
• All processes communications are managers and can direct
directed to the enquiries to the
appropriate location.
appropriate manager.
All communications are
Process metrics Ensure that a copy of retained and dealt with by
the appropriate manager
all communications and usually retained on the
Owned and maintained by the are dealt with and network. Supply details to
Managing Director & Representatives records retained. the MR and meetings as
appropriate.

Ensure that a copy of

the IMS Policy is
available in strategic
locations e.g.
Reception

External Communications
All external communications to the company regarding the IMS shall be made in writing
to the IMS Manager. This can include the policy, aspects, objectives or performance of
the organisation.

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Issue 45 – 25.05.2017 Page 20 of 24

PROCESS 7 Document and Record Management Process owner

Control of documentation and records including the results of audits and

SCOPE
reviews
Managing Director

Inputs
Identify documents, data
• Documents and records which
require control
• Records
• Legislation
• Resources
Documents are reviewed by the
• IMS requirements Ensure that documents issuer prior to release. Release
are reviewed as
• Internal requirements necessary and approved
on to the network confirms that
they have been reviewed and
• Client requirements approved.

Outputs
Documents are given a unique
Ensure that documents
• Master list are uniquely identified,
title and their revision status is
usually denoted by a ‘Last
• Computer backups and stored safely revised date’. Storage is almost
always on the network.
• Identified documents
• Authorised documents Retention times and storage
• Software licences locations are defined in the
Master List although almost all
• Virus protection Define retention times documents and records are
retained indefinitely via
• Up-to-date standards electronic backup on the
and manuals etc network.

Obsolete documents and

Records are retained either An archive of obsolete records are removed from the
point of use and archived. This
on the network or locally in documents is maintained is almost always carried out
hard copy. electronically.
Periodically review
the adequacy of the
Control elements process via the audit
process
• Internal work instruction
In future, virtually all
PM.01 Although some
documentation will be
• Legislation available on the network,
documents and records
are printed for easier
• ISO9001, ISO14001 and and will be the only access, these are
authorised version deemed to be
OHSAS18001 uncontrolled documents.
requirements available

Responsibilities Ensure that computer

backups are made, that
• Managing Director virus protection is in
place, and that access to
• IMS Manager the network is via a
secure system
• IT Director

Interfaces Ensure that only

authorised software is in
• All processes use

Process metrics
None in place at present External Documents

External documents are identified by type, i.e Fire Alarm test certificates, PAT testing,
Mains testing, waste transfer notes and air conditioning service records. These are
retained by the H&S or Environmental Managers.

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Issue 45 – 25.05.2017 Page 21 of 24

 PROCESS 8 ID & Assessment of Health & Safety Risks & Environmental Aspects
To ensure that all H & S and environmental aspects are identified,
SCOPE
the risk assessed and appropriate controls implemented.
Inputs
New processes including
• Environmental review projects, equipment etc
• Up-to-date legislative register are reviewed and if
appropriate an RA carried
• Monitoring reports/previous findings out prior to the
• Competent assessors implementation of the
process. Existing
• RA form for Env. and H & S processes are reviewed
annually or in the event of
• Guidance re H & S RAs an accident or incident.
• H & S Arrangements Manual
• Code of Practice for Contractors and
visitors
• Equipment
• Resources
The H&S RAs are carried out by
competent persons using the
defined process laid down by the
standard RA sheet. This means
Outputs that the hazards are reviewed w/
o controls and then with
• Master list of aspects for necessary controls. This results
in all hazards being rated. In
environmental issues doing this any legislative or other
• Completed risk assessments requirements (e.g. Company
Policy, other requirements etc)
• Required control measures are taken into account.
The H&S controls or need for
• Improvements (Objectives and improvement are identified at
action plans) this stage e.g. training, guards
etc.
All records are retained indefinitely on H&S
RAs
the network.
Control elements
• ISO9001, ISO14001
and1OHSAS8001 requirements
• Company requirements
• Legislation All environmental aspects
and H & S hazards are
then reviewed to
determine whether further
controls (e.g. training,
operational control or
Responsibilities facility requirements) are
necessary or whether an
improvement programme
• Managing Director could be implemented.
• IMS Manager
• Health & Safety Manager
Interfaces
Notes:
• All processes 1. H&S RAs are carried out by persons who have been trained in H & S risk assessment techniques. Records of training are
retained.
2. Environmental RAs are carried out by persons who have been trained in Environmental risk assessment techniques. A record of
this training is retained.
3. Subcontractors visiting the site are required to identify both H&S and Environmental hazards or aspects likely to arise due to
their work on site. They must submit RAs and Method Statements if deemed appropriate by the Manager involved.
4. Pro-active reviews of the hazards and RAs take place at least annually as defined on the RA.
5. Re-active reviews take place after accidents or incidents, OH monitoring etc.
Process metrics 6. Risks are classified as defined in the RA templates for both H & S and Env.
7. Employees are involved in the ID of hazards and aspects and in the RA process.
• Reduction in accidents/incidents
• Reduction in environmental issues
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Issue 45 – 25.05.2017
Identify and review
processes
(including activities of all
personnel, subcontractors,
visitors and facilities
provided by others)
Consider various operating
conditions and identify
environmental aspects and
H & S hazards
Carry out a risk
assessment of the
identified aspects and
hazards
Draw up register of
significant
environmental aspects
Consider control
measures and/or
improvement
programmes
Review and re-assess
new controls prior to
implementation
Implement controls or
improvement
programme
Process owner
Managing Director
This was carried out in
the first instance by
means of a gap analysis
for the environment and
H&S. The documents are
available in the file and
will be retained
indefinitely.
Some aspects and hazards
only occur under particular
operating conditions or are
non-routine. Where possible
these conditions are taken
into account during the
identification and RA process.
The Environmental RAs are
carried out by competent
persons using the defined
template. This results in all
aspects being rated and
allows them to be ranked in
order of significance. In
doing this any legislative or
other requirements (e.g. Monitor required
Company Policy, other actions to
ensure
requirements etc) are taken
into account. effectiveness
(via audits,
inspections,
The environmental aspects H&S and
are then ranked. In this case
other meetings)
all aspects having a rating
higher than 18 are
considered to be significant
and would be included on
the Register of Aspects.
All environmental aspects
and H & S hazards are
then reviewed to
determine whether further
controls (e.g. training,
operational control or
facility requirements) are
necessary or whether an
improvement programme
could be implemented.
Page 22 of 24
 PROCESS 9 Identification and maintenance of legislative and requirements register Process owner

To ensure that all legislation and requirements related to the

SCOPE Managing Director
company’s operations and products are identified.

Inputs
• In Touch legislation up-date service
• Croner Environment and H & S
• Master list of aspects and hazards
• Completed risk assessments
• Monitoring reports/previous findings
• Other requirements This was carried out in the
first instance using NetRegs
• Equipment Identify and review as a reference. Thereafter, a
• Resources applicable subscription to In Touch and
legislation Croner is maintained both of
which issue frequent
updates.
Outputs
• Applicable legislation and
requirements identified in connection
with an aspect or process
• Employees and stakeholders who are Consider other
This includes
requirements,
customer
and the
aware of appropriate legislation or its requirements objectives of the Company.
impact on the company’s processes
• Up-to-date register and risk
assessments retained on the network
The effectiveness of the
All records are retained indefinitely on This is a document which process is monitored
the network. lists legislation which may be and compliance with
applicable to the Company. It legislation is checked
Prepare and is retained on the network periodically via the
maintain a and includes a brief audit process.
legislative register description of the legislation
Control elements or other requirement where
appropriate.
• ISO9001, ISO14001, OHSAS18001
requirements Legislative changes are
• Legislation Ensure that
generally identified by the
IMS Consultant or Health &
employees and Safety Manager, who
others are aware informs the appropriate
Responsibilities of changes as persons. E-mails and notice
appropriate boards are used to inform
• Managing Director employees re important
issues.
• IMS Manager
• Health & Safety Manager

Interfaces
• All processes

Process metrics
• Improved awareness of legislative
requirements

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Issue 45 – 25.05.2017 Page 23 of 24

PROCESS 10 Control of hazards/Identification of objectives Process owner

To ensure that control measures are in place and to establish

SCOPE Managing Director
objectives, targets and improvement programmes

Inputs
Notes:
• Company strategy and 1. The setting of high level objectives takes place mainly within the Company Strategy meetings to
business plan ensure that the corporate objectives are understood and considered when the departmental
business plans are being drafted. However lower level objectives or improvement
• Master list of aspects and programmes and the identification of controls result from the Risk Assessment or Aspect
hazards evaluation process.
2. Where practicable objectives are quantifiable.
• Completed risk 3. Responsibilities and timescales for objectives are documented.
assessments
• Monitoring reports/previous
findings
• Equipment
• Resources
Identify required control When identifying and reviewing
measures from the Risk ID and review objectives, take into account
All records are retained Assessments, Inspection objectives and/or statutory requirements, best
results, Audit results, control measures practice, other requirements,
indefinitely either in hard copy accident records and any as appropriate mission statement, results of RAs
or on the network. other monitoring carried out. and effects of controls.

Outputs
Controls Seek approval Objectives
• Agreed control measures
• Agreed objectives and
targets
• Improvement programmes
Take measures to
Where appropriate draw up achieve the objective
Implement the an action plan to ensure that
the objective is achieved including cascading to
Control elements agreed controls
and/or that the control the relevant function
measure is put in place and level
• ISO9001, ISO14001 and
OHSAS18001
requirements
• Legislation Review the
Review the achievement of the
Responsibilities implemented objective usually by
controls e.g. by
audit, inspection, the appropriate
• Managing Director monitoring manager

• IMS Manager
• Health & Safety Manager Feedback review
information
Interfaces
• All processes

Process metrics
• Accident rate
• Number of environmental
issues

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Issue 45 – 25.05.2017 Page 24 of 24