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Investigation of establishing and implementing ISO14001/ISO9001
environment–quality Joint management system by processes approach
（presentation at the 9th Annual ISO 9000 conference in Indianapolis, Indiana (USA) on March 15, 2002）
Abstract：The investigation of an ISO14001/ISO9001 Joint management system through a process-based management system model has been accomplished. It has successfully been applied by two employees in 1200-employee and 3500-employee enterprises to establish and implement only one management system including both ISO9001:2000 quality management system-requirements and ISO14001:1996 environmental management systems—Specification with guidance for use. It has turned out that the system is not only complete conformance with certification requirement of ISO9001:2000 quality management system and ISO14001 environment management system but also saving a great deal of human resources, material resource and finance resources，which enhances the effectiveness and efficiency .And that Joint management system established can be compatible for other management systems, such as QS9000, TL9000, OHSAS18001 and SA8000 management systems to form more width Joint management system .
Key words : ISO9001 ISO14001 Joint management system Process Processes approach Management model
In order to enhancing management, adding market competition and external image, it is more and more important for the organization to establish and implement ISO9001, QS9000, TL9000 ISO14001, OHSAS18001 and SA8000 management systems to ensure that the it can stably provide the product conformance with customer and suitable legal requirement. However, for establishing and implementing of the former any management system, the organization needs generally to adding a relevant management system document and devices, deploying a lots relevant personnel who can flow down and manage it, carrying out relevant internal audit and management review, arranging and receiving relevant third certified structure document and its field audit, and also have relevant “leadership ’’ and “involvement of people”,… Thus, organization currently becomes much trouble to establishing more systems and documenting more files.
Out of question, any organization for survival in market competition is looking forward to enhancing the effectiveness and efficiency when establishing and implementing these systems, and longing for only establishing a system which could cover international management systems as more as probable, or gaining system certification more.
By the application of the processes approach and process-based management system model, author had successfully investigated and found out a Joint management system platform which can be compatible other any management system requirements. And, having used the management platform, we have also successfully established and implemented ISO14001 & ISO9001:2000 Joint management system in Taiwan DATA (dongguan) electronic co. Ltd. and Hong Kong goldensun (shenzhen) co. Ltd separately.. The result showed that the application of the platform markedly promotes organization management, greatly enhances the effectiveness and efficiency of organization’ management and gains excellent economic and society benefit.
The paper briefly introduces the key content of establishing and implementing ISO14001/ISO9001 environment–quality Joint management system using process-based Joint management system.
I. Joint Management and basis theory of the management system
Eight quality management principles described in ISO 9000:2000 and PDCA circle shall be the foundation for establishing and implementing Joint management system. And, processes approach and process-based Joint management system model shall be core method of the management system.
(1)Process and relevant definitions
In the process of the establishing and implementing Joint management system, it is very important for us to understand process and relevant definitions. As ISO9000:2000 standard defined, any activity ,or set of activities, that uses resources to transform inputs to outputs, can be considered as a process. The organization shall identify and manage numerous interrelated and interacting processes. Often, the output from one process will directly form the input into the next process, and the process shall exist a value-adding transformation.
Realization of product and production of waste
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Resource and requirement implementation product + waste
Input transformation output
Figure1 A simple process in AMS
The simple process shown in figure 1 illustrates the integrity of the process of ISO14001/9001 environment–quality Joint management system, including input (resources and requirements), transformation (realization of product and production of waste ) and output (product and waste).
In figure 1, the basic concept offered of a process shall cover terms: “Resource”, “Requirement” , “Product” and “Waste”.
“Resource” is that needed to realize the product conformance with customer and suitable legal requirement. In generally, it includes personnel, devices, raw material, technology, monitoring method and work environment needed to achieve conformity to product requirements.
“Requirement” shall be customers’, of legal and regulatory and any additional, including related to the product and to environment protection.
Term “product ” shown in figure 1 shall be major results of process outputs and can be satisfied by customer and interested parties, meanwhile entirely conform the definition in ISO9001 1.1 general: “The term “product ”applies only to the product intended for, or required by a customer” .The definition of quality assurance emphasis on intended product
“Waste” related to our comprehension shall be the results unintended of process outputs expect “product” oneself, including any “side–product”, waste water ,waste gas, noise, solid waste and nonconformity(non-fulfilment of a requirement) etc, which entirely conform the definition in ISO 14001 standards: “causing any harm change of environment or element which can interact with environment”, in other words, ISO14001 environment management system requires to control “environment aspect” called.
In fact, the basic content of control of ISO9001:2000 QMS mainly expresses to preventive action for potential nonconformance and the correction and corrective action of nonconformance and continual improvement to ensure that product of outputs continually satisfy customer and regulatory requirement. And that the content controlled by ISO9001/14001 Joint management system shall cover all waste preventive action, decrease or correction and corrective action (or management programme) and continuous improvement, to ensure that the product and waste of outputs continually meet the requirements of customer, applicable legal and interested parties.
Therefore, “Resource” and “Requirement” offered in any process inputs shall be planned and controlled effectively; Product and waste offered in outputs should be prevented and managed. The both can ensure establishing and implementing of ISO9001/14001 Joint management system is successful.
The processes needed the Joint management system include related to management activities, provision of resources, waste produced, realization of product, monitoring and measurement, waste disposition or treatment and product preservation, etc.
(2)Value-adding transformation of process
One process or oneself shall be a value-adding transformation. The Joint management system emphasize to use preservation of pollution, continuous improvement and good preservation and effective control for product and waste, in order to further increase the efficiency and effectiveness of process or decrease cost and add profit.
According to mass balance principle or mass non-loss rule ,there is a formula between the resource of input and the product and waste of output in the process (figure 1), as follows:
Min = Mout = Mp + Mw (1)
there:
Min – total quantity (or weight) of all resources of process inputs (or mass, including tangible and intangible )
Mout – total quantity (or weight) of all mass(including tangible and intangible ) of process outputs
Mp—total quantity (or weight) of product of process outputs
Mw—total quantity (or weight) of all wastes of process outputs
Formula (1) shown, it is a relevant constant value for the total of Mp and Mw when Min is constant.
So ,the organization shall try its best to decrease or avoid waste produced (Mw) by effective measure, or to reduce and control “environment aspect”(Mw)output in processes though practicable preventive action. In a sense, it equivalent to enhance and increase intended “product” outputs in the processes as more as probable .
(3) Process-based Joint management and its model
Figure 2 illustrates process-based Joint management and its management system model.
In figure 2 given,ISO14001/9001 Joint management is based on process linkage and process-based Joint management system throughout organization .Management shall consider:
1) interested parties requirements: “interested parties” shall include customer, institution, association, organization, charity, supplier, corporate environment organization, government departments etc. “Requirement ” shall include need or expectation that is stated, as contract specified, generally implied or obligatory, especially, requirements related to applicable regulatory or legal of environment and other interested parties; when specified input requirement, strictly determine and abide on legal and regulatory and meet customer, legal and interested parties.
2) to strictly plan management and control of input resources, and to take preventive actions to prevent occurrence of potential waste or pollutant,
3) to ensure to achieve firstly expected result according to specified requirement ,
4) process and its product and waste output shall be measured ,analyzed and improved (or ruled)to ensure that they can meet the requirement of customer ,legal and regulatory and interested parties, especially environmental protection. And that assessing and monitoring the requirement of interested parties satisfaction and information of the satisfaction of interested parties to the requirement .
5) Product output in process shall be effectively prevented , including identification, handling, packaging, storage, delivery and protection. Waste shall be controlled, re-cycled and properly disposed to ensure that it can meet interested parties, legal and regulatory and environmental protection requirement .
Continuous improvement of Joint management system. Continuous improvement should be a permanent objective of the process and the organization.
Continuous improvement of Joint management system
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Interested parties requirement
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Interested parties satisfaction
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Management responsibility
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Measurement analysis and mimprovement
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Product realization, waste produced
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Key :
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