IMS

By: Subhransu Sekhar Mohanty

By: Subhransu Sekhar Mohanty

 IMS
Integrated Management System (IMS) training typically involves understanding and applying the
requirements of ISO 9001 (Quality Management), ISO 14001 (Environmental Management), and ISO 45001
(Occupational Health & Safety). Below is a clause-by-clause breakdown of IMS training requirements as per
ISO standards, including document requirements and compliance tips for each clause:

Clause 1: Scope

• Training Focus: Understanding the scope of the IMS as it applies to the organization’s operations,
boundaries, and activities.
• Documents Required:
o Scope Statement
o Organizational Boundary Map
• Key Compliance Tips:
o Ensure that all employees know how the IMS scope applies to their roles.
o Clearly define the scope and include examples during training sessions.

Clause 2: Normative References

• Training Focus: Awareness of the reference standards used for the IMS.
• Documents Required:
o List of Applicable Standards (ISO 9001, ISO 14001, ISO 45001)
• Key Compliance Tips:
o Include an overview of normative references in the training material to contextualize their
relevance.

Clause 3: Terms and Definitions

• Training Focus: Understanding key terms and definitions used in the IMS standards.
• Documents Required:
o Glossary of IMS Terms
• Key Compliance Tips:
o Develop a simplified glossary and distribute it during training.

Clause 4: Context of the Organization

4.1: Understanding the Organization and Its Context

• Key Idea: Organizations must identify internal and external factors that affect their ability to achieve intended
outcomes.
• Examples:
o Internal: Resources, culture, organizational structure.
o External: Regulatory requirements, economic trends, technology changes.
• Enhancement: Use tools like SWOT or PESTLE analysis to document and track these factors.

4.2: Understanding the Needs and Expectations of Interested Parties

• Key Idea: Identify stakeholders (e.g., customers, suppliers, employees, regulators) and understand their
expectations.
• Examples:
o Customers expect high-quality products.
o Regulators expect compliance with laws.
• Enhancement: Create a stakeholder map that categorizes and prioritizes stakeholders.

By: Subhransu Sekhar Mohanty

4.3: Determining the Scope of the Management System

• Key Idea: Define boundaries of the IMS by considering organizational structure, locations, and activities.
• Examples: A manufacturing plant may include production and logistics but exclude R&D centers.
• Enhancement: Clearly document the scope to avoid ambiguity.

4.4: Integrated Management System and Its Processes

• Key Idea: Define processes, their interactions, and outputs.

• Examples: Use process flow diagrams to illustrate interdependencies between production, quality control, and
shipping.
• Enhancement: Link processes with KPIs to monitor effectiveness.

Clause 5: Leadership

5.1: Leadership and Commitment

• Key Idea: Top management must demonstrate commitment through active involvement and resource
allocation.
• Examples: Leading safety drills, approving policies, and participating in audits.
• Enhancement: Show management’s involvement in training sessions and team meetings.

5.2: Policy

• Key Idea: Develop an IMS policy that reflects quality, environmental, and safety objectives.
• Examples: Include statements like “We commit to zero workplace incidents” and “Reduce waste by 20%
annually.”
• Enhancement: Display policies prominently in the workplace and train employees on their importance.

5.3: Organizational Roles, Responsibilities, and Authorities

• Key Idea: Define who is responsible for implementing IMS processes and achieving objectives.
• Examples: Assign a Quality Manager to oversee ISO 9001 requirements.
• Enhancement: Use a RACI (Responsible, Accountable, Consulted, Informed) matrix to clarify roles.

Clause 6: Planning

6.1: Actions to Address Risks and Opportunities

• Key Idea: Identify and mitigate risks while leveraging opportunities to improve processes.
• Examples:
o Risk: Supply chain disruptions. Mitigation: Dual sourcing.
o Opportunity: Automating manual processes.
• Enhancement: Use risk registers and FMEA (Failure Modes and Effects Analysis) tools.

6.2: IMS Objectives and Planning to Achieve Them

• Key Idea: Objectives must be SMART (Specific, Measurable, Achievable, Relevant, Time-bound).
• Examples: Reduce customer complaints by 15% within one year.
• Enhancement: Link objectives with departmental goals and assign ownership.

6.3: Planning of Changes

• Key Idea: Ensure that changes to IMS processes do not compromise effectiveness.
• Examples: Before introducing a new production line, assess environmental impacts and safety risks.
• Enhancement: Implement a change management procedure with approval workflows.

Clause 7: Support
By: Subhransu Sekhar Mohanty
7.1: Resources

• Key Idea: Ensure adequate resources (people, infrastructure, technology) are available.
• Examples: Budgeting for new safety equipment or upgrading software.
• Enhancement: Use resource planning templates for effective allocation.

7.2: Competence

• Key Idea: Employees must have the skills to perform their roles effectively.
• Examples: Conduct training on root cause analysis for quality personnel.
• Enhancement: Regularly assess competency through evaluations and refresher courses.

7.3: Awareness

• Key Idea: Employees should understand IMS policies, objectives, and their roles.
• Examples: Awareness programs for new hires covering environmental and safety policies.
• Enhancement: Reinforce awareness through posters and team discussions.

7.4: Communication

• Key Idea: Effective communication ensures stakeholders receive relevant information.

• Examples: Monthly reports to regulators or internal newsletters for employees.
• Enhancement: Develop a communication plan specifying frequency and channels.

7.5: Documented Information

• Key Idea: Control documents to ensure they are accurate and accessible.
• Examples: Use version control for procedures and policies.
• Enhancement: Implement a digital document management system.

Clause 8: Operation

8.1: Operational Planning and Control

• Key Idea: Plan and control processes to achieve IMS objectives.

• Examples: Use Gantt charts for project timelines and process monitoring.
• Enhancement: Incorporate monitoring checkpoints in the plan.

8.2: Emergency Preparedness and Response

• Key Idea: Plan for emergencies like fires, chemical spills, or equipment failures.
• Examples: Conduct fire drills and maintain an emergency contact list.
• Enhancement: Regularly update emergency plans based on lessons learned.

8.3: Design and Development

• Key Idea: Follow a structured approach to design processes or products.

• Examples: Design FMEA for new product lines.
• Enhancement: Engage cross-functional teams for robust design reviews.

8.4: Control of Externally Provided Processes, Products, and Services

• Key Idea: Ensure suppliers meet requirements.

• Examples: Vendor audits and performance scorecards.
• Enhancement: Develop supplier contracts with clear quality clauses.

By: Subhransu Sekhar Mohanty

8.5: Production and Service Provision

• Key Idea: Maintain consistency in product or service delivery.

• Examples: Use production checklists and equipment calibration logs.
• Enhancement: Conduct process audits to identify bottlenecks.

8.6: Release of Products and Services

• Key Idea: Ensure products meet requirements before delivery.

• Examples: Inspection reports and customer sign-offs.
• Enhancement: Automate inspection reporting for efficiency.

8.7: Control of Nonconforming Outputs

• Key Idea: Manage defects to prevent customer impact.

• Examples: Segregate nonconforming items and perform root cause analysis.
• Enhancement: Track trends in nonconformance to drive improvement.

Clause 9: Performance Evaluation

9.1: Monitoring, Measurement, Analysis, and Evaluation

• Key Idea: Track and evaluate IMS performance using KPIs.

• Examples: Measure safety incidents per month or energy usage.
• Enhancement: Use dashboards for real-time performance tracking.

9.2: Internal Audit

• Key Idea: Periodic audits verify IMS compliance.

• Examples: Use a checklist covering ISO 9001, 14001, and 45001 clauses.
• Enhancement: Train internal auditors for a deeper understanding.

9.3: Management Review

• Key Idea: Top management evaluates IMS effectiveness.

• Examples: Discuss audit findings and risk updates in quarterly reviews.
• Enhancement: Use structured agendas for productive meetings.

Clause 10: Improvement

10.1: Nonconformity and Corrective Action

• Key Idea: Address root causes of nonconformities.

• Examples: Apply the 5-Why analysis or fishbone diagrams.
• Enhancement: Maintain a corrective action tracker.

10.2: Continual Improvement

• Key Idea: Proactively improve processes and systems.

• Examples: Lean initiatives to reduce waste.
• Enhancement: Encourage employee suggestions and reward innovative ideas.

By: Subhransu Sekhar Mohanty

 SAMPLE DOCUMETS
(See Next Pages)

By: Subhransu Sekhar Mohanty

 Risk and Opportunity Register

Field Description
Document Title Risk and Opportunity Register
Document Number IMS-ROR-001
Version 1.0
Date [DD/MM/YYYY]
Prepared by [Name, Designation]
Reviewed by [Name, Designation]
Approved by [Name, Designation]
Version Date [DD/MM/YYYY]

Risk Register

Risk Risk Likelihood Impact Risk Mitigation Plan Responsible Timeline Review
ID Description Level Person Date
R001 Delayed Likely High High Improve supplier Procurement 30/12/2024 30/03/2025
supplier relationship and Manager
delivery due establish clear
to logistics timelines for
issues delivery
R002 Increased Possible Medium Medium Conduct market Marketing Ongoing 30/06/2025
competition in research and Manager
market improve product
offerings
R003 Technology Unlikely High Medium Implement IT 15/12/2024 15/06/2025
failure during regular system Department
production maintenance and
backups
R004 Regulatory Possible High High Stay updated Legal Ongoing 31/12/2024
changes with regulations Compliance
impacting and ensure Officer
compliance compliance
through internal
audits
Opportunity Register

Opportunit Opportunit Likelihoo Impact Opportunit Action Responsibl Timeline Review

y ID y d y Level Plan e Person Date
Description
O001 Expansion Likely High High Conduct Business 31/12/202 31/12/202
into new feasibility Developme 4 5
market study and nt Manager
segment develop a
market
entry
strategy
O002 Developme Possible High High Research R&D 31/03/202 30/06/202
nt of a new and Department 5 5
product line developme
nt of the
new
product line
based on
customer
feedback
O003 Adoption of Likely Mediu Medium Invest in Production 31/12/202 30/06/202
automation m automation Manager 4 5
to improve technology
production and train
employees
on the new
systems
O004 Strategic Possible Mediu Medium Negotiate Procuremen 30/06/202 31/12/202
partnership m and t Manager 5 5
with key formalize
suppliers strategic
partnership
s with key
suppliers
Key Fields for Risk and Opportunity Register

1. Risk ID / Opportunity ID: A unique identifier for each risk or opportunity.

2. Risk / Opportunity Description: Clear description of the risk or opportunity.
3. Likelihood: The probability of the risk occurring or the opportunity being realized (e.g., Likely, Possible, Unlikely).
4. Impact: The potential impact on the organization (e.g., High, Medium, Low).
5. Risk/Opportunity Level: Overall level of risk or opportunity based on likelihood and impact (e.g., High, Medium,
Low).
6. Mitigation Plan / Action Plan: Specific steps and actions taken to mitigate the risk or capitalize on the opportunity.
7. Responsible Person: The individual responsible for managing the risk or opportunity.
8. Timeline: The target date for implementing the mitigation plan or realizing the opportunity.
9. Review Date: Date when the risk/opportunity will be reviewed for status update.

General Tips for Creating a Risk and Opportunity Register

• Be Clear and Specific: Clearly define each risk or opportunity. Avoid vague descriptions.
• Update Regularly: Regularly review the register and update it with new risks and opportunities.
• Action Plans: Make sure the action plans are specific, actionable, and realistic.
• Ownership: Assign clear responsibility to individuals for managing each risk and opportunity.
• Prioritization: Use the likelihood and impact ratings to prioritize risks and opportunities.
 Leadership Communication Records

Field Description
Document Title Leadership Communication Record
Document Number IMS-LCR-001
Version 1.0
Date [DD/MM/YYYY]
Prepared by [Name, Designation]
Reviewed by [Name, Designation]
Approved by [Name, Designation]
Version Date [DD/MM/YYYY]

Communication Records

Communic Date Sende Recipien Topic/Sub Key Action Follow-up Status

ation ID r t(s) ject Points Require Date
d
C001 [DD/MM/Y [Name All Company Introducti Employ [DD/MM/Y Comple
YYY] , Employe Vision and on to new ees to YYY] ted
CEO] es Strategic company align
Goals vision, work
goals, with
and new
strategic goals
objective
s
C002 [DD/MM/Y [Name Departm Operationa Introducti Departm [DD/MM/Y Pending
YYY] , ent l on to new ent YYY]
COO] Heads Efficiency process heads to
Improvem improve impleme
ents ment nt new
initiatives strategie
in s
productio
n
C003 [DD/MM/Y [Name All Employee Announci Employ [DD/MM/Y Comple
YYY] , HR Employe Engageme ng new ees to YYY] ted
Direct es nt and wellness participa
or] Well- programs te in
being and upcomin
employee g
engagem wellness
ent program
activities s
Key Fields for Leadership Communication Records

1. Communication ID: A unique identifier for each communication.

2. Date: The date the communication took place.
3. Sender: The individual(s) who initiated the communication (e.g., CEO, HR Director).
4. Recipient(s): The target audience of the communication (e.g., all employees, department heads, investors).
5. Topic/Subject: A brief description of the main topic or subject of the communication.
6. Key Points: Main content of the communication, outlining the purpose and essential messages shared.
7. Action Required: Any specific action or follow-up required by the recipients, such as adjustments to
strategies or participation in programs.
8. Follow-up Date: Date when follow-up actions will be reviewed or when next communication will be
needed.
9. Status: The current status of the communication (e.g., Completed, Ongoing, Pending).

General Tips for Creating Leadership Communication Records

1. Clear Documentation: Ensure clear and concise documentation of key points and decisions from
leadership.
2. Track Actions: Include clear action items and deadlines to ensure accountability and timely follow-up.
3. Maintain Transparency: These records should reflect the leadership's key messages and the
corresponding actions taken across the organization.
4. Use Consistent Format: Maintain consistency in the format, using the same structure for every
communication record to ensure easy reference.
5. Review Regularly: Leadership communication records should be reviewed regularly during meetings to
assess the progress of action items.
 Quality Policy

Document Title: Quality Policy

Document Number: IMS-QPVM-001
Version: 1.0
Date: 10/12/2024
Prepared by: John Doe, Quality Manager
Reviewed by: Jane Smith, Senior Management
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Quality Policy

Our organization is committed to delivering high-quality products and services that meet customer expectations
and comply with regulatory requirements. We focus on continual improvement, customer satisfaction, and
adherence to the highest standards of quality in all our operations.

Key Objectives:

• Achieve customer satisfaction through consistent quality.

• Continuous improvement in our processes, products, and services.
• Compliance with applicable regulatory requirements and standards.

Review Date: 10/12/2025

Status: Approved

Action Required:

• Departments to adhere to established quality standards.

• Conduct regular internal audits to ensure compliance with the policy.
• Engage employees in ongoing quality training programs.
 Vision

Document Title: Corporate Vision Statement

Document Number: IMS-CVS-001
Version: 1.0
Date: 10/12/2024
Prepared by: Michael Johnson, CEO
Reviewed by: Board of Directors
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Corporate Vision Statement

To be a globally recognized leader in the [industry], delivering innovative and sustainable solutions that create
value for all stakeholders, ensuring a better and more sustainable future for society at large.

Key Goals:

• Expand our presence in global markets by 2027.

• Foster continuous innovation in products and services to meet evolving customer needs.
• Enhance sustainability practices to reduce environmental impact.

Review Date: 10/12/2025

Status: Approved

Action Required:

• Develop global market expansion strategies.

• Encourage innovation and collaboration in product development.
• Improve sustainability practices within the organization.
 Mission

Document Title: Corporate Mission Statement

Document Number: IMS-CMS-001
Version: 1.0
Date: 10/12/2024
Prepared by: Michael Johnson, CEO
Reviewed by: Board of Directors
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Corporate Mission Statement

To provide high-quality products and services to our customers while fostering a culture of integrity, innovation,
and responsibility. Our mission is to create value for our stakeholders by maintaining the highest standards in
everything we do.

Key Goals:

• Deliver exceptional customer service by meeting and exceeding expectations.

• Promote a culture of employee engagement and development.
• Uphold integrity, ethical practices, and compliance with all regulations.

Review Date: 10/12/2025

Status: Approved

Action Required:

• Ensure customer satisfaction metrics are met through feedback and monitoring.
• Implement employee development programs focused on skills and leadership.
• Regularly review and reinforce ethical and compliance standards.
 Organizational Structure

Document Title: Organizational Structure Documentation

Document Number: IMS-OSD-001
Version: 1.0
Date: 10/12/2024
Prepared by: John Doe, HR Manager
Reviewed by: Senior Management
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Organizational Chart

CEO

Operations
HR Manager Finance Manager Quality Manager
Manager

Production Employee
Accounting Quality Assurance
Department Relations

Supply Chain Training &

Financial Reporting Compliance
Department Development

Departmental Responsibilities:

1. CEO (Chief Executive Officer):

o Overall strategic leadership of the organization.
o Ensures company goals are achieved and met.
o Oversees organizational performance and policy implementation.
2. Operations Manager:
o Responsible for overseeing production and manufacturing operations.
o Ensures production targets and quality standards are met.
o Manages supply chain logistics to ensure timely delivery.
3. HR Manager:
o Oversees employee recruitment, retention, and development.
o Manages employee relations, performance appraisals, and benefits programs.
o Ensures compliance with labor laws and organizational policies.
4. Finance Manager:
o Responsible for financial reporting, budgeting, and analysis.
o Manages accounting functions and cash flow.
o Ensures adherence to tax laws and financial regulations.
5. Quality Manager:
o Ensures quality management systems are followed.
o Manages quality control, audits, and certifications.
o Reviews performance data to ensure compliance with quality standards.

Review Date: 10/12/2025

Status: Approved
 Role & Responsibility Matrix (RACI Matrix)

Document Title: Role & Responsibility Matrix

Document Number: IMS-RRM-001
Version: 1.0
Date: 10/12/2024
Prepared by: Jane Smith, HR Manager
Reviewed by: Senior Management
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Role & Responsibility Matrix (RACI)

Task / Activity CEO Operations HR Finance Quality

Manager Manager Manager Manager
Develop Strategic Plan A C I I I
Monitor Production Goals I R I I C
Hire New Employees I C R I I
Prepare Financial Reports I C I R I
Conduct Internal Audits I C I I R
Ensure Quality Compliance I C I I R
Budget Planning & Allocation I I C R I
Employee Training & I C R I I
Development

RACI Definitions:

• R (Responsible): The person or role responsible for completing the task.

• A (Accountable): The person or role ultimately accountable for the task and decision-making.
• C (Consulted): The individuals or roles whose opinions or expertise are sought for the task.
• I (Informed): The individuals or roles who are kept informed about the task's progress or outcomes.

Review Date: 10/12/2025

Status: Approved

General Tips for Creating Organizational Structure and RACI Matrix:

1. Clarity in Reporting Relationships: Ensure that the organizational chart clearly defines the lines of
authority and reporting, so there is no ambiguity about who is responsible for each task or decision.
2. Use of RACI Matrix: A well-organized RACI matrix helps to clarify roles and responsibilities for each
activity or task within the company. This ensures that there is no overlap in responsibility and that
everyone knows what is expected of them.
3. Regular Updates: Both the Organizational Structure and Role & Responsibility Matrix should be
reviewed and updated periodically to reflect any changes in roles, department restructuring, or shifting
priorities.
4. Stakeholder Communication: Share these documents with all employees and key stakeholders so
everyone understands the organizational structure and their specific roles in the company.
 Risk Management Document

Document Title: Risk Management Document

Document Number: IMS-RMD-001
Version: 1.0
Date: 10/12/2024
Prepared by: John Doe, Risk Manager
Reviewed by: Senior Management
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Risk Register

Risk Risk Description Likelihood Impact Risk Mitigation Plan Responsible Review
ID (1-5) (1-5) Score (L Person Date
x I)
R001 Supply chain 4 5 20 Diversify suppliers, Operations 10/12/2025
disruption maintain buffer Manager
inventory
R002 Data breach 3 5 15 Implement stronger IT Manager 10/12/2025
encryption, train
employees
R003 Regulatory non- 2 4 8 Regular audits, stay Compliance 10/12/2025
compliance updated on regulations Officer

Review Date: 10/12/2025

Status: Approved

Risk Management Overview

Risk management is the process of identifying, assessing, and controlling risks that could potentially impact the
organization’s ability to achieve its objectives. This document outlines the procedures, responsibilities, and tools
used to effectively manage risks across the company.

Risk Management Process

1. Risk Identification
The first step is to identify potential risks that could impact the organization. This involves brainstorming,
historical data analysis, and consultation with various stakeholders.
2. Risk Assessment
After identifying the risks, assess their likelihood and potential impact. This is done through qualitative and
quantitative methods, including risk scoring.
3. Risk Mitigation Strategies
For each identified risk, mitigation actions are developed. This includes risk avoidance, transfer, reduction,
or acceptance based on the severity and probability of the risk.
4. Monitoring and Review
Ongoing monitoring of identified risks is required to track their status and effectiveness of mitigation
actions. Regular reviews should be conducted to ensure the risk management strategy remains effective.
5. Risk Communication
Regular communication with stakeholders is essential to ensure that everyone is aware of risks and
mitigation strategies.
 Risk Assessment Document

Document Title: Risk Assessment Document

Document Number: IMS-RAD-001
Version: 1.0
Date: 10/12/2024
Prepared by: Jane Smith, Risk Assessment Specialist
Reviewed by: Risk Management Committee
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Risk Assessment Matrix

The Risk Assessment Matrix helps categorize and prioritize risks based on their likelihood and impact.

Likelihood Impact Risk Level Action Required

1 – Unlikely 1 – Insignificant Low Risk Monitor periodically
2 – Possible 2 – Minor Low Risk Monitor periodically
3 – Likely 3 – Moderate Medium Risk Implement mitigation actions
4 – Very Likely 4 – Major High Risk Immediate action required
5 – Almost Certain 5 – Catastrophic Critical Risk Immediate action and contingency plans

Risk Example Assessment

Risk Description Likelihood Impact Risk Risk Level Action Required
Score
Natural disaster affecting 3 4 12 High Risk Develop contingency plans, ensure
production insurance coverage
Economic downturn 2 3 6 Medium Diversify customer base, monitor market
impacting sales Risk trends
Employee turnover 4 2 8 Medium Improve retention strategies, employee
impacting operations Risk engagement programs

Review Date: 10/12/2025

Status: Approved

Risk Assessment Process

The risk assessment process involves evaluating risks to determine their potential impact on the organization’s
objectives. This document outlines the steps taken to assess risks, evaluate their potential effects, and prioritize
them based on their severity.

Risk Assessment Steps

1. Identify Risks
Risks are identified using various methods including workshops, interviews, and historical data review.
The focus is on strategic, operational, financial, and compliance risks.
2. Risk Evaluation
Each risk is evaluated based on its likelihood of occurrence and its potential impact on the organization. A
risk matrix is used to score each risk.
 3. Risk Prioritization
After scoring, risks are prioritized for mitigation. Risks with higher scores are given more attention, while
lower scores may be monitored periodically.
4. Mitigation Planning
For each prioritized risk, mitigation plans are developed and implemented. These may include contingency
plans, additional resources, or process improvements.
5. Review and Monitoring
Continuous monitoring is done to track risk levels, evaluate the effectiveness of mitigation actions, and
identify any new emerging risks.

Key Tips for Risk Management and Risk Assessment Documents:

1. Clear Documentation: Both the Risk Management Document and Risk Assessment Document should
clearly define the process, risk categories, and steps for handling each risk.
2. Use of a Risk Register: Keep a centralized Risk Register that tracks all identified risks, their status, and
mitigation efforts to ensure that all potential issues are monitored and mitigated effectively.
3. Regular Review: Regularly review and update risk management and risk assessment documents to reflect
changing circumstances and new risks that may emerge.
4. Collaboration: Engage stakeholders from different departments when identifying and assessing risks to
ensure that all perspectives are considered.
5. Action-Oriented: Ensure that each risk identified has clear mitigation strategies and action plans to
minimize the potential impact on the business.
 Hazard Identification and Risk Assessment Report

Document Title: Hazard Identification and Risk Assessment Report

Document Number: IMS-HIRAR-001
Version: 1.0
Date: 10/12/2024
Prepared by: John Doe, Safety Officer
Reviewed by: Risk Management Committee
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Introduction

This report outlines the process of identifying hazards, assessing the associated risks, and implementing control
measures to prevent accidents and ensure safety in the workplace. The report is based on a thorough assessment of
all operational activities, equipment, and workplace conditions.

Hazard Identification Process

The Hazard Identification process involves a systematic approach to identifying potential hazards that could
cause harm to employees, contractors, or visitors. These hazards include physical, chemical, biological,
ergonomic, and psychosocial factors.

1. Workplace Inspections
Regular inspections are conducted to identify any hazards related to machinery, equipment, materials, or
processes used in operations.
2. Employee Input
Feedback from employees through surveys, interviews, and safety meetings to identify any perceived risks
or concerns.
3. Incident and Accident Records
Review of past incident reports and accident data to determine recurring hazards.
4. Hazardous Materials Assessment
Identification of chemicals, gases, or other hazardous substances used in production or maintenance
processes.

Risk Assessment Process

1. Risk Rating Criteria

Risks are rated based on two main factors:
o Likelihood (L): Probability of the hazard occurring (1–5 scale).
o Impact (I): Severity of the consequences if the hazard occurs (1–5 scale).

The risk score is calculated using the formula:

Risk Score = Likelihood x Impact

Risk Assessment Matrix

Likelihood Impact Risk Level Action Required
1 – Unlikely 1 – Insignificant Low Risk Monitor and review periodically
2 – Possible 2 – Minor Low Risk Implement minor controls
3 – Likely 3 – Moderate Medium Risk Implement additional controls
4 – Very Likely 4 – Major High Risk Immediate action required
5 – Almost Certain 5 – Catastrophic Critical Risk Urgent and corrective action required
Page 1 of 2
Hazard Identification and Risk Assessment Table

This table lists all identified hazards, their corresponding risk scores, and the actions required to mitigate those
risks.

Hazard Hazard Likelihood Impact Risk Risk Control Responsible Review

ID Description (L) (I) Score Level Measures Person Date
(L x I)
H001 Slip and fall due 3 3 9 Medium Place warning Safety Officer 10/12/2025
to wet floors Risk signs, install
non-slip mats
H002 Exposure to 4 4 16 High Provide PPE, Operations 10/12/2025
hazardous Risk install Manager
chemicals ventilation,
proper storage
H003 Electrical shock 2 5 10 High Regular Maintenance 10/12/2025
from exposed Risk inspection, Manager
wires install covers,
isolate circuits
H004 Ergonomic 3 2 6 Low Ergonomics HR Manager 10/12/2025
strain from Risk training,
improper adjustable
workstation workstations
setup
Control Measures
The following control measures are implemented to mitigate identified risks:

1. Engineering Controls
o Installation of safety barriers and guards on machinery.
o Proper ventilation systems for toxic fumes and gases.
2. Administrative Controls
o Regular employee training on safety procedures.
o Clear signage to warn about potential hazards.
3. Personal Protective Equipment (PPE)
o Providing gloves, helmets, goggles, and other safety equipment based on the identified risks.
4. Safe Work Practices
o Developing standard operating procedures (SOPs) for safe operation of machinery.
o Implementing lockout/tagout procedures for maintenance activities.

Monitoring and Review

• Monitoring: Continuous monitoring of control measures is necessary to ensure their effectiveness. This includes
regular safety audits, inspections, and incident reporting.
• Review: The Hazard Identification and Risk Assessment process is reviewed annually or when significant changes
in operations occur, such as new equipment or processes.

Conclusion

This Hazard Identification and Risk Assessment Report provides a comprehensive assessment of all identified
hazards and outlines strategies for mitigating potential risks. Through continuous improvement and adherence to
safety measures, we strive to maintain a safe working environment.

Review Date: 10/12/2025

Status: Approved Page 2 of 2
Key Tips for Hazard Identification and Risk Assessment Reports:

1. Thorough Hazard Identification: Involve employees in identifying potential hazards, as they are often
the first to recognize risks that may not be immediately obvious.
2. Use of Risk Matrices: Utilize a Risk Assessment Matrix to assess and prioritize risks based on their
likelihood and impact. This will help in determining which risks require immediate action.
3. Regular Review and Update: Continually review and update risk assessments to adapt to any changes in
operations, procedures, or regulations.
4. Clear Control Measures: Ensure that control measures are practical, measurable, and implementable.
Always focus on reducing risks to acceptable levels.
5. Employee Involvement: Engage employees in the risk assessment process and provide ongoing safety
training to foster a safety-first culture.
 Risk Register

Document Title: Risk Register

Document Number: IMS-RR-001
Version: 1.0
Date: 10/12/2024
Prepared by: John Doe, Risk Manager
Reviewed by: Risk Management Committee
Approved by: Michael Johnson, CEO
Version Date: 10/12/2024

Risk Register Overview

The Risk Register is a central document used to track and manage the risks identified in the organization. It helps
ensure that potential risks are systematically documented, assessed for severity, and assigned appropriate
mitigation actions to reduce or eliminate their impact on operations.

Risk Register Format

Risk Risk Likelihoo Impac Risk Risk Control Responsibl Mitigatio Review Statu
ID Description d (L) t (I) Scor Level Measures e Person n Date s
e (L Deadline
x I)
R00 Supply 3 5 15 High Diversify Operations 10/12/202 10/12/202 Activ
1 chain Risk suppliers, Manager 4 5 e
disruption maintain
due to buffer
natural inventory,
disaster insurance
R00 Data breach 4 5 20 High Install IT Manager 15/12/202 10/12/202 Activ
2 due to Risk advanced 4 5 e
inadequate encryption,
cybersecuri regular
ty security
audits
R00 Employee 2 4 8 Mediu Provide Safety 30/12/202 10/12/202 Activ
3 injury from m Risk PPE, Officer 4 5 e
unsafe work conduct
environmen regular
t safety
training
R00 Equipment 3 3 9 Mediu Preventive Maintenanc 15/01/202 10/12/202 Activ
4 failure due m Risk maintenanc e Manager 5 5 e
to lack of e schedule,
maintenanc spare parts
e inventory
R00 Regulatory 2 4 8 Mediu Regular Compliance 30/01/202 10/12/202 Activ
5 non- m Risk audits, Officer 5 5 e
compliance ensure
affecting compliance
product with
sales updated
regulations
Page 1 of 2
Key Elements in the Risk Register
1. Risk ID: A unique identifier assigned to each risk to track and reference it easily.
2. Risk Description: A clear and concise description of the identified risk, outlining the potential event or condition
that could cause harm.
3. Likelihood (L): The probability of the risk occurring, rated on a scale of 1 to 5 (1 = Unlikely, 5 = Almost Certain).
4. Impact (I): The potential impact or consequence if the risk occurs, rated on a scale of 1 to 5 (1 = Insignificant, 5 =
Catastrophic).
5. Risk Score (L x I): The product of the likelihood and impact ratings, used to assess the overall risk level (high,
medium, low).
6. Risk Level: A classification of the risk as Low, Medium, or High based on the risk score.
7. Control Measures: The specific actions, processes, or tools to mitigate the identified risk. These could include
preventive measures, training programs, equipment upgrades, or safety procedures.
8. Responsible Person: The individual or team responsible for managing the risk and ensuring the control measures
are implemented.
9. Mitigation Deadline: The date by which mitigation actions should be completed or reviewed.
10. Review Date: The date the risk and mitigation plan will be reviewed to ensure its continued relevance.
11. Status: The current status of the risk (e.g., Active, Resolved, Pending).

Risk Rating Scale

Likelihood Impact Risk Level Action Required
1 – Unlikely 1 – Insignificant Low Risk Monitor periodically
2 – Possible 2 – Minor Low Risk Implement minor controls
3 – Likely 3 – Moderate Medium Risk Implement additional controls
4 – Very Likely 4 – Major High Risk Immediate action required, prioritize action
5 – Almost Certain 5 – Catastrophic Critical Risk Urgent action required, develop contingency plan

Review and Update Procedure

• The Risk Register should be reviewed at least quarterly to assess the status of active risks and any new risks that
have been identified.
• For each risk, the control measures should be evaluated for effectiveness and updated as necessary.
• Risks that have been resolved or no longer present a significant threat should be moved to the Resolved category
and documented in the risk history log.
• Regular updates on risk mitigation actions should be tracked and included in management meetings for
transparency.

Risk History Log

Risk Risk Description Status Date Comments
ID Resolved
R001 Supply chain Resolved 10/11/2024 Supplier diversification completed, no further risk
disruption identified.
R002 Data breach Active New encryption measures implemented, monitoring in
place.

Conclusion

This Risk Register serves as a tool for continuously identifying, assessing, and managing risks. It ensures that
risks are mitigated proactively, responsibilities are clear, and mitigation efforts are effectively monitored. Regular
updates and reviews of the register are essential to maintaining a safe and efficient operational environment.

Review Date: 10/12/2025

Status: Approved
Page 2 of 2
Key Tips for Creating and Maintaining a Risk Register:

1. Categorize Risks Clearly: Ensure that each risk is clearly described, and its potential consequences are
detailed to prevent ambiguity.
2. Regular Updates: The risk register should be updated frequently, especially after changes in operations,
new projects, or emerging risks.
3. Assign Accountability: Clearly define who is responsible for managing each risk to ensure accountability
and timely action.
4. Use the Risk Matrix: The use of a risk rating system (likelihood x impact) helps prioritize risks and focus
attention on the most critical ones.
5. Monitor Control Measures: Track the progress of mitigation actions and ensure they are effective. If the
risk level changes, update the mitigation plans accordingly.
 Legal and Regulatory Compliance Record

Document Title: Legal and Regulatory Compliance Record

Document Number: IMS-LRCR-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, Compliance Officer
Reviewed by: Legal and Compliance Committee
Approved by: Arvind Patel, CEO
Version Date: 10/12/2024

Compliance Record Format

Compliance Regulation/Standa Regulatory Compliance Responsible Complianc Next Comments
Area rd Body Requirement Department e Status Review
Date
Labor Laws The Factories Act, Ministry of Ensure HR & Compliant 10/12/202 Regular
1948 Labour and safety, Operations 5 safety
Employme health, and audits and
nt welfare of worker
workers in welfare
manufacturi programs in
ng processes place
Environment The Air Central Control air Environment Non- 01/01/202 Action
al (Prevention and Pollution pollution, al Compliant 5 required to
Compliance Control of Control emission Managemen upgrade air
Pollution) Act, Board monitoring, t filtration
1981 (CPCB) and maintain systems to
pollution comply
standards with
emission
limits
Data Privacy The Information Ministry of Safeguard IT and Legal Compliant 10/12/202 Regular
Technology Act, Electronics personal 5 audits for
2000 (IT Act) and IT data, ensure data
(MeitY) secure protection
electronic and privacy
transactions practices
Industrial Industrial Disputes Ministry of Ensure fair HR & Legal Compliant 10/12/202 No ongoing
Relations Act, 1947 Labour and treatment 5 disputes;
Employme and collective
nt resolution of bargaining
industrial agreement
disputes s in place
Tax Goods and GST Timely filing Finance Compliant 31/12/202 GST returns
Compliance Services Tax (GST) Council of GST 4 filed for the
Act, 2017 and CBIC returns, tax current
payment, quarter, no
and outstandin
maintaining g tax
proper liabilities
records
Product Consumer Ministry of Ensure Quality and Compliant 01/01/202 All products
Safety Protection Act, Consumer products are R&D 5 tested and
2019 Affairs safe for certified for
consumer
 use and safety prior
meet safety to release
standards
Intellectual The Patents Act, Controller Ensure Legal and Compliant 10/12/202 Regular
Property 1970 General of patents are R&D 5 patent
Patents filed for filings for
innovations new
and product
intellectual designs
property is
protected
Foreign Foreign Exchange Reserve Ensure Legal and Compliant 10/12/202 All foreign
Exchange Management Act, Bank of compliance Finance 5 transaction
1999 (FEMA) India (RBI) with foreign s and
exchange remittances
regulations have been
and documente
remittances d and
reported
Health and The Employees' Employees' Provide HR and Compliant 10/12/202 ESIC
Safety State Insurance State insurance Operations 5 contributio
Act, 1948 Insurance benefits and ns paid
Corporatio medical care regularly,
n (ESIC) for no pending
employees claims
Regulatory The Companies Ministry of Ensure Finance and Compliant 31/12/202 Annual
Reporting Act, 2013 Corporate annual filing Legal 4 filing
Affairs of financial completed,
(MCA) statements, no
board penalties or
resolutions, delays
and other
filings

Key Elements in the Legal and Regulatory Compliance Record

1. Compliance Area: The general area of compliance (e.g., Labor Laws, Environmental Compliance, Tax
Compliance).
2. Regulation/Standard: The specific regulation, law, or standard that needs to be complied with (e.g., The Factories
Act, 1948, GST Act, 2017).
3. Regulatory Body: The government agency or authority responsible for enforcing the regulation (e.g., Ministry of
Labour and Employment, Central Pollution Control Board, Ministry of Consumer Affairs).
4. Compliance Requirement: A brief description of the compliance requirement that the organization needs to meet
(e.g., timely filing of tax returns, maintaining a safe working environment).
5. Responsible Department: The department responsible for ensuring compliance (e.g., HR, Finance, Legal,
Operations).
6. Compliance Status: The current status of compliance (e.g., Compliant, Non-Compliant, Pending).
7. Next Review Date: The next scheduled review date to ensure continued compliance or address any changes in
regulation.
8. Comments: Any additional notes, actions taken, or specific challenges regarding compliance (e.g., pending
actions, audits, corrective measures needed).
Review and Update Procedure

• Regular Review: The compliance record should be reviewed at least annually or when significant changes to
regulations occur. Departments responsible for compliance should provide updates on their status and any
upcoming actions.
• Corrective Actions: If a non-compliance issue is identified, corrective actions must be documented, and progress
tracked until compliance is achieved.
• Regulatory Changes: Any changes in regulations or laws should be noted, and departments must take steps to
update their processes and ensure compliance with the new requirements.

Review Date: 10/12/2025

Status: Approved

Key Tips for Managing Legal and Regulatory Compliance Records in India:

1. Clear Ownership: Assign clear ownership of compliance requirements to specific departments to ensure
accountability.
2. Regular Monitoring: Ensure that the compliance record is reviewed and updated regularly to address any
regulatory changes or new obligations.
3. Effective Communication: Ensure there is effective communication between departments to ensure everyone is
aware of their responsibilities regarding compliance.
4. Documentation: Keep a detailed and organized log of all compliance-related documents, including reports,
licenses, certifications, and audit results.
5. Training: Provide ongoing training to employees on legal and regulatory requirements to ensure they understand
and follow compliance processes.
 KPI (Key Performance Indicators)

Document Title: Key Performance Indicators (KPIs) for Manufacturing Operations

Document Number: IMS-KPI-MF-001
Version: 1.0
Date: 10/12/2024
Prepared by: Ravi Kumar, Operations Manager
Reviewed by: Production and Quality Control Teams
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

KPI Categories and Definitions

KPI Area KPI Definition Target/Benchmark Responsible Review
Department Frequency
Production Overall Measures the efficiency of ≥ 85% OEE Production Monthly
Efficiency Equipment manufacturing equipment
Effectiveness by evaluating availability,
(OEE) performance, and quality.
Production Production Total time during which < 5% of total time Maintenance & Weekly
Efficiency Downtime production equipment is Production
not operational due to
failures or maintenance.
Quality First Pass Yield Percentage of products ≥ 95% FPY Quality Control Weekly
Management (FPY) that meet quality & Production
standards without rework.
Quality Defect Rate Percentage of defective ≤ 2% defect rate Quality Control Monthly
Management products produced during
manufacturing.
Cost Cost per Unit The cost incurred to ₹100 per unit Finance & Monthly
Management produce a single unit of Production
product, including labor,
materials, and overheads.
Cost Material Yield The amount of usable ≥ 90% material Production Monthly
Management material produced yield
compared to the raw
material input.
Safety Lost Time Injury Measures the frequency < 1 LTIFR HR & Safety Monthly
Frequency Rate of work-related injuries
(LTIFR) leading to lost time.
Safety Accident Rate The number of accidents ≤ 0.5 HR & Safety Monthly
that occur per month in accidents/month
the workplace.
Maintenance Mean Time The average time ≥ 150 hours Maintenance Monthly
Between between equipment
Failures (MTBF) breakdowns.
Maintenance Mean Time to The average time taken to ≤ 4 hours Maintenance Monthly
Repair (MTTR) repair equipment after a
breakdown.
Inventory Inventory The number of times ≥ 6 times/year Logistics & Monthly
Management Turnover Ratio inventory is used or sold Production
during a period.
Supply Chain On-Time Percentage of orders ≥ 98% OTD Logistics & Weekly
Management Delivery (OTD) delivered on or before the Production
scheduled date.
 Customer Customer Number of customer ≤ 1 complaint per Customer Monthly
Satisfaction Complaints complaints received month Service &
related to product defects Quality
or delivery.
Environmental Waste Recycling Percentage of waste ≥ 80% recycling Environmental Quarterly
Compliance Rate recycled or reused in the rate Management
manufacturing process.
Environmental Energy The energy consumed per ≤ 1.2 kWh per unit Energy Monthly
Compliance Efficiency unit of product Management
manufactured.
Productivity Output per Average number of ≥ 200 HR & Monthly
Employee products produced per units/employee Production
employee during a
specific time period.

KPI Details and Calculation Methods

1. Overall Equipment Effectiveness (OEE):

o Formula: OEE = (Availability) × (Performance) × (Quality)
o Availability = (Operating Time / Planned Production Time) × 100
o Performance = (Ideal Cycle Time × Total Units Produced) / Operating Time
o Quality = (Good Units Produced / Total Units Produced) × 100
o Target: ≥ 85%
2. First Pass Yield (FPY):
o Formula: FPY = (Number of Good Units Produced / Total Units Produced) × 100
o Target: ≥ 95%
3. Cost per Unit:
o Formula: Cost per Unit = (Total Production Costs) / (Total Units Produced)
o Target: ₹100 per unit
4. Lost Time Injury Frequency Rate (LTIFR):
o Formula: LTIFR = (Number of Lost Time Injuries / Total Hours Worked) × 1,000,000
o Target: < 1 LTIFR
5. Mean Time Between Failures (MTBF):
o Formula: MTBF = (Total Operating Time) / (Number of Breakdowns)
o Target: ≥ 150 hours
6. On-Time Delivery (OTD):
o Formula: OTD = (Number of Orders Delivered On Time / Total Orders) × 100
o Target: ≥ 98%
7. Waste Recycling Rate:
o Formula: Waste Recycling Rate = (Recycled Waste / Total Waste) × 100
o Target: ≥ 80% recycling rate

Review and Update Procedure

• Review Frequency: KPIs are reviewed monthly for operational efficiency, quality, and safety metrics. Key areas
like cost, production, and maintenance KPIs are reviewed regularly for any necessary adjustments.
• Performance Analysis: Any deviation from targets will trigger corrective actions or improvement plans, including
equipment upgrades, workforce training, or process changes.
• Stakeholder Involvement: KPIs should be communicated regularly to relevant departments to ensure cross-
functional alignment and transparency.

Review Date: 10/12/2025

Status: Approved
Key Tips for Managing KPIs in Manufacturing:

1. Clear Objective Alignment: Ensure that KPIs are aligned with business goals and strategic objectives (e.g.,
efficiency, cost reduction, customer satisfaction).
2. Consistent Monitoring: Track KPIs consistently to identify trends and potential issues before they impact
operations.
3. Data-Driven Decisions: Make decisions based on actual KPI data to improve operational performance and reduce
risks.
4. Employee Engagement: Share KPI results with employees to create awareness and motivate them to improve
performance.
5. Benchmarking: Compare KPIs against industry benchmarks or historical performance to set realistic targets and
improve competitiveness.
 Employee Awareness Record

Document Title: Employee Awareness Record

Document Number: HR-EAR-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, HR Manager
Reviewed by: HR and Operations Teams
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Employee Awareness Record Format

Employ Employ Departme Awareness Date of Mode of Traine Awarene Next Commen
ee ee ID nt Program Training Training (In- r ss Status Review ts
Name person/Onli Name Date
ne)
Rajesh E001 Production Safety 10/12/20 In-person R. Complet 10/12/20 Attende
Kumar Procedures 24 Singh ed 25 d all
safety
training
modules
Anita E002 HR Employee 09/12/20 Online P. Complet 09/12/20 Awarene
Verma Benefits 24 Sharm ed 25 ss
a confirme
d
through
online
test
Ravi E003 Maintenan Environmen 08/12/20 In-person M. In 08/06/20 Training
Kumar ce tal Policies 24 Sharm Progress 25 schedule
a d for
next
week

Key Areas Covered in Employee Awareness Programs

• Safety Procedures: Includes knowledge about workplace safety, emergency procedures, fire drills, and personal
protective equipment (PPE) requirements.
• Employee Benefits: Information about health benefits, leave policies, provident fund, insurance schemes, etc.
• Environmental Policies: Includes awareness about sustainable practices, waste management, recycling, and
compliance with environmental laws.
• Regulatory Compliance: Covers legal compliance, anti-corruption policies, labor law awareness, and industry-
specific regulations.
• Quality Management: Focuses on quality standards, production processes, and methods to ensure product
integrity.

Review and Update Procedure

• Review Frequency: Employee awareness records are reviewed annually to ensure that all employees are kept up-
to-date with relevant policies and regulations.
• Training Updates: Awareness programs are updated whenever there is a change in industry regulations, company
policies, or operational procedures.

Review Date: 10/12/2025

Status: Approved
 Employee Engagement Survey Document

Document Title: Employee Engagement Survey

Document Number: HR-EES-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, HR Manager
Reviewed by: HR and Management Teams
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Employee Engagement Survey Format

Survey Employee Department Engagement Factor Rating Comments
Date Name (1-5)
01/12/2024 Rajesh Production Job Satisfaction 4 Overall satisfied but would prefer
Kumar more opportunities for growth
01/12/2024 Anita HR Communication with 5 Clear communication, regular updates
Verma Leadership from management
01/12/2024 Ravi Kumar Maintenance Work-Life Balance 3 Balancing work with personal life is
challenging, especially during peak
times
01/12/2024 Neha Yadav Quality Professional 4 More training sessions needed for
Control Development career development

Key Engagement Factors Tracked

1. Job Satisfaction: Measures overall satisfaction with job role, responsibilities, and growth opportunities.
2. Communication with Leadership: Measures the clarity and transparency of communication between employees
and management.
3. Work-Life Balance: Assesses employees’ ability to balance professional and personal responsibilities.
4. Professional Development: Tracks employees' satisfaction with the training, development programs, and
opportunities for career advancement.

Survey Scoring and Interpretation

• Rating Scale:
o 1 = Very Unsatisfied
o 2 = Unsatisfied
o 3 = Neutral
o 4 = Satisfied
o 5 = Very Satisfied
• Interpretation: Scores of 4 or 5 indicate positive engagement, while scores of 3 or below may indicate areas that
need attention or improvement.

Review and Follow-Up Procedure

• Review Frequency: Employee engagement surveys are conducted quarterly to gather feedback on engagement
and satisfaction levels.
• Follow-Up Actions: The HR department compiles the survey results, identifies key trends, and develops action
plans to address issues or areas for improvement. Follow-up surveys may be conducted to gauge the effectiveness
of changes made.

Review Date: 10/12/2025

Status: Approved
Key Tips for Managing Employee Awareness and Engagement

1. Clear Communication: Ensure that awareness programs are clear, engaging, and relevant to employees' roles and
responsibilities.
2. Frequent Surveys: Conduct regular engagement surveys to gather actionable feedback and ensure employees
feel heard and valued.
3. Anonymous Feedback: Allow employees to provide anonymous feedback in engagement surveys to encourage
honesty.
4. Action on Feedback: Act on the feedback received to demonstrate that the company values employee input and
is committed to making improvements.
5. Training and Development: Use employee engagement survey results to identify areas where further training
and development may be needed to boost morale and engagement.
 Employee Health and Safety Training Record

Document Title: Employee Health and Safety Training Record

Document Number: HR-HSTR-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, HR Manager
Reviewed by: HR and Safety Teams
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Employee Health and Safety Training Record Format

Emplo Emplo Depart Trainin Train Date of Training Traini Trainin Certifica Next Commen
yee yee ID ment g Type er Trainin Mode (In- ng g tion Trainin ts
Name Nam g person/O Durat Compl Provide g Date
e nline) ion eted d
(Yes/N (Yes/No
o) )
Rajes E001 Producti Forklift M. 10/12/2 In-person 3 Yes Yes 10/12/2 Complete
h on Safety Shar 024 hours 025 d
Kuma ma practical
r assessme
nt
successfu
lly
Anita E002 HR Fire R. 09/12/2 Online 2 Yes Yes 09/12/2 Passed
Verm Safety Sing 024 hours 025 online
a & h test with
Emerg 95%
ency score
Proced
ures
Ravi E003 Mainten Electric K. 08/12/2 In-person 4 Yes Yes 08/12/2 Demonst
Kuma ance al Patel 024 hours 025 rated
r Safety safe work
practices
during
training
Neha E004 Quality Hazard S. 11/12/2 In-person 5 Yes Yes 11/12/2 Complete
Yadav Control ous Meht 024 hours 025 d hands-
Materi a on
als training
Handli with PPE
ng usage
Key Training Areas Covered
• Forklift Safety: Training on the safe operation of forklifts, proper handling techniques, and the prevention of
accidents.
• Fire Safety & Emergency Procedures: Instruction on fire hazards, emergency evacuation procedures, use of fire
extinguishers, and workplace emergency response plans.
• Electrical Safety: Training on electrical hazards, safety protocols for working with electrical equipment, and
proper handling of electrical tools.
• Hazardous Materials Handling: Instruction on the safe handling, storage, and disposal of hazardous materials,
including chemicals, and the use of Personal Protective Equipment (PPE).
Training Scoring and Evaluation
• Training Assessment: At the end of each training session, employees are evaluated through a practical test,
online quiz, or written assessment.
o Pass Criteria: A minimum of 80% score or successful demonstration in practical assessments.
o Training Completion Certificate: Certificates are issued to employees who successfully complete the
training and meet the evaluation criteria.

Review and Update Procedure

• Review Frequency: Health and safety training records should be reviewed annually to ensure that all employees
receive required training based on their job roles and industry regulations.
• Training Refreshers: For certain high-risk areas (e.g., forklift safety, electrical safety), employees will undergo
refresher training every 12 months to ensure they are up-to-date with safety procedures.

Certificate for Health and Safety Training

Certificate of Completion
Issued by: [Company Name]
Employee Name: Rajesh Kumar
Employee ID: E001
Department: Production
Training Program: Forklift Safety Training
Trainer: M. Sharma
Date of Training: 10/12/2024
Training Mode: In-person
Training Duration: 3 hours
Certification Status: Successfully Completed

This is to certify that the above-named employee has successfully completed the Forklift Safety training program
on the stated date and has demonstrated a full understanding of safe forklift operations in the workplace.

Certificate Validity: 10/12/2025

Next Review/Training Date: 10/12/2025

Review and Follow-Up Procedure

• Review Frequency: Health and safety training is reviewed on an annual basis to assess whether the training
program meets the evolving needs of employees and complies with local regulations.
• Follow-Up: Employees are tracked for their next scheduled training or refresher course to ensure they continue to
stay up to date with safety standards.

Review Date: 10/12/2025

Status: Approved

Key Tips for Managing Health and Safety Training Records

1. Regular Updates: Ensure training records are updated immediately after each training session to keep them
current.
2. Clear Documentation: Provide clear documentation of training topics, duration, trainer details, and assessment
results.
3. Track Expirations: Maintain reminders for refresher training based on the expiry dates of certifications or previous
training.
4. Interactive Training: Use a mix of in-person and online training to suit different learning styles and increase
employee engagement.
5. Audit Compliance: Ensure that training records are readily available for audits and regulatory inspections.
 Infrastructure and Resource Management Record

Document Title: Infrastructure and Resource Management Record

Document Number: IRM-001
Version: 1.0
Date: 10/12/2024
Prepared by: Rajesh Kumar, Operations Manager
Reviewed by: Operations, HR, and Maintenance Teams
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Infrastructure and Resource Management Record Format

Resource Resour Type of Locatio Responsibl Date of Conditi Last Next Usa Commen
Name ce ID Resourc n e Acquisit on Maintena Maintena ge ts
e Departme ion nce Date nce Due Stat
nt us
Forklift R001 Machin Wareho Operations 01/10/20 Good 10/12/202 10/06/202 In Schedule
ery use 1 22 4 5 Use d for
routine
check-up
AC R002 Equipm Producti Facility 15/06/2 Fair 01/12/202 01/12/202 In Needs
System ent on 2 Managem 020 4 5 Use filter
(Cooling) ent cleaning
CNC R003 Machin Producti Manufactu 05/08/2 Excelle 01/12/202 01/06/202 Idle Awaiting
Machine ery on 3 ring 021 nt 4 5 parts for
upcomin
g project
Air R004 Equipm Worksh Maintenan 12/11/20 Good 10/12/202 10/12/202 In No issues
Compres ent op 1 ce 23 4 5 Use reported
sor since last
check
Generat R005 Machin Backup Operations 01/09/2 Good 01/12/202 01/12/202 In Running
or Set ery Shed 018 4 5 Use well,
routine
maintena
nce
pending
Key Areas Covered in Infrastructure and Resource Management

• Resource Type: The type of resource (e.g., machinery, equipment, tools, etc.) helps in classifying the resources
and tracking their utilization based on the category.
• Location: Ensures that resources are tracked by their location to ensure accessibility and avoid misplacement.
• Responsible Department: Indicates which department is responsible for the usage and maintenance of the
resource.
• Condition: The current state of the resource, categorized as Good, Fair, Poor, or Excellent, helps in identifying
potential issues or areas requiring attention.
• Maintenance Schedule: Maintains records of the last and upcoming maintenance for each resource. Regular
maintenance ensures the longevity and efficient performance of resources.
• Usage Status: Tracks whether the resource is in use, idle, or under repair. It helps ensure that no resource is
underutilized and helps identify resources that may need servicing.
Maintenance and Servicing Record
Resource Maintenance Type of Service Next Service Cost of Comments
Name Date Service Provider Due Maintenance
Forklift 10/12/2024 Routine ABC 10/06/2025 ₹5,000 No major issues
Check-Up Engineering reported
AC System 01/12/2024 Filter CoolTech 01/12/2025 ₹2,000 Minor repairs
(Cooling) Cleaning Solutions needed
CNC Machine 01/12/2024 Full Precision 01/06/2025 ₹15,000 Awaiting spare
Inspection Tools Ltd. parts for
replacement
Air 10/12/2024 Pressure AirPro Tech 10/12/2025 ₹3,000 Functioning
Compressor Test properly after
servicing
Generator Set 01/12/2024 Oil Change Power 01/12/2025 ₹4,500 Running optimally
Solutions after maintenance
Key Resource Management Aspects

1. Resource Allocation: Ensure that resources are allocated efficiently to avoid unnecessary downtime or underuse.
Resources should be available when needed.
2. Usage Monitoring: Track the usage of each resource to prevent misuse or excessive wear. Resources that are used
infrequently should be reassigned or optimized.
3. Preventive Maintenance: Schedule and maintain records of preventive maintenance to ensure that resources are
always in good working condition. This includes routine checks, servicing, and part replacements.
4. Cost Control: Track the costs associated with each resource, including maintenance and repairs, to help with
budgeting and controlling operational costs.

Review and Follow-Up Procedure

• Review Frequency: Infrastructure and resource management records should be reviewed quarterly by the
Operations and Maintenance Teams to ensure that resources are being utilized optimally.
• Follow-Up: The Operations Manager will follow up on any discrepancies noted in the records, such as resources in
poor condition or those needing urgent repairs. If maintenance or reallocation is required, the necessary action will
be taken immediately.

Review Date: 10/12/2025

Status: Approved

Key Tips for Managing Infrastructure and Resource Records

1. Accurate Record-Keeping: Ensure that all records are updated promptly after each resource allocation, usage, or
maintenance activity.
2. Preventive Maintenance: Establish a strong preventive maintenance system to minimize downtime and extend
the lifespan of equipment.
3. Track Resource Utilization: Regularly review the usage status of resources to ensure they are being efficiently
used.
4. Detailed Comments: Use the comments section to provide additional details that can help in decision-making,
such as minor issues, repair suggestions, or observations from the maintenance team.
 Training Evaluation Record

Document Title: Training Evaluation Record

Document Number: TER-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, HR Manager
Reviewed by: HR and Department Heads
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Training Evaluation Record Format

Emplo Emplo Trainin Train Trainin Departm Evalua Knowle Trainin Applica Overall Comme
yee yee ID g er g Date ent tion dge g tion in Satisfac nts /
Name Progra Nam Score Gained Relevan Job tion Suggest
m Title e (1-5) (Yes/N ce ions
o)
Rajesh E001 Forklift M. 10/12/2 Operatio 5 Yes Highly Yes 5 Great
Kumar Safety Shar 024 ns Relevan hands-
Trainin ma t on
g experie
nce,
very
useful
training.
Anita E002 Fire R. 09/12/2 HR 4 Yes Relevan Yes 4 More
Verma Safety Sing 024 t practical
Aware h sessions
ness would
be
helpful.
Ravi E003 Electric K. 08/12/2 Mainten 3 No Modera No 3 Some
Kumar al Patel 024 ance tely concept
Safety Relevan s were
Trainin t unclear,
g needs
more
example
s.
Neha E004 Hazard S. 11/12/2 Quality 5 Yes Highly Yes 5 Very
Yadav ous Meht 024 Control Relevan informa
Materi a t tive and
als practical
Handli ,
ng especiall
y the
PPE.

Training Evaluation Criteria

1. Evaluation Score (1-5):

o 1 = Poor, 2 = Fair, 3 = Good, 4 = Very Good, 5 = Excellent
o Participants rate the overall quality of the training based on their perception of the session.
2. Knowledge Gained (Yes/No):
o Indicates whether the participant feels that they have gained new knowledge or skills from the training.
 3. Training Relevance:
o Participants evaluate how relevant the training was to their job role and responsibilities.
4. Application in Job:
o Participants assess whether they can apply the skills and knowledge gained during the training in their
daily job tasks.
5. Overall Satisfaction:
o A general satisfaction rating for the training program as a whole.
6. Comments / Suggestions:
o Open section for participants to provide qualitative feedback, suggestions for improvement, or specific
comments about the training session.

Training Evaluation Summary

Training Total Average Knowledge Relevance Job Overall Training
Program Participants Evaluation Gained (%) Rating (%) Application Satisfaction Effectiveness
Title Score Rating (%) Rating
Forklift 5 4.8 100% 100% 100% 100% Highly
Safety Effective
Training
Fire Safety 4 4.3 100% 90% 90% 95% Effective
Awareness
Electrical 3 3.5 66.67% 75% 50% 70% Moderately
Safety Effective
Training
Hazardous 5 4.9 100% 100% 100% 100% Highly
Materials Effective
Handling
Training Improvement Actions Based on Evaluation

1. Forklift Safety Training: Excellent feedback overall, no changes needed.

2. Fire Safety Awareness: Add more practical sessions for hands-on experience.
3. Electrical Safety Training: Improve clarity of concepts with more examples, especially related to safety measures
for electrical equipment.
4. Hazardous Materials Handling: Continue with the current approach as feedback is highly positive.

Follow-up Procedure

• Follow-up with Employees: If any issues or concerns were raised during the evaluation (e.g., unclear concepts,
suggestions for more practical training), HR will follow up to ensure that the concerns are addressed in future
sessions.
• Trainer Feedback: Trainers will be provided with aggregated feedback from participants to help them improve
their future training sessions.

Review Date: 10/12/2025

Status: Approved

Key Tips for Managing Training Evaluation Records

1. Timely Feedback Collection: Collect evaluations immediately after the training session to ensure that feedback is
fresh and relevant.
2. Clear Evaluation Criteria: Provide clear and objective evaluation criteria to help participants give accurate
feedback.
3. Actionable Insights: Use evaluation results to improve future training programs and address any gaps or issues
identified by participants.
4. Follow-Up on Suggestions: Act on suggestions and comments to ensure continuous improvement of the training
process.
 Competency Assessment Record

Document Title: Competency Assessment Record

Document Number: CAR-001
Version: 1.0
Date: 10/12/2024
Prepared by: Priya Sharma, HR Manager
Reviewed by: HR, Operations, and Department Heads
Approved by: Sanjay Mehra, CEO
Version Date: 10/12/2024

Competency Assessment Record Format

Emplo Emplo Job Role Departm Assessm Competenc Competen Assessm Develop Comments /
yee yee ID ent ent Date y Areas cy Level ent ment Recommend
Name Assessed Method Needs ations
Rajesh E001 Forklift Operatio 10/12/20 Safety, 4 (Skilled) Practical No Very
Kumar Operato ns 24 Operation, Assessm immediat proficient, no
r Maintenanc ent e needs further
e training
required
Anita E002 HR HR 09/12/20 Communica 3 Intervie Improve Should
Verma Coordin 24 tion, (Intermedi w, negotiati attend
ator Problem ate) Written on skills communicati
Solving Test on skills
training
Ravi E003 Electrica Maintena 08/12/20 Technical 2 (Basic) Written Needs Should
Kumar l nce 24 Knowledge, Test, refresher attend safety
Technici Safety Observa training and technical
an tion workshops
Neha E004 Quality Quality 11/12/20 Attention 5 (Expert) Practical No Excellent
Yadav Inspecto Control 24 to Detail, Assessm immediat performance,
r Analysis ent e needs no further
action
needed

Competency Level Scale

Competency Description
Level
5 - Expert Demonstrates expert-level knowledge and skills. Requires no supervision or guidance.
4 - Skilled Demonstrates solid proficiency and requires minimal guidance.
3 - Intermediate Demonstrates adequate competency with room for improvement. Needs periodic supervision and
training.
2 - Basic Lacks sufficient knowledge/skills in the competency area. Requires significant training and
supervision.
1 - Insufficient Does not demonstrate the required competencies. Needs immediate remedial training.

Competency Areas Assessed

The competency areas may vary depending on the job role, but generally, they include:

1. Technical Skills: Knowledge and proficiency in specific tasks, equipment, or technologies related to the role.
2. Safety Knowledge: Understanding of safety protocols and ability to implement safety measures.
3. Communication Skills: The ability to convey information clearly and effectively.
4. Problem-Solving Ability: The capacity to identify, analyze, and resolve issues quickly and effectively.
 5. Teamwork and Collaboration: Ability to work effectively with others and contribute to a team.
6. Leadership Skills: The ability to guide, influence, and motivate a team toward a common goal (for managerial
roles).
7. Customer Focus: Ability to understand and address customer needs (for customer-facing roles).
8. Quality and Attention to Detail: Ensuring high standards of work and accuracy in every task.

Development Needs and Action Plan

Employee Competency Development Needs Training Plan / Action Steps Timeline Responsibility
Name Area
Anita Communication Improve negotiation Enroll in a communication 01/01/2025 HR
Verma skills skills workshop
Ravi Kumar Technical Enhance electrical Attend technical and safety 01/02/2025 Maintenance
Knowledge safety knowledge workshops on electrical
systems
Neha Quality and None Continue with current N/A Quality
Yadav Attention practices and maintain high Control
standards

Competency Assessment Summary

Job Role Total Employees Average Competency Employees Needing Employees
Assessed Level Improvement Performing Well
Forklift Operator 5 4.2 0 5
HR Coordinator 4 3.5 1 3
Electrical 3 2.7 2 1
Technician
Quality Inspector 5 4.8 0 5

Follow-Up and Review Process

• HR Department will review competency assessments quarterly to ensure that employees are on track with their
development plans.
• Managers will provide continuous feedback to employees regarding their performance and progress.
• Training Programs: Based on the competency assessment results, training programs will be organized to address
skill gaps and enhance employee competencies.

Review Date: 10/12/2025

Status: Approved

Key Tips for Managing Competency Assessment Records

1. Regular Assessments: Conduct regular competency assessments (annually or biannually) to monitor employee
growth and identify training needs.
2. Clear Evaluation Criteria: Use specific, measurable criteria for assessing competencies to ensure objectivity.
3. Action Plans: Ensure that there is a clear development plan for employees who need improvement in specific
competency areas.
4. Documentation: Keep thorough records of all assessments, including feedback and action plans, to track progress
over time.
 Training Evaluation Record

Document Title: Training Evaluation Record

Document Number: TER-002
Version: 1.0
Date: 10/12/2024
Prepared by: Human Resources Department
Reviewed by: Training and Development Committee
Approved by: General Manager - HR

Training Evaluation Record

Training Program Title Forklift Safety Training
Trainer Name Mr. Suresh Gupta
Training Date 08/12/2024
Department Operations
Duration 4 Hours
Location Training Hall - Plant 1

Participant Feedback Summary

Employee Employee Role Evaluation Criteria Score (1- Comments

Name ID 5)
Rajesh E001 Forklift Operator Content, Delivery, Practical 5 Very informative and
Kumar Application engaging.
Anita Verma E002 Logistics Content, Delivery, Practical 4 Useful but more examples
Manager Application needed.
Ravi Kumar E003 Warehouse Content, Delivery, Practical 3 Some parts were unclear.
Assistant Application
Neha Yadav E004 Quality Content, Delivery, Practical 5 Excellent session.
Supervisor Application

Evaluation Criteria

1. Content: Relevance and clarity of the training material.

2. Delivery: Effectiveness of the trainer in conveying information.
3. Practical Application: Usefulness of the training in the participants' daily work.

Trainer Evaluation Summary

Evaluation Parameter Average Score (1-5)

Content 4.5
Delivery 4.3
Practical Application 4.2

Action Points for Improvement

1. Incorporate more real-world examples to make training more relatable for employees.
2. Focus on addressing specific job challenges for forklift operators.
3. Ensure follow-up sessions for clarifying unclear topics.
Follow-Up Plan

Employee Development Need Identified Action Plan Responsible Timeline

Name Person
Ravi Kumar Better understanding of safety Enroll in a focused safety Safety Officer 15/01/2025
protocols session
Anita Verma Examples related to operational Customized case study Training Team 20/01/2025
issues sessions

Training Effectiveness Assessment

Criteria Assessment Outcome

Overall Training Satisfaction High
Knowledge Transfer Success 80% of participants rated as "Effective"
Actionable Skills Gained Good

Signature Section

Name Designation Signature

Priya Sharma HR Manager
Suresh Gupta Trainer

Next Review Date: 15/01/2025

Document Status: Approved
 Supplier Evaluation Record

Document Title: Supplier Evaluation Record

Document Number: SER-001
Version: 1.0
Date: 10/12/2024
Prepared by: Procurement Manager
Reviewed by: Quality Control Manager
Approved by: General Manager - Operations

Supplier Evaluation Details

Supplier Name ABC Materials Pvt. Ltd.

Supplier ID SUP-001
Evaluation Period 01/01/2024 - 31/12/2024
Category of Supply Raw Materials (Lead and Plastic Components)
Evaluator(s) Mr. Rajiv Sharma (Procurement), Ms. Neha Yadav (Quality)
Date of Evaluation 08/12/2024

Evaluation Criteria

Criteria Weight (%) Score (1-5) Weighted Score

Quality of Products 30 4 1.2
On-Time Delivery 25 5 1.25
Pricing Competitiveness 20 4 0.8
Responsiveness to Queries 15 3 0.45
Compliance with Standards 10 5 0.5

Total Weighted Score: 4.2

Scoring Guidelines

1. 5 – Excellent: Exceeds expectations in all aspects.

2. 4 – Good: Meets expectations with minor improvements needed.
3. 3 – Satisfactory: Acceptable but requires improvement.
4. 2 – Below Average: Does not meet key requirements.
5. 1 – Poor: Significant non-conformance observed.

Evaluation Summary

Key Strengths Areas for Improvement

Consistently delivers high-quality materials. Improve response time to urgent queries.
Always adheres to compliance and safety standards. Provide more competitive pricing on bulk orders.

Action Plan

Action Item Responsible Person Timeline

Discuss pricing adjustments for bulk orders. Procurement Team 15/01/2025
Monitor response times for improvement. Supplier Account Manager 28/02/2025

Supplier Approval Status

Approval Status Reason

 ✅ Approved Meets all critical requirements.

Signatures

Name Designation Signature

Rajiv Sharma Procurement Manager
Neha Yadav Quality Control Manager

Next Review

Next Evaluation Date Evaluator(s)

01/06/2025 Procurement and Quality Teams

Conclusion

The supplier, ABC Materials Pvt. Ltd., has been evaluated based on quality, delivery, pricing, responsiveness,
and compliance. The overall score of 4.2 indicates a strong performance with minor areas for improvement. The
supplier remains an approved vendor for the upcoming evaluation cycle.

Document Status: Approved

 Supplier and Vendor Evaluation Criteria

Document Title: Supplier and Vendor Evaluation Criteria

Document Number: SVC-001
Version: 1.0
Date: 10/12/2024
Prepared by: Procurement Manager
Reviewed by: Quality Manager
Approved by: General Manager - Operations

Purpose
The purpose of this document is to define the evaluation criteria for assessing suppliers and vendors to ensure that
they meet the organization’s quality, delivery, compliance, and cost requirements.

Scope
This evaluation applies to all suppliers and vendors providing goods, raw materials, or services to the organization,
including but not limited to manufacturing, packaging, logistics, and consultancy.

Evaluation Frequency
• New Suppliers: Evaluated during onboarding.
• Existing Suppliers: Evaluated annually or after a major performance issue.

Evaluation Criteria

Criteria Weightage Key Factors Assessed Evaluation Method

(%)
Quality 30 Consistency, defect rates, adherence to Product inspection, past
specifications records
Delivery 25 Timeliness, accuracy of order fulfillment Delivery schedules, feedback
reports
Cost 20 Price alignment with market trends, cost Price benchmarking, cost
Competitiveness savings opportunities analysis
Compliance 15 Adherence to legal, regulatory, and safety Documentation review,
requirements certifications
Customer Service 10 Responsiveness, resolution of issues, Customer feedback, response
communication quality times
Scoring Guidelines
Each criterion is scored on a scale of 1 to 5, where:
1 = Poor, 2 = Below Average, 3 = Average, 4 = Good, 5 = Excellent.

Evaluation Template

Supplier Name Supplier ID Category Evaluation Date

Example: ABC Pvt. Ltd. SUP-001 Raw Materials 10/12/2024
Criteria Weight (%) Score (1-5) Weighted Score
Quality 30 4 1.2
Delivery 25 5 1.25
Cost Competitiveness 20 4 0.8
Compliance 15 5 0.75
Customer Service 10 4 0.4
Total Weighted Score: 4.4

Criteria Details

1. Quality

• Key Metrics: Defect rates, quality consistency, adherence to technical specifications.

• Evidence: Inspection reports, rejection records, certifications like ISO 9001.

2. Delivery

• Key Metrics: Timeliness, adherence to delivery schedules, packaging integrity.

• Evidence: On-time delivery reports, feedback from receiving teams.

3. Cost Competitiveness

• Key Metrics: Pricing in comparison to market rates, discounts on bulk orders.

• Evidence: Price analysis reports, comparative market study.

4. Compliance

• Key Metrics: Legal and regulatory adherence, sustainability practices.

• Evidence: Licenses, safety certifications, environmental compliance documents.

5. Customer Service

• Key Metrics: Issue resolution time, clarity of communication.

• Evidence: Customer service records, communication logs.

Approval Process

Score Range Approval Status

4.0 - 5.0 Approved
3.0 - 3.9 Approved with conditions
Below 3.0 Rejected or requires re-evaluation

Improvement Plan

For suppliers with a total weighted score below 3.9:

1. Action Plan: Identify gaps and provide a corrective action plan.

2. Re-evaluation: Conduct re-evaluation after the action plan is implemented.

Conclusion

The Supplier and Vendor Evaluation Criteria ensure that only reliable and high-performing suppliers are selected
and retained, supporting the organization's commitment to quality and operational excellence.

Next Review Date: 10/12/2025

Document Status: Approved
 Operational Control Procedures

Document Title: Operational Control Procedures

Document Number: OCP-001
Version: 1.0
Effective Date: 10/12/2024
Prepared by: Operations Manager
Reviewed by: Quality Assurance Manager
Approved by: General Manager - Operations

Purpose
To establish standardized procedures for operational control to ensure efficient, safe, and compliant production
processes in alignment with organizational objectives and regulatory requirements.
Scope
This procedure applies to all manufacturing operations, including raw material handling, production, quality
control, packaging, and storage activities at [Your Company Name].

Definitions

1. Operational Control: Measures implemented to manage and mitigate risks associated with operational activities.
2. Critical Control Point (CCP): Specific steps in a process where controls are applied to prevent or eliminate
operational risks.

Responsibilities

Role Responsibilities
Operations Manager Ensure all procedures are implemented and followed.
Production Supervisor Monitor daily operations and report non-conformances.
Quality Manager Conduct periodic reviews and ensure compliance with operational standards.
Employees Adhere to the procedures and report issues to supervisors.

Procedure

1. Raw Material Handling

• Objective: Ensure raw materials meet quality and safety standards.
• Steps:
1. Inspect raw materials upon receipt using the Incoming Inspection Checklist.
2. Record material details in the Raw Material Logbook (Doc ID: RML-001).
3. Store materials in designated areas with proper labeling.

2. Production Process
• Objective: Ensure products meet design and quality specifications.
• Steps:
1. Follow the Work Instructions (Doc ID: WI-001) for each production line.
2. Conduct in-process checks at defined intervals using the Inspection Checklist.
3. Record results in the Production Monitoring Log (Doc ID: PML-001).

3. Equipment Maintenance
• Objective: Prevent downtime and ensure equipment reliability.
• Steps:
1. Perform routine maintenance as per the Maintenance Schedule (Doc ID: MS-001).
2. Record maintenance activities in the Equipment Maintenance Log (Doc ID: EML-001).
4. Quality Control
• Objective: Ensure finished goods comply with quality standards.
• Steps:
1. Sample products from each batch for quality testing using Test Plan (Doc ID: TP-001).
2. Record results in the Quality Inspection Report (Doc ID: QIR-001).
3. Isolate and address non-conforming products using Non-Conformance Report (Doc ID: NCR-001).

5. Packaging and Storage

• Objective: Protect product integrity during storage and transport.
• Steps:
1. Use appropriate packaging materials and follow the Packaging Guidelines (Doc ID: PG-001).
2. Store finished goods in designated storage areas with proper environmental controls.

Key Performance Indicators (KPIs)

Process KPI Target

Raw Material Handling % of materials accepted without issues ≥ 95%
Production Process % of batches meeting quality standards ≥ 98%
Equipment Maintenance Downtime due to equipment failure ≤ 2 hours/month
Quality Control % of non-conforming products ≤ 1%
Packaging and Storage % of damaged goods during storage ≤ 0.5%

Document Control

Document ID Title Retention Period

RML-001 Raw Material Logbook 2 years
PML-001 Production Monitoring Log 2 years
EML-001 Equipment Maintenance Log 2 years
QIR-001 Quality Inspection Report 2 years
NCR-001 Non-Conformance Report 3 years

Emergency Situations

• Scenario: Equipment malfunction.

• Response: Immediately shut down equipment and report to Maintenance Team.
• Contact: Maintenance Manager - Ext. 123

Signature Section

Name Designation Signature

Operations Manager
Quality Manager
General Manager

Next Review Date: 10/12/2025

Document Status: Approved

 Monitoring and Measurement Records

Document Title: Monitoring and Measurement Records

Document Number: MMR-001
Version: 1.0
Effective Date: 10/12/2024
Prepared by: Quality Assurance Manager
Reviewed by: Operations Manager
Approved by: General Manager - Quality

Purpose

To systematically document and track monitoring and measurement activities to ensure compliance with quality,
safety, and performance standards.

Scope

This document applies to all monitoring and measurement activities conducted on raw materials, in-process
products, finished goods, equipment, and environmental parameters within the organization.

Monitoring and Measurement Record

Monitoring Parameter Measurement Method Frequency Responsible Person

Raw Material Quality Visual Inspection, Lab Testing On each receipt QC Inspector
Equipment Performance Calibration and Test Runs Monthly Maintenance Engineer
In-Process Product Dimensions Vernier Caliper Measurement Hourly Production Supervisor
Finished Goods Weight Accuracy Digital Scale Per Batch Quality Inspector
Workplace Temperature Digital Thermometer Daily Safety Officer
Noise Levels Decibel Meter Weekly Safety Officer

Template for Record Entry

Monitoring and Measurement Entry Form

Date Time Monitoring Measurement Standard Value Observation Action Recorded
Parameter Value Taken By
10/12/2024 10:00 Raw Material Visual: OK, Lab: Meet Acceptable None Rajesh
AM Quality Passed Specifications Kumar
10/12/2024 02:00 Equipment Pressure: 10.2 10.0 - 10.5 bar Within Limit None Neha
PM Performance bar Yadav
10/12/2024 03:00 Workplace 24°C 20°C - 25°C Within None Ravi
PM Temperature Range Sharma

Performance Evaluation

Summary of Trends
Parameter Target Actual (Monthly Average) Remarks
Raw Material Quality 100% compliance 98% Minor non-conformance, corrected.
Equipment Performance ≥ 95% uptime 96% Acceptable performance.
Noise Levels ≤ 85 dB 82 dB Within permissible limits.
Key Performance Indicators (KPIs)

KPI Target Actual

Product Quality Compliance ≥ 98% 98.5%
Equipment Downtime ≤ 5% 4.8%
Workplace Environmental Compliance 100% 100%

Corrective Actions

Parameter Non-Conformance Corrective Action Responsible Person Due Date

Raw Material Quality 1 batch failed visual Rejected material and notified Procurement 12/12/2024
check supplier. Manager
Equipment Calibration overdue Completed calibration and Maintenance 15/12/2024
Performance logged. Engineer

Signature Section

Name Designation Signature

Quality Manager
Operations Manager
General Manager

Document Control

Document ID Retention Period Version Control

MMR-001 3 Years Updated annually

Next Review Date: 10/12/2025

Document Status: Approved

 Management Review Records

Document Title: Management Review Records

Document Number: MRR-001
Version: 1.0
Effective Date: 10/12/2024
Prepared by: Management Representative
Reviewed by: Quality Manager
Approved by: Managing Director

Purpose

To document the proceedings, discussions, and decisions made during management review meetings as part of the
organization's continual improvement process.

Scope

This document applies to management review meetings conducted to assess the performance and effectiveness of
the Integrated Management System (IMS) in compliance with ISO 9001, ISO 14001, and ISO 45001 standards.

Management Review Meeting Details

Date Time Location

10/12/2024 10:00 AM Conference Room A

Attendees Designation
Mr. Ramesh Singh Managing Director
Ms. Priya Sharma Quality Assurance Manager
Mr. Arvind Kumar Operations Manager
Ms. Sunita Mehta HR Manager
Mr. Vikram Khanna Safety Officer

Agenda

1. Review of previous management review meeting minutes.

2. Status of actions from previous meeting.
3. Assessment of IMS performance, including:
o Quality objectives.
o Environmental targets.
o Health and safety performance.
4. Customer feedback and satisfaction.
5. Review of internal and external audits.
6. Risks and opportunities assessment.
7. Resource needs and infrastructure.
8. Recommendations for improvement.

Minutes of the Meeting

Agenda Point Discussion Summary Decisions/Actions Responsible Due Date

Person
Review of previous All actions from the previous No pending actions. - -
meeting actions meeting were completed.
 Quality objectives Production efficiency Set a target of 3% for the next Operations 15/01/2025
improved by 2%. quarter. Manager
Customer feedback Positive feedback from major Address complaints and share QA Manager 30/12/2024
clients, minor complaints. learnings with teams.
Internal audit No major non-conformances Continue current practices and QA Manager -
results reported. improve controls.
Resource needs Request for new calibration Approved. Procurement to Procurement 15/01/2025
equipment. source within budget. Manager

Performance Review

Key Indicators
Indicator Target Actual Remarks
Customer Satisfaction Index ≥ 90% 92% Achieved target.
Production Efficiency ≥ 95% 93% Slightly below target.
Incident Rate (Safety) ≤ 2/month 1/month Within limits.

Risks and Opportunities

Identified Risk/Opportunity Action Plan Responsible Person Timeline

Supply chain delays Develop secondary supplier network. Procurement Manager 31/01/2025
Employee turnover Launch engagement and retention program. HR Manager 31/01/2025
Green energy initiatives Explore solar panel installation. Facilities Manager 30/06/2025

Recommendations for Improvement

1. Enhance training programs on quality and safety awareness.

2. Automate data collection for better efficiency in monitoring.
3. Increase focus on sustainability initiatives.

Action Plan Tracker

Action Responsible Person Due Date Status

Implement employee engagement survey. HR Manager 31/12/2024 In Progress
Procure calibration equipment. Procurement Manager 15/01/2025 Pending

Approval

Name Designation Signature

Managing Director
Quality Manager
Operations Manager

Next Review Date: 10/06/2025

Document Status: Approved

 Audit Findings and Corrective Actions

Document Title: Audit Findings and Corrective Actions

Document Number: AFCA-001
Version: 1.0
Effective Date: 10/12/2024
Prepared by: Lead Auditor
Reviewed by: Quality Assurance Manager
Approved by: General Manager - Quality

Purpose

To document audit findings, track corrective actions, and ensure the effectiveness of measures taken to address
non-conformities or areas for improvement identified during internal or external audits.

Scope

This document applies to all findings from internal, external, and supplier audits conducted within [Your
Company Name].

Audit Details

Audit Type Internal/External/Supplier Audit

Audit Date 10/12/2024
Audit Location Manufacturing Plant A
Audit Scope ISO 9001:2015 Compliance
Lead Auditor Mr. Ramesh Kumar
Team Members Ms. Priya Sharma, Mr. Arvind Kumar

Audit Findings Summary

Finding ID Clause Observation/Non-Conformance Category

AF-001 7.5.3 Missing document control procedure for training records. Major Non-Conformance
AF-002 9.1.1 Incomplete data in monitoring records for environmental targets. Minor Non-Conformance
AF-003 6.1 Risk register not updated for the past 6 months. Opportunity for Improvement

Corrective Action Plan

Finding Root Cause Corrective Action Responsible Due Date Status

ID Person
AF-001 Lack of awareness about Train staff on the document control QA Manager 20/12/2024 Open
document control procedures process and implement a checklist
for training records. for mandatory document updates.
AF-002 Data entry oversight during Revise the monitoring procedure to EHS Officer 15/12/2024 Open
environmental performance include a review step for
reviews. completeness.
AF-003 Risk management meetings Schedule monthly risk review Operations 30/12/2024 Open
not held as scheduled. meetings and update the risk Manager
register.
Verification of Corrective Actions

Finding Verification Method Verified By Verification Remarks

ID Date
AF-001 Reviewed updated training records procedure. Lead Auditor Pending -
AF-002 Checked revised monitoring procedure and complete QA Manager Pending -
records.
AF-003 Confirmed updated risk register and meeting minutes. Operations Pending -
Manager

Effectiveness Review

Finding ID Effectiveness Check Outcome

AF-001 Conducted random audits of training records for compliance. Effective
AF-002 Environmental monitoring data accuracy improved in last two cycles. Effective
AF-003 Risk reviews conducted as per schedule, register updated. Effective

Signature Section

Name Designation Signature

Lead Auditor
QA Manager
General Manager

Next Audit Date: 10/06/2025

Document Status: Approved

 Mandatory
Clause Suggested Document Purpose Key Tips for Creating the Document
Document
Defines the scope and
Ensure the scope clearly defines the
boundaries of the IMS
operational areas covered by the IMS.
Clause 1 Scope Document Business Objectives and its applicability
Keep it concise and aligned with
within the
strategic goals.
organization.
List of applicable
Regularly review for updates to any
Normative Reference Standards standards or
Clause 2 applicable standards and ensure
References List Documentation documents referenced
consistent referencing.
in the IMS.
Use clear, unambiguous language, and
Standardized terms
Terms and update definitions as needed. Make
Clause 3 Glossary of Terms and definitions used in
Definitions sure all stakeholders understand the
the IMS.
terms.
Documents describing
Context of the the organization's Involve key departments in the context
Stakeholder Analysis
Clause 4.1 Organization internal and external assessment and ensure it aligns with
Reports
Records context, stakeholders, business goals.
and needs.
Documents detailing
the needs and
Interested Parties Keep the list of interested parties
Risk and Opportunity expectations of
Clause 4.2 and Needs & updated and revisit expectations
Register stakeholders and
Expectations regularly.
related risks and
opportunities.
Records of top
Leadership and Leadership management's Ensure that leadership commitment is
Clause 5.1 Commitment Communication involvement in IMS visible through documented actions,
Records Records activities and their policies, and communications.
responsibilities.
Formal statement of Ensure the policy is clear, concise, and
Corporate Vision &
Clause 5.2 Quality Policy the organization's aligned with organizational goals.
Mission Statements
quality policy. Regularly review and update it.
Organizational Defines the roles and Use a hierarchical chart with clear
Role & Responsibility
Clause 5.3 Structure responsibilities within definitions of responsibilities for each
Matrix
Documentation the IMS. department and individual.
Risk Management Regularly update risk assessments
Documents detailing
and Risk Risk Mitigation based on current organizational
Clause 6.1 identified risks and
Assessment Action Plans activities. Involve relevant stakeholders
mitigation actions.
Documents in identifying risks.
Hazard Identifying hazards,
Use a risk matrix to identify and
Clause Identification and evaluating risks, and
Risk Register categorize risks, ensuring mitigation
6.1.2 Risk Assessment documenting control
actions are clearly documented.
Reports measures.
Documents proving Cross-reference documents with
Legal and
Clause Regulatory Audit adherence to relevant applicable legal and regulatory
Regulatory
6.1.3 Reports environmental and standards. Maintain up-to-date records
Compliance Records
safety regulations. of compliance.
Regulatory Reports confirming Include audit results, compliance
Clause Legal Compliance
Compliance legal and regulatory status, and corrective actions. Maintain
6.1.3 Audit Reports
Checklists compliance. a historical record of past audits.
Mandatory
Clause Suggested Document Purpose Key Tips for Creating the Document
Document
KPIs (Key Defines measurable
Objectives and Make objectives SMART (Specific,
Clause 6.2 Performance goals and targets for
Targets Measurable, Achievable, Relevant,
Indicators) IMS improvement.
 Time-bound). Align with the company's
strategic vision.
Records proving that
Keep track of awareness training
Employee Employee employees are aware of
Clause 6.2 sessions and document the distribution
Awareness Records Engagement Surveys the IMS policy and
of information to employees.
objectives.
Shows training
Employee Health Maintain records of all training
Clause Competency participation for
and Safety Training activities and certifications. Include the
6.2.1 Assessment Records health, safety, and legal
Records evaluation of training effectiveness.
compliance.
Documents specifying
Infrastructure and Keep records of all infrastructure
infrastructure,
Resource Maintenance changes and resource allocations,
Clause 7.1 equipment, and
Management Schedules ensuring that they are adequate and
resources needed for
Records sustainable.
IMS implementation.
Documents the
Include pre- and post-training
Training Evaluation Employee evaluation of training
Clause 7.2 assessments to measure effectiveness.
Records Development Records programs for
Link evaluations to job performance.
employees.
Documents the
evaluation and Maintain detailed supplier assessments
Supplier Evaluation Supplier Performance
Clause 7.4 selection process for based on quality, cost, capacity, and
Records Review Reports
suppliers or external past performance.
parties.
Use objective and measurable criteria
Supplier and Documents specifying
Supplier Risk (quality, delivery, cost). Keep updated
Clause 7.4 Vendor Evaluation criteria for evaluating
Assessments evaluations to reflect ongoing
Criteria suppliers or vendors.
performance.
Document Control Record of document Implement version control with dates,
Document Approval
Clause 7.5 and Revision revisions and revision numbers, and approvers.
Logs
Records approvals. Archive older versions for reference.
Procedures detailing
Document and Use clear approval and revision
Clause Document Revision how documents and
Record Control protocols to ensure that documents are
7.5.2 History Log records are controlled,
Procedure accurate and accessible.
reviewed, and updated.
Documents showing
Ensure that all key processes are
Operational Control how key processes are
Clause 8.1 Process Flowcharts standardised and supported by clear
Procedures controlled to meet
instructions and documented protocols.
operational goals.
Documents verifying Include all inspection reports, test
Product or Service
Inspection/Test that products or results, and relevant certifications to
Clause 8.2 Conformance
Reports services meet specific ensure compliance with quality
Records
requirements. standards.
Documentation of the Include review records, design inputs,
Product and Service
Design Validation design control and validation documents to ensure
Clause 8.3 Design Control
Reports processes for products product/service design meets specified
Records
and services. criteria.
Documents controlling
Maintain contracts, service level
Control of external suppliers,
Third-Party Audit agreements, and supplier evaluation
Clause 8.4 Externally Provided contractors, or third-
Reports documents. Regularly review and
Processes party service
monitor performance.
providers.
Mandatory
Clause Suggested Document Purpose Key Tips for Creating the Document
Document
Production and Documents showing
Work Instructions Keep detailed records of each
Clause 8.5 Service Provision how production and
and SOPs production or service provision stage.
Records services are
 consistently provided Include quality control checks and
to meet requirements. process performance evaluations.
Records of how
Monitoring and performance is Ensure consistent data collection across
Customer Feedback
Clause 9.1 Measurement measured and all critical metrics. Analyze trends and
Reports
Records monitored within the track improvements.
IMS.
Records of internal
Keep detailed audit reports, linking
Clause Internal Audit audit results, including
Audit Checklists findings with corrective actions,
9.1.3 Records scope, findings, and
deadlines, and personnel responsible.
corrective actions.
Scheduled audits, Create a comprehensive audit schedule,
Audit Program and Audit Summary
Clause 9.2 defining scope, areas, ensuring it covers critical areas. Track
Schedule Reports
and audit frequency. audit completion and findings.
Records of audit
Ensure corrective actions are specific,
findings and the
Audit Findings and Nonconformance with deadlines and accountability for
Clause 9.2 corrective actions
Corrective Actions Reports resolution. Track outcomes after
taken to address
implementation.
nonconformities.
Evaluation records Include audits of audit processes, track
Clause Audit Performance Audit Closure
assessing the corrective actions, and evaluate
9.2.2 Evaluation Records Records
effectiveness of audits. improvements over time.
Records of
Keep detailed records of management
management review
Management review outcomes, including discussions,
Clause 9.3 Action Plan Records meetings, covering
Review Records action items, and follow-up
IMS performance and
responsibilities.
improvement actions.
Documenting actions
Clearly define actions, timelines, and
Clause Action Plans for Root Cause Analysis to address
responsible persons for each identified
9.3.2 Identified Issues Reports nonconformities or
issue or improvement area.
areas of improvement.
Documents of actions Regularly review potential risks, and
Preventive Action Preventive taken to prevent create proactive action plans. Ensure
Clause 10.1
Procedure Records Maintenance Records nonconformities or preventive measures are revisited
risks from occurring. during audits.
Documentation of
Include the root cause analysis and
Corrective Action Corrective Action corrective actions to
Clause 10.2 follow-up steps to verify the
Follow-up Records Verification Reports resolve identified
effectiveness of corrective actions.
issues.
Documents showing Ensure that improvements are tracked
Continual
Improvement Action actions taken to over time with measurable metrics.
Clause 10.3 Improvement
Plans improve processes, Include lessons learned and process
Documentation
products, or services. adjustments.
Reports identifying the
Use structured methodologies like the
Clause Root Cause Analysis Trend Analysis root causes of
"5 Whys" or Fishbone diagram for
10.3.2 Reports Reports nonconformities or
consistent root cause analysis.
process inefficiencies.