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DEVELOPING A GUIDELINE FOR AN INTEGRATED QUALITY,
ENVIRONMENTAL, OCCUPATIONAL HEALTH AND SAFETY, AND
ENERGY MANAGEMENT SYSTEM
FADZILAH BINTI MOHAMAD
UNIVERSITI TUN HUSSEIN ONN MALAYSIA
DEVELOPING A GUIDELINE FOR AN INTEGRATED QUALITY,
ENVIRONMENTAL, OCCUPATIONAL HEALTH AND SAFETY, AND
ENERGY MANAGEMENT SYSTEM
FADZILAH BINTI MOHAMAD
A thesis submitted in
fulfilment of the requirement for the award of the
Degree of Master of Science in Technology Management by Research
Faculty of Technology Management and Business
Universiti Tun Hussein Onn Malaysia
APRIL 2017
iii
DEDICATION
Thanks to Allah, for without His Mercy and Guidance, I would have never been able
to make this happen. Also, I dedicate this thesis to my dear family and friends. A
special feeling of gratitude to my beloved mum and brothers whoalways prays for
my success. I also dedicate this thesis to my dear friend Simon Kee and his parents,
without whom I may not have taken the effort to pursue further with my education. I
dedicate this work also to all my well-wishers throughout this journey and thanking
all for the support, motivation and confidence in me.
iv
ACKNOWLEDGEMENTS
Very special thanks to Associate Professor Dr. Nor Hazana Abdullah and Associate
Professor Dr. Musli Mohammadfor their countless hours of reflecting, reading,
encouraging, and most of all patience throughout the entire process.Also, thank you
to Puan Nor Kamariah Kamaruddin who have always been a motivator throughout
my journey. I would like to acknowledge and thank UTHM for allowing me to
conduct this research and providing me assistance required. Last but not least, special
thanks to all the expert panels whose passion, excitement and willingness to provide
feedback made the completion of this research a precious experience.
v
ABSTRACT
The purpose of this thesis is to develop a guidance document for integrating quality,
environmental, occupational health and safety and energy management systems for
manufacturing industries. The thesis presents the current status and strategies of the
Integrated Management System (IMS) in Malaysian manufacturing industries. As to
understand the status and strategies of IMS implementation, quantitative data
collections through questionnaire survey were performed. In total, 40 responses from
a variety of manufacturing sectors were analyzed. The result shows that
manufacturing industries are embarking on IMS regardless of the types and sizes of
the organizations. They are applying various strategies as long as it is practicable for
their organizations’ business activities and processes due to the absence of
international or national standards as a guideline for IMS. Concurrently, qualitative
data was collected through Delphi Technique Expert Opinion Method with three
rounds ofexperts’ views collection for the purpose of developing the guidance
document. Nine experts panel from the category of academician, government body,
and practitioners (consultants and auditors) participated in the activity. They have
agreed to the proposed content and also raised their suggestions for improvement of
the proposed document. The document has been prepared using the High Level
Structure documented as Annex SL by ISO Directive. This structure is similar to the
current release of ISO 9001:2015 and ISO 14001:2015 International Standard.
vi
ABSTRAK
Tujuan laporan ini adalah untuk menghasilkan satu dokumen panduan untuk
mengintegrasikan sistem pengurusan kualiti, alam sekitar, kesihatan dan keselamatan
pekerjaan dan tenaga di dalam memenuhi keperluan industri pembuatan. Tesis ini
membentangkan status semasa dan strategi sistem pengurusan bersepadu (IMS) yang
sedang dipraktikkan oleh sekumpulan syarikat yang mewakili industri pembuatan di
Malaysia.Data kuantitatif telah dikumpulkan melalui pengedaran borang soal selidik
dengan tujuan untuk memahami status dan strategi pelaksanaan IMS.
Keseluruhannya, sebanyak 40 respon daripada pelbagai sektor pembuatan telah
dianalisa.Dapatan kajian menunjukkan bahawa industri pembuatan melaksanakan
IMS tanpa mengira jenis dan saiz sesebuah organisasi. Mereka menggunakan
pelbagai strategi yang didapati praktikal dan sesuai untuk aktiviti perniagaan dan
proses organisasi mereka. Ini disebabkan ketiadaan piawaian di peringkat
antarabangsa mahupun kebangsaan yang dikeluarkan sebagai garis panduan bagi
pelaksanaan IMS. Pada masa yang sama, pengumpulan data kualitatif juga telah
dijalankan melalui Teknik Delphi Pendapat Pakar bagi mendapatkan pandangan
pakar-pakar mengenai dokumen panduan yang dicadangkan di dalam tiga pusingan.
Sembilan panel pakar darikategori ahli akademik, badan kerajaan, dan pengamal
IMS (jururunding dan juruaudit)telah mengambil bahagian di dalam proses tersebut.
Dapatan kajian menunjukkan panel-panel pakar telah bersetuju dengan kandungan
dokumen panduan IMS yang dicadangkan dan juga mengutarakan pandangan mereka
bagi tujuan penambahbaikan dokumen asal yang telah dicadangkan. Dokumen ini
telah disediakan dengan menggunapakai “High Level Structure” yang didokumenkan
sebagai Annex SL oleh ISO Directives. Struktur yang sama telah digunapakai di
dalam terbitan terbaru piawaian antarabangsa ISO 9001:2015 dan ISO 14001:2015.
vii
CONTENTS
TITLE i
DECLARATION ii
DEDICATION iii
ACKNOWLEDGEMENT iv
ABSTRACT v
CONTENTS vii
LIST OF TABLES xi
LIST OF FIGURES xiii
LIST OF ABBREVIATIONS xv
LIST OF APPENDICES xvi
CHAPTER 1 INTRODUCTION 1
1.1 Introduction 1
1.2 Background of the research 1
1.3 Problem statements 3
1.4 Objective of the research 4
1.5 Scope of research 5
1.6 Importance of the research 5
1.7 Limitation of the research 6
1.8 Layout of the thesis 7
CHAPTER 2 LITERATURE REVIEW 8
2.0 Introduction 8
2.1 Evolution of Management System Standards (MSSs) 8
2.2 Brief Introduction of QMS, EMS, OHSMS and EnMS 10
2.2.1 Quality Management System (QMS) 11
2.2.2 Environmental Management System (EMS) 15
2.2.3 Occupational Health and Safety Management
System (OHSMS) 18
viii
2.2.4 Energy Management System (EnMS) 22
2.3 Trend of MSSs certifications 26
2.4 Integrated Management System (IMS) 28
2.5 Organizational Theories and Management Fashion 31
2.5.1 Classical Management Theory 39
2.5.2 Theories Discussed in Previous IMS Literatures 44
2.5.2.1 System Approach for IMS 45
2.5.2.2 Stakeholder Theory for IMS 46
2.5.2.3 Contingency Theory 47
2.6 Benefits of IMS Implementation 48
2.7 Strategies of IMS 49
2.7.1 Ways of Integrating the Management Systems 49
2.7.2 Types of Management System Integration 54
2.7.3 Approaches and Proposed Frameworks for
Integrating the MSs 56
2.8 Conclusion 70
CHAPTER 3 METHODOLOGY 71
3.0 Introduction 71
3.1 Research Approach 71
3.2 Research Design and Research Method 72
3.2.1 Quantitative 73
3.2.1.1 Survey and Instrument 74
3.2.1.2 Pilot test 77
3.2.1.3 Questionnaire Distribution 77
3.2.1.4 Survey Response 77
3.2.1.5 Descriptive Analysis 78
3.2.2 Qualitative 78
3.2.2.1 Delphi Technique Expert Opinion 78
3.2.2.2 Delphi Panel Selection 82
3.2.2.3Qualitative Analysis 84
3.3 Conclusion 84
ix
CHAPTER 4 FINDINGS AND ANALYSIS 85
4.0 Introduction 85
4.1 Quantitative Result- Survey 85
4.1.1 Profiles of the Survey 85
4.1.1.1 Response Rate 85
4.1.1.2 Profile of the Respondent (Sizes and
Types) 87
4.1.2 Status of IMS Implementation 90
4.1.2.1 Profile of IMS Practicing Companies 90
4.1.2.2 Reasons for Not Integrating the MSs 92
4.1.2.3 Extent of Practice Adapted among the
IMS Companies 93
4.1.3 Strategies for Implementing IMS 96
4.1.3.1 Ways of Integrating MSs 96
4.1.3.2 Approaches Used for Integration 98
4.1.3.3 Methods of Determining Processes/
Area for Integration of MSs 99
4.2 Qualitative Result- Delphi Technique Expert Opinion 100
4.2.1 Draft of IMS Guidance Document 100
4.2.2 Respond to Questionnaire during Round 1 101
4.2.3 Respond to Questionnaire during Round 2 106
4.2.3.1 Clarity of the Content of IMS Guidance
Document 108
4.2.3.2 Clarity of the IMS Model 108
4.2.3.3 Clarity of the Content of Clause 4-
Context of the Organization 109
4.2.3.4 Clarity of Clause 5- Leadership 109
4.2.3.5 Clarity of Clause 6- Planning 110
4.2.3.6 Clarity of Clause 7- Support 111
4.2.3.7 Clarity of Clause 8- Operation 112
4.2.3.8 Clarity of Clause 9- Performance
Evaluation 112
4.2.3.9 Clarity of Clause 10- Improvement 113
x
4.2.3.10 Significance of the IMS Framework in
Organization 114
4.2.3.11 Significance of the IMS Guidance
Document in Organizations 115
4.2.3.12 Strength of the IMS Guide and
Framework 116
4.2.3.13 Weakness of the IMS Guide and
Framework 117
4.2.3.14 Suggestion for Improvement 117
4.2.3.15 Finalized IMS Guidance Document 119
4.3 Concurrent Embedded Design 119
4.4 Conclusion 120
CHAPTER 5 DISCUSSIONS, CONCLUSIONS AND
RECOMMENDATIONS 121
5.0 Introduction 121
5.1 Review of Achievement of the Research Objectives 121
5.1.1 The status of IMS Implementation in
Malaysian Manufacturing Sector 121
5.1.2 The Strategies for Implementing IMS and
its implementation in Malaysian
manufacturing sector
124
5.1.3 The proposed framework and draft of
IMS guidance document for
implementing IMS in the manufacturing
sector
128
5.2 Summary 128
5.3 Recommended Flow of IMS Implementation 129
5.4 Recommendation for Future Research 133
REFERENCES 134
APPENDICES 149
VITA 237
xi
LIST OF TABLES
2.1 Examples of MSSs 10
2.2 The ISO 9000-QMS Families and its Evolutions 13
2.3 The ISO 14000-EMS Families and its Evolutions 16
2.4 The OHSAS 18000-OHSMS Families and its Evolutions 21
2.5 The ISO 50001: 2011-EnMS Families and its Evolutions 24
2.6 Literature Reported Organizational Integration Definitions 29
2.7 Important events in the development of TQM and the
development of Management and Organization Theory
33
2.8 Functions of CMT vs MS Standards Model 40
2.9 Compatibility of CMT principle with MS standards and
TQM
41
2.10 Summary of Theories Discussed in some of the Literatures
of IMS
44
2.11 Ways of Integrating MSSs in IMS literatures 51
2.12 Sequence of MSS Implementation 57
3.1 Research problems 71
3.2 Research Design 73
3.3 Research Objective (Previous vs Current Research) 76
3.4 Nominated Expert Panels 83
3.5 Summary of Research Methodology 84
4.1 Samples 86
4.2 Responses, Responding Medium, Eligible and Ineligible
Respondents
87
4.3 SME Definition in Malaysia 87
4.4 Survey Response 88
4.5 Type of Industries 89
xii
4.6 Matrix of Certification of MSSs Achieved by the
Respondents
90
4.7 Profile of the IMS Companies 92
4.8 List of Participating Expert Panels 102
4.9 The Demographic Study of the Expert Panels 104
4.10 Clarity of IMS framework and guidance document 108
4.11 Clarity of IMS Model 109
4.12 Clarity of Clause 4 109
4,13 Clarity of Clause 5 110
4.14 Clarity of Clause 6 111
4.15 Clarity of Clause 7 111
4.16 Clarity of Clause 8 112
4.17 Clarity of Clause 9 112
4.18 Clarity of Clause 10 113
4.19 Significance of the IMS framework 114
4.20 Significance of the IMS Guidance Document 115
4.21 Summary of Results in-line with Research Objectives 119
5.1 Comparison of Integration Areas 127
xiii
LIST OF FIGURES
2.1 ISO 9001 Model 14
2.2 EMS Model 18
2.3 OHSMS Model 22
2.4 EnMS Model 26
2.5 Trend Chart of MSS Certification Worldwide 27
2.6 An illustration of single and fully integrated system 30
2.7 Degree of Integration according to some authors 53
2.8 Separate Management System 54
2.9 Aligned System Approach/ Partial Integration 55
2.10 An Integrated Approach/ Full Integration 56
2.11 Alignment of ISO 9001:2000 and ISO 14001:1996
using the systems approach
58
2.12 PDCA Model on IMS 61
2.13 SHEQMS Model 62
2.14 The combination of risk analysis (“seven steps”) and
OHS management spiral
64
2.15 A model of an integrated quality, environment, and
health and safety management system using TQM
approach
67
2.16 An IMS Model using the basis of Business Excellence
framework
69
3.1 Quantitative Data Collection and Analysis 74
3.2 Design of Survey 76
3.3 Typical Three Round Delphi 80
3.4 Three Round Delphi Process 81
xiv
3.5 Design of Delphi Expert Opinion Research Design 82
4.1 Current Status of IMS Practice 91
4.2 Types of MSSs Integrated 91
4.3 Reasons for Not Implementing IMS 93
4.4 Trend of IMS practicing companies among the
respondents
94
4.5 Ways the respondents integrated their MSs 95
4.6 Duration of IMS Development from Start to Successful
Integration
96
4.7 Ways of Integration 97
4.8 Sequence of MSs Integration 98
4.9 Frequently used Approaches in IMS 99
4.10 Integration Areas 100
4.11 Experts Opinion on the Draft IMS Guideline content 107
5.1 Flow of Implementation of the IMS 132
xv
LIST OF ABBREVIATIONS
MS Management System
MSSs Management System Standards
IMS Integrated Management System
QMS Quality Management System
EMS Environmental Management System
OHSMS Occupational Health and Safety Management System
EnMS Energy Management System
QEEnHSMS Quality, Environmental, Occupational Safety and Health and
Energy Management System
MR Management Representative
OHSAS Occupational Health and Safety Assessment Series
ISO International Organization for Standardization
UNIDO United Nations Industrial Development Organization
UTHM Universiti Tun Hussein Onn Malaysia
DSM Department of Standard Malaysia
SIRIM Scientific and Industrial Research Institute of Malaysia
xvi
LIST OF APPENDICES
APPENDIX TITLE PAGE
A Memohon Kebenaran Mendapatkan Maklumat
Firma
149
B Survey on Integrated Management System 151
C Appointment Letter for Expert Panels Contributing
to the Validation of the Proposed “Quality,
Environmental, Energy and Health and Safety
Management System (QEEnHSMS) Integration
Guide
157
D Evaluation of the Proposed Framework and
Guidance For Integrating Quality, Environment,
Energy And Health And Safety Management System
(Round 1)
159
E Evaluation of the Proposed Framework and
Guidance For Integrating Quality, Environment,
Energy And Health And Safety Management System
(Round 2)
161
F Initial Draft of Proposed Framework And Guidance
For The Integration Of Quality, Environment,
Energy And Safety Management System
163
G Proposed Framework and Guidance Document for
the Integrated Management System (IMS) of
Quality, Environment, Energy and Occupational
Health and Safety Management Systems (Revised
Based On Experts’ Opinion)
200
CHAPTER 1
INTRODUCTION
1.1. Introduction
This chapter comprises the background of the research, problem statements,
objective of the research, scope of the research, importance of the research, limitation
of the research and finally the order of the chapters in this thesis.
1.2. Background of the Research
The adoptions to standard-based management system standards (MSSs) are
voluntary. However, the supply chain has somehow made it imperative to ensure a
certain level of compliance is maintained in companies. This is because larger
companies have observed positive impact when the suppliers have MSSs
implemented within them (Casadesus et al., 2009; Domingues et al., 2011; Heras et
al., 2010). Thus, multiple MSSs implementations in companies are increasing due to
the necessity to fulfil stakeholder demand (Barnett & King, 2008; Bernardo et al.,
2010a; Simpson et al., 2012; Zutshi & Sohal, 2005) despite the resources limitations
that the companies are facing internally (Mohamad et al., 2014b; Simon et al., 2011).
Therefore, the implementations of the MSSs are the current market trend and are
gradually applied as a guide for stakeholder requirement compliance by many
companies’. Evident to this fad is the continuous rise in certification to various MSSs
worldwide namely ISO 9001 Quality Management System (QMS), ISO 14001
Environmental Management System (EMS), OHSAS 18001 Occupational Health
2
and Safety Management System (OHSMS), ISO27001 Information Security
Management System (ISMS), ISO/ TS 16949 QMS for Automotive Production,
ISO13485 QMS for Medical Device Industry, ISO22000 Food Safety Management
System (FSMS), ISO 50001 Energy Management System (EnMS), SA8000 Social
Accountability International Standard and AA1000 AccountAbility series (Bernardo
et al., 2010a; ISO Survey, 2012; OHSAS Project Group, 2012). These standard based
MSSs are released by either national or international bodies (Simpson et al., 2012).
Due to the standards being non-integrated, some of these certificates of different
standard-based Management Systems (MSs) are issued to the same companies
(FMM, 2013; SIRIM QAS).
This phenomenon of the multiple MSSs implementation and certification
observed in the current market situation (Zeng et al., 2007a) is tied closely with the
stakeholder requirements compliance (Bernardo et al., 2010a) and the
internationalization of the businesses (Kartha, 2004). As a result of the rising
stakeholder requirements, companies are obliged to build their business processes in
a socially responsible manner. Thus, many companies adapt to various standard-
based management system that stipulates the specific management system
requirements respective to the standard (Simpson et al., 2012). It is expected that
through the adaptation to MSSs, the companies are able to ensure that all activities,
products and services are compliant with the stakeholder requirements (Asif et al.,
2008) namely quality, environmental, occupational health and safety, energy and
others relevant to the organizations’ business activity.
Indeed, the adaptation to the escalating and changing stakeholder
requirements (Simpson et al., 2012) are also encouraged by the industry association,
to improve the perception of their industry among regulators and community (Barnett
& King, 2008; Simpson et al., 2012), as well as to boost clients’ confidence level on
individual companies. Additionally, certified companies are also subject to
continuous improvement activity to enhance further the effectiveness and efficiency
of specific areas where stakeholder requirements are demanded, for sustaining the
business as well as maintaining the certifications achieved.
From the economic point of view, Malaysia is moving towards achieving the
status of a developed country by the year 2020 (Islam, 2011). However, in achieving
a developed country status, economic accomplishment is important. Statistics
revealed that the contribution of the manufacturing sector is 67% of the export
3
(Economic Planning Unit, 2014) and is 25% of the GDP which includes 3.6 million
(28.9%) employment (FMM, 2013). In addition, the Malaysian SME Master Plan
2012-2020 has set specific objective and targets for SMEs to achieve; 41% of GDP,
62% employment and 25% exports by the year 2020 (National SME Development
Council, 2012). In order to generate higher contribution from the manufacturing
sector, trade capacity building is important. In fact, trade capacity building is a
requisite to achieve global competitiveness for Malaysian industry. However, in
trade capacity building, a major concern is to address the stakeholder requirement.
The phenomenon of increasing number of organizations with multiple MSS in
Malaysian SMEs -mainly to address the stakeholder requirements- is considered by
the analyst as part of the trade capacity building that contributes to the economic
development (Tambunan, 2009). Therefore, to achieve the set national target and to
support the manufacturing industries to perform better, it is beneficial to develop an
Integrated Management System (IMS) guidance document that is able to fulfil
varying stakeholder requirement and guide the industry in a better manner.
1.3. Problem Statements
For the sake of business sustainability, many business entities have adopted
multiple management systems by using the MSSs as a tool that supports the strategic
management of various elements required by the stakeholders. A compilation of
database prepared during this research based on Federation of Malaysian
Manufacturers (FMM 2013) and Malaysian Certified website shows that there are a
number of 463 companies in Malaysia which are certified to two or more MSSs. The
certifications include the interest in managing product quality, resources, energy and
environment which has somewhat developed separately (Giancarlo, 2005). Although
no database is available to quote the number of IMS practicing companies in
Malaysia, the survey conducted by SIRIM Training Services found that the system
integration is well received among the companies with multiple MSSs (Idris et al.,
2012).
As to handle the rising stakeholder requirements, increasing number of MSSs
are published and multiple MSSs are implemented, certified and maintained (Zeng et
al., 2007a), despite the resources limitation within the companies. Thus, integration
of multiplying requirements into one holistic business management system is crucial.
4
As a result, companies can address various stakeholder requirements in an integrated
manner (Asif et al., 2010b). The researchers of the decade-between year 2005 to
2014- do agree that IMS adaptation is favourable for companies (Asif et al., 2008;
Casadesus et al., 2011; Rory Sullivan, 2005; Sampaio et al., 2012).
However, business survival outweighs the costly implementations of the
multiple MSSs. Businesses in many sectors seek certification to the standards in
order to win bids or remain in the clients’ approved suppliers list (Bendell & Boulter,
2004). Thus, “integration would ensure that only one management system is present
within the organization, which could be efficiently and effectively understood,
implemented and maintained” (Zutshi & Sohal, 2003). As a result, companies will be
able to achieve cost saving, improve resources utilization and allows better
communication within the organization (Mohamad et al., 2014b; Zutshi & Sohal,
2003). Therefore, an integration guide will be a useful aid to support the companies
pursuing the IMS implementation.
Besides, at this moment, no international or national standard have addressed
the process of integration of MSSs and the best way to accomplish it (Bernardo et al.,
2010a; Domingues et al., 2011; Labodova, 2004; Mohammad, 2006). Therefore, it is
appropriate create an IMS guideline.
1.4. Objective of the Research
In this research, in addition to exploring the status of IMS implementation in
manufacturing sector, the extent of implementation and the strategies in
implementing the IMS, it is also taking into consideration the scholars views, as well
as manufacturing sectors multiple MSSs adoption. With the aim to fulfil the need, a
framework and a draft guidance document for IMS are proposed. Hence, the
objectives of this research are:
a) To assess the status of IMS implementation in the Malaysian manufacturing
sector
b) To investigate the strategies for implementing IMS and its implementation in
the Malaysian manufacturing sector
c) To develop guideline for IMS implementation in the Malaysian
manufacturing sector comprising Quality, Environmental, Occupational
Health and Safety and Energy Management Systems.
5
1.5. Scope of Research
This study focuses on developing an IMS guideline for the implementation in
Malaysian manufacturing sector. The scope of this research is limited to:
a) Organization refers to companies in manufacturing sector based on
FMM2013, Malaysian Certified website (companies certified by SIRIM) and
also the UNIDO EnMS program first batch participants.
b) The sample consists of companies with the certification of a minimum three
MSS within the range of QMS, EMS, OHSMS and EnMS.
c) The scope of the IMS is set as QMS, EMS, OHSMS and EnMS since these
are the four general MSSs that are applicable to any type and size of
organizations worldwide. These standards are also identified as the most
common composition of IMS implementation, namely the subsets of Quality
and Environmental Management System (QEMS), Environmental and
Occupational Health and Safety Management System (EHSMS),
Environmental and Energy Management System (EEnMS), Energy and
Occupational Health and Safety Management System (EnHSMS), Quality
and Energy Management System (EnMS) and Quality, Environmental and
Occupational Health and Safety Management System (QEHSMS) (Mohamad
et al., 2014b). The analysis concurred that the integration of these four MSSs-
Quality, Environment, Occupational Health and Safety and Energy
Management System- have not been well-established (Mohamad et al.,
2014b). Therefore, the scope of the integration guide suggested here are the
MSs relating to the elements of Quality, Environmental, Occupational Health
and Safety and Energy.
d) IMS guideline refers to a general guideline to guide the manufacturing sector
that intends to pursue IMS implementation for QMS, EMS, OHSMS and
EnMS.
1.6. Importance of the Research
The percentage of companies reporting better performance result is higher in
companies’ with multiple MSS certificates than those with single certification
(Casadesus et al., 2011). Malaysian organizations are paying more attention to the
6
needs of MSSs and best practices. It was also evident from a survey that systems
integration is getting popular among the organization for example ISO 9001 being
integrated with ISO 14001 and OHSAS 18001(Idris et al., 2012). This study is
important to:
a) provide assistance and structured guidance to companies for implementing
IMS and getting through the implementation
b) encourage more companies to adopt IMS so that the MSSs subscribed are
holistically practiced in the organization
c) recommend possible synergies within the MSSs being certified
d) be referred as an additional literature for current business environment in
Malaysia.
1.7. Limitations of the Research
This study covers the manufacturing sector in Malaysia only. There are only four
MSSs, namely QMS, EMS, OHSMS, and EnMS focused in the research. However,
the extent of integration of MSSs in the companies is dependent on the commitment,
necessity for IMS implementation, resources availability and readiness for change
within the organizations itself.
A consolidated database of companies that have implemented multiple MSSs
is also lacking. Due to these limitations, the respondents list were self-initiated based
on FMM Directory 2013, SIRIM’s Malaysian Certified website and United Nations
Industrial Development Organizations’ Energy Management Program participants.
Therefore, only limited samples are taken as mentioned in the scope.
The common trios among the companies are the QMS, EMS and OHSMS.
Since 2011, the companies are also being introduced to ISO 50001. Although the
numbers of certified companies are less, that is a number of 14 certified companies in
Malaysia by the end of 2015, the energy management is crucial in combating with
the energy security challenges.
7
1.8. Conclusion
This thesis consists of five chapters. The Chapter 1 introduces the research
background, the problem statement, the research objectives, the scope of the
research, the importance of the research and the limitations of the research. The
Chapter 2 explains detailed literature review relating to the IMS which helps in
understanding the IMS implementation. The Chapter 3 describes the methodology to
be applied to gain the appropriate result of the research title. The Chapter 4 analyses
the findings of the survey based on the data collected and compiled; and the result of
Delphi Method Expert Opinion gathered. The Chapter 5 discusses and concludes the
finding in relation to the research objectives and recommends future research idea.
8
CHAPTER 2
LITERATURE REVIEW
2.0 Introduction
This chapter presents an overview of the Integrated Management System (IMS) and
the four MSs that have been selected for the integration purpose as per the Scope of
Research mentioned in section 1.4 of Chapter 1. It provides a basic description of the
evolution of Management System Standards (MSSs) and its trends. It is followed by
the introduction of the Quality Management System (QMS), Environmental
Management System (EMS), Occupational Health and Safety Management System
(OHSMS), Energy Management System (EnMS) and Integrated Management
System (IMS). The chapter further explains the theories and concepts of
organizational improvements, the benefits and barriers, the types, the strategies, the
approaches, the methods and the techniques of IMS, and the previously suggested
frameworks of IMS. Finally, a conclusion of this chapter is presented.
2.1. Evolution of Management System Standards (MSSs)
The compliance and certification to MSSs are optional. However, they are being
emphasized as obligatory criterion towards business and corporate sustainability.
From a corporate perspective, sustainability encompasses triple bottom line
(economic, environmental and social issues) that have business implications
(Muhammad Asif et al., 2011). Thus, in addressing the challenges of corporate
sustainability for instance rapidly changing market conditions, coordination of
9
operations at a global level and an increased reliance on outsourcing, a number of
MSSs have emerged, with intention to help managers to systematically address the
key stakeholder requirements including quality, environmental (including energy),
safety, information security, supply chain security and others (Karapetrovic, 2003;
Karapetrovic et al., 2010; Muhammad Asif et al., 2011). These International
Standards on MSs are published by International Organization for Standardization
(ISO) and OHSAS Project Group specifically on OHSAS 18001 (Muhammad Asif et
al., 2011).
The ISO story is shared to the public through their website
(http://www.iso.org/iso/home/about.htm). ISO began to operate since 1946, when
delegates from 25 countries met at the Institute of Civil Engineers in London,
followed by a decision to establish an international organization ‘to facilitate the
international coordination and unification of industrial standards’. Hence, in
February 1947, ISO officially begin its operation with “ISO” as its acronym.
Although the term 'International Organization for Standardization' has different
acronym in different languages (for instance English acronym as IOS, French
acronym as OIN for Organisation Internationale de Normalization). The founders
decided to use ISO because it is derived from the Greek word “isos”, which means
equal (http://www.iso.org/iso/home/about.htm). This international body have
published various MSSs which includes general standards, sector specific standard
and product specific organizational requirements (Romero, 2006). MSSs published
by ISO are indexed with “ISO” acronym followed by an index number. However,
ISO has not introduced any standard relating to safety yet (Jorgensen & Simonsen,
2002).
The safety standard, Occupational Health and Safety Assessment Series
(OHSAS); OHSAS 18000 series were not introduced by any specific organization.
Rather, it was a combination of various international certification bodies, for which
British Standard Institute (BSI) provided the secretariat. OHSAS 18000 series were
developed with the basis in BS 8800 British National standard addressing OHSMS
(Jorgensen et al., 2006). Occupational Health and Safety Assessment Series
(OHSAS) aims to provide guideline for OHSMS that is able to create and maintain
safe workplace conditions and protect employees from workplace injuries and
illnesses (Fan & Lo, 2012).
10
With the introduction of ISO 9001 QMS standard in the year 1987 as
organizations guideline and well-received by organizations, International Standards
were continuously released. Following the launch of the ISO 9000, MSSs have been
progressively developed for environmental management as ISO 14001, occupational
health and safety as OHSAS 18001 and ISO 45001, corporate social responsibility as
AA1000), (Karapetrovic, 2003; Karapetrovic & Jonker, 2003; Rocha et al., 2007)
and efficient energy management as ISO 50001 (Casadesus et al., 2009; Ranky,
2012) to name a few. It is clear that new standards continue to emerge and existing
standards are undergoing periodic updates (Karapetrovic, 2003; Rocha et al., 2007).
Table 2.1 consists of standards discussed by Romero (2006). The OHSAS
18001 and ISO 50001 are added-on to this table as general standards. OHSAS 18001
and ISO 50001 standards are compatible with ISO 9001 and ISO 14001 (Eccleston et
al., 2012; Jorgensen et al., 2006). The demand trends of these standards are
discussed in Section 2.3.
Table 2.1: Examples of MSSs (Romero, 2006)
General Standards
ISO 9001 Quality Management System (QMS)
ISO 14001 Environmental Management System (EMS)
ISO 50001 Energy Management System (EnMS)
OHSAS 18001 Occupational Health and Safety Management System(OHSMS)
Sector Specific
ISO 22000 Food Safety Management System (FSMS)
Product Specific
ISO/TS 16949 QMS for Automotive
ISO 13485 QMS for Medical Devices
2.2. Brief Introduction of QMS, EMS, OHSMS and EnMS
As mentioned in Section 1.4 of Chapter 1, the topic of this thesis intended to limit the
scope on integration to the four MSSs, namely QMS, EMS, OHSMS, and EnMS.
Thus, the following subsections provide the overviews on the MSSs included in the
integration.
11
2.2.1 Quality Management System (QMS)
ISO 9001 was adopted from BS5750 (Baulch-Jones I, 1994) as a set standard for
quality assurance in design, development, production, installation and service
(Kartha, 2004). Kartha (2004) also described the purpose of the deployment of ISO
9001 was to simplify the international exchange of goods and services by developing
a common set of quality standard (Kartha, 2004). On the other hand, Wahid &
Corner (2009) described the purpose of the ISO 9000 series as a standard to assist
organizations of all sizes and types to implement and operate an effective QMS (Ab.
Wahid & Corner, 2009). Although the purpose are described by researchers in
different perspectives, it can be summarized as a channel that creates universal
uniformity in making the product and services of any type and size of organization to
achieve a reasonably acceptable quality level.
Initially, ISO 9001 standard was not widely implemented in the USA and
Japan. However, a major boom in ISO 9001 certification happened due to the fact
that companies exporting to the EU had to become registered to ISO 9001 because
European Community set ISO9001 registration as a pre-requisite for doing business
with other nation (Kartha, 2004); and also due to the adoption and promotion of these
standards by major governmental and professional bodies (Karapetrovic et al., 2010).
Since the implementation was done due to the pre-requisite, some companies did
question the merit of maintaining the quality system and added value of such system
adaptation (Piskar & Dolinsek, 2006). However, the experienced companies agreed
that as a result of QMS implementation, financial indicators reveals the performance
improvement in terms of the efficiency and effectiveness of the business (Piskar &
Dolinsek, 2006). The QMS is agreed as a value-adding element by other researchers
too (Kartha, 2004; Lourenco et al., 2012). Besterfield, D. H., Besterfield, C.,
Besterfield, G. H., & Besterfield, M. (1995), emphasized that through continual fine-
tuning of operations to achieve incremental improvements, customer satisfaction will
be maximized and the financial result will follow (Besterfield et al., 1995).
The organizations can enjoy significant benefits, provided that the
implementation and certification process of standards are properly understood and
executed (Grant et al., 1994; Lourenco et al., 2012). Among those significant benefit
is the substantial performance improvement compared to uncertified peers (Kartha,
2004). Thus, getting certified is undeniable. Key benefits of ISO 9001 discussed by
12
researchers in various editorials include gaining competitive advantage, improved
business performance, attracting investment, enhancing brand reputation, saving
money, streamlining operations, reduction of wastages, improving product and
service quality, reducing customer complaints, encouraging internal communication,
raising morale, and improving customer satisfaction (Heras et al., 2010; Karapetrovic
et al., 2010; Lourenco et al., 2012; Mohamad et al., 2014b; WM To; Peter KC Lee;
Billy TW Yu, 2012).
Historically, the series of International standard for QMS consists of the ISO
9000, ISO 9001, ISO 9002, ISO 9003 and ISO 9004 (Affisco et al., 1997; Besterfield
et al., 1995). It is prepared by ISO Technical Committee 176 (ISO/TC176). Table
2.2summarizes the release and revision of each standard in this family. The ISO
9000, which provides fundamentals and vocabulary used in the entire ISO 9000
family of standard, was released in 1987 and revised periodically.
The ISO 9001, ISO 9002, and ISO 9003 were released in the year 1994 and
revised periodically too. The revision in the year 2000 integrated the ISO 9001, ISO
9002 and ISO 9003 into one standard, yet still address as “ISO 9001”. Hence,
resulting from this revision, the ISO 9001 became the only ISO standard against
whose requirements a QMS can be audited and certified by external certification
bodies (Affisco et al., 1997; Zeng et al., 2007a; Zeng et al., 2007b). Meanwhile,
organizations which have been certified to ISO 9002 and ISO 9003 before the year
2000 were required to upgrade their certification to the ISO 9001:2000 by December
2003 (Bendell & Boulter, 2004). Later in 2008, ISO 9001:2008 version was released
and certified companies were required to upgrade by 2010. Recently, in the release of
ISO 9001:2015 version, a major change is observed(Technical Committee ISO/
TC176, 2015). Certified companies are required to upgrade by September 2018.
13
13
Table 2.2: The ISO 9000-QMS Families and its Evolutions (Bendell & Boulter, 2004; http://www.iso.org/iso/home/about.htm, ; Zeng et al.,
2007b)
Standard Description 1987 1994 2000 2005 2008 2009 2015 Remarks
ISO
9000
QMSs-
Fundamentals and
Vocabulary
Released Revised Revised Revised - - Revised
Non-
auditable &
Non-
certifiable
standard
ISO
9001
QMSs- Requirements
(to companies
who design their own
products and
services)
Released
Revised
Note:
The three
standards
were
integrated into
one
Exclusion
allowed on
inapplicable
clauses in
clause 7-
Product
Realization
ISO
9001:2000
Quality
Management
Systems-
Requirements
- Revised - Revised
Auditable &
certifiable
standard
ISO
9002
QMSs- Requirements
(to companies who
do everything
except design)
Released
ISO
9003
QMSs- Requirements
(to companies where
products or services
can be verified only
by inspection and
test)
Released
ISO
9004
QMSs- Managing for
the Sustained Success
of an Organization-
A Quality
Management
Approach
Released - - Revised
Approved
for revision
on 3-Dec-
2015
Non-
auditable &
Non-
certifiable
standard
14
The ISO 9001:2000 and ISO 9001:2008 QMS versions introduces eight (8)
Quality Management principles. Those are customer focus, leadership, the
involvement of people, process approach, system approach to management, continual
improvement, factual approach to decision-making and mutually beneficial supplier
relationship (Kartha, 2004). These principles provide a platform for deploying good
management practice throughout the organization (Hele, 2003). Also, the standard ,
consist of five auditable clauses, namely Quality Management System (Clause 4),
Management Responsibility (Clause 5), Resources Management (Clause 6), Product
Realization, and (Clause 7) and Measurement, Analysis and Improvement (Clause 8).
The ISO 9001:2000 and the ISO 9001:2008 QMS version also applied a process
approach model. All the five clauses are linked in the Process Approach model as
illustrated in Figure 2.1. This research is using ISO 9001:2008 as the QMS standard.
Figure 2.1: ISO 9001 Model (Technical Committee ISO/ TC176, 2008)
However, the latest version, the ISO9001:2015 released in September 2015
stipulates only seven management principles which are the customer focus,
leadership, engagement of people, process approach, improvement, evidence-based
decision making and relationship management (Technical Committee ISO/ TC176,
15
2015). The format is restructured to adapt to Annex SL format that consist of seven
auditable clauses namely Context of the Organization (Clause 4), Leadership (Clause
5), Planning (Clause 6), Support (Clause 7) Operation (Clause 8), Performance
Improvement (Clause 9) and Improvement (Clause 10). This standard employs the
process approach, which incorporates Plan-Do-Check-Act (PDCA) Cycle and Risk
Based Thinking (Technical Committee ISO/ TC176, 2015).
Meanwhile, ISO 9004 is guidance on a wider range of objectives of a QMS
particularly in managing the long-term success and continual improvement of an
organization. It addresses both effectiveness and efficiency (Bendell & Boulter,
2004). It was released in 2000 and revised in 2009, in line with the release of ISO
9001: 2008, the most popular QMS standard in Malaysia and worldwide. Meanwhile,
ISO 9004:2009 is approved for revision on 3rd December2015 in line with the recent
release of ISO 9001:2015(Technical Committee ISO/ TC176, 2015)
2.2.2 Environmental Management System (EMS)
The Chernobyl accident is one of the “worst technogenic environmental disaster”
(Serebriakova, 2005), where a nuclear-power complex had two explosions in one of
the reactors, which blew-off 1 000 tons of cover plate and the roof of the building
(Bell & Shaw, 2005). The accident occurred at 01:23 a.m. on 26 April 1986, owing
to a fatal combination of design error, illegal operation, and unauthorized
experiment. Due to this accident, a land area of 23,000km2 was heavily
contaminated, followed by a large-scale restriction of agricultural activities and mass
evacuation of both urban and rural areas. The surrounding area of the accident spot
remains as “Exclusion Zone” (Bell & Shaw, 2005). This accident is a typical
example of the dangers of ignoring environmental matters (Bell & Shaw, 2005). On
the other hand, there are many other “environmental disasters” happened and have
caused significant impact worldwide. Browsing the internet using the keyword
“industrial accident” will result in too many cases indeed.
Respectively, quality of natural environment surrounding the products,
activities and services are also being discussed as an additional requirement for
business in the 21st century (Zeng et al., 2005). Thus, processes are deemed
necessary to be assessed for its environmental friendliness. Therefore, the ISO 14000
standards for EMS Requirements with Guidance for Use were introduced by ISO, as
16
a result of the negotiations at the Uruguay round of the General Agreement on
Tariffs and Trade (GATT) and the ISO commitment to respond to United Nations
Conference on Environment and Development (UNCED) in year 1992 at Rio de
Janeiro (Zeng et al., 2005).
ISO 14001 is an EMS standard that is widely used to provide a structured
approach. It is applied by companies that are considering to institute good
environmental management practices such as planning and implementing
environmental protection measures and by which, if effectively implemented, may
help the company to continually improve environmentally and economically
(Chavan, 2005; Searcy et al., 2012). Moreover, the EMS standard provides an
orientation for establishing the EMS that can help firms to demonstrate publicly their
commitment towards the protection of the natural environment. It is based on three
principles, which are the pollution prevention, continuous improvement and
voluntary participation (Bansal & Hunter, 2003; Murillo-Luna & Ramon-Solans-
Prat, 2008).
The ISO 14001 were first launched in 1996 and revised in 2004 and 2015. A
newly revised standard have been released by ISO in 2015. This is an auditable
standard and organization can apply to be certified by an external certification body
(Bansal & Hunter, 2003). In particular, ISO 14001 helps to guide environmental
management in a structured manner and reduces the impact of organizations’
activities on the environment and helps to demonstrate sound environmental
management.
The ISO 14004 provides additional guidance and useful explanation for the
purpose of implementation and continual improvement of ISO 14001 (ISO, 2009).
Table 2.3summarizes the release and revision of ISO 14001 and ISO 14004.
Table 2.3: The ISO 14000-EMS Families and its Evolutions (ISO, 2009)
Standards Description 1996 2004 2015 2016 Remarks
ISO 14001
EMSs-
Requirements
with Guidance
for Use
Released Revised Revised
Auditable &
Certifiable
standard
ISO 14004
EMS- General
Guidelines on
Principles,
Systems and
Support
Techniques
Released Revised
Target
publication
date: 17th
Apr 2016
Non-auditable
& Non-
certifiable
standard
17
The remaining standard within the family focuses on other areas of
environmental sustainability such as environmental labels and declaration
(ISO14020), environmental performance (ISO14031), Life-cycle Assessment
(ISO14040), Environmental Communication (ISO14063), Greenhouse Gas
accounting and verification , and accreditation (ISO14064, ISO14065) and many
others which can be referred for detail on http://www.iso.org (ISO, 2009).
ISO 14000 series developed by ISO is a collection of voluntary standards that
assists organizations to achieve environmental and financial gains through the
implementation of effective environmental management. It provides a model for
streamlining environmental management and a guideline to ensure environmental
issues are considered within decision-making practices (Chavan, 2005).
Among the benefits of ISO 14001 EMS are the minimization of
environmental liabilities, efficient use of resources, reduced wastes, good corporate
image, build environmental awareness among the employees, gain better
understanding of the environmental impacts of business activities, increased profit
and improving environmental performance through more efficient operations
(Chavan, 2005) and as a self-regulatory system in compliance with legal
requirements (Zutshi & Sohal, 2003).
The EMS implementation Model is based on Plan-Do-Check-Act (PDCA)
cycle as described in Figure 2.2which includes five (5) auditable sub-clauses
including:
a) formulation and documentation of “Environmental policy”,
b) EMS “Planning” by assessing environmental aspects and impacts, and the
necessary control measures, as well the identification of relevant legal and
other requirements and its’ evaluation of compliance. Based on this
information, objectives, targets, and environmental program shall be
formulated,
c) EMS “Implementation and operation” is to allocate resources available as
per the requirement in order to set-up an adequate EMS suitable for the
organizations, capacity and capability building, setting the operational
control, fixing internal and external communication channels by suitable
means, documentations control and the emergency preparedness and
response,
18
d) “Checking” allows measurement of the performance based on the
objectives, targets and EMPs set as well the evaluation of compliance
performed. Also, it focuses on the tackling of the non-conformities,
corrective action, and preventive actions,
e) Management review phase is to review the result of the items detailed by
the top management, managers and key personnel’s and to obtain
feedback in order to proceed with continual improvement of
environmental performances and EMS.
Figure 2.2: EMS Model (ISO/ TC207 Environmental Management, 2004)
2.2.3 Occupational Health and Safety Management System (OHSMS)
Global companies are facing safety risks, making the statistics of occupational
accidents higher, both fatal and non-fatal. The facts and figures released by
International Labour Organization (ILO), summarizes as follows:
a) 2.02 million people die each year from work-related diseases,
b) 321,000 people die each year from occupational accidents,
c) 160 million non-fatal work-related diseases per year and
d) 317 million non-fatal occupational accidents per year.
19
This also means that every 15 seconds, a worker dies from a work-related
accident or disease. Besides, every 15 seconds, 151 workers have a work-related
accident. Undeniably, this deaths and injuries take a particularly heavy toll in
developing countries, where a large part of the population is engaged in hazardous
activities, such as agriculture, construction, fishing and mining and others (ILO,
2013).
In addition to the statistics from ILO, as to quote an example, one of the most
terrible industrial accidents in the history to be recapped is in Bhopal, India,
(http://www.bhopal.com/, 2014) whereby more than 40 tonnes of methyl isocyanides
gas leaked from a pesticide plant, which immediately kills 3, 800 people and caused
significant morbidity and premature death for thousands more. This disaster that
happened on 3rd December 1984, affected Union Carbide’s operation worldwide
(Broughton, 2005). After 25 years of the disaster, more than 500,000 registered
victims have survived the tragedy. Clinical studies have also shown chronic illnesses
in exposed groups. The survivors continue to experience a higher incidence of
reported health problems (Mishra et al., 2009). This and many others are the eye-
openers to International Labour Organization (ILO) in announcing a framework
covering a systematic approach to OSH that includes all industries and workers
(International Labour Organization, 2011). Considering the industrial accidents and
the occupational health and safety risks of Chernobyl, Bhopal and other similar
occurrence, the necessity for a guidance standard on Occupational Health and Safety
(OHS) are deemed relevant by ILO (International Labour Organization, 2011) .
Therefore, further to the adoption of the ISO 9000 QMS and ISO 14000 EMS
standards in the early 1990s, the possibility of developing an ISO standard on OSH
MSs was discussed at an ISO International Workshop in 1996 (International Labour
Organization, 2011). During this workshop, the participants agreed that ISO should
discontinue its efforts on OHSMS standard. Instead, because of its tripartite
structure, the International Labour Organization (ILO) would be a more appropriate
body than ISO to elaborate international guidance documents for the establishment
and implementation of an effective occupational safety and health MSs (International
Labour Organization, 2011). Therefore, ILO proceeded with its work in 1998.
Concurrently, in 1999, British Standard Institute (BSI) launched official proposal on
OHSMS as an ISO standard. This caused strong international opposition and a
20
campaign to stop the ISO work. Later, BSI developed OHSMS guidelines in the form
of private technical standard that is OHSAS 18001(International Labour
Organization, 2001; Jorgensen et al., 2004). The OHSAS 18001 was formulated by
international certifying bodies, with the basis in BS 8800 and was first published in
1999, for which BSI provided the secretariat (Jorgensen et al., 2006).
Although ISO have twice conducted ballot(in 1999 and in 2007) about
whether to develop an ISO standard in OHS field, both times the proposals were
voted down (International Labour Organization, 2011; Jorgensen et al., 2004). This
was due to the international agreement since ISO Workshop in 1996, during which it
was agreed that the ILO is more appropriate to take charge of the OHSMS
development due to its tripartite structure -as an agency by United Nation which
consists of the government, employer, and worker representatives- (International
Labour Organization, 2011). Communication regarding the development of OHSMS
standard had been initiated again by BSI in February 2013, and again, ISO seeks out
for a ballot vote by 11 June 2013. New Work Item Proposal(NWIP) had been
circulated for the purpose of seeking ISO International Experts’ opinions on the
matter again (BSI & ISO, 2013). The NWIP had been accepted and ISO has formed
Project Committee 283(PC283) to proceed with the development of the standard and
estimated to release the finalized standard as ISO45001:2017(BSI & ISO, 2013).
Occupational Health and Safety Assessment Series (OHSAS) aims to provide the
guideline for OHSMS that is able to create and maintain safe workplace conditions
and protect employees from workplace injuries and illnesses (Fan & Lo, 2012). “It is
also to systemize the safety management, which often left to the discretion of the
employers” (Scipioni et al., 2001). It can be described as a de facto standard and is
used as the basis for certification of OHSMS (Jorgensen et al., 2006). OHSAS 18000
series of standard consist of OHSAS 18001 OHSMS Requirements and OHSAS
18002 Guidelines for the Implementation of OHSAS 18001. Table 2.4summarizes
the release and revision of OHSAS 18001 and OHSAS 18002
(http://en.wikipedia.org/wiki/OHSAS_18001). OHSAS 18001 is developed to be
compatible with ISO 9000 and ISO 14001 since its development in the 1990s
Jorgensen, T.H. et al., 2004).
21
Table 2.4: The OHSAS 18000-OHSMS Families and its Evolutions
(http://en.wikipedia.org/wiki/OHSAS_18001)
Standards Description 1999 2000 2007 2008 Remarks
OHSAS
18001
OHSMS-
Requirements Released
Revised
Auditable &
Certifiable
standard
OHSAS
18002
Guidelines for
the
implementation
of OHSAS
18001
Released
Revised
Non-auditable
& Non-
certifiable
standard
The benefits of adopting the OHSMS discussed in literature includes
improved company image, improved productivity, efficiency and safe working
environment, risk reduction on occupational safety and health accidents and as a self-
regulatory system in compliance with legal requirements (Fan & Lo, 2012; Omran et
al., 2008).
The OHSMS implementation model is also based on PDCA cycle as described in
the Figure 2.3, same as ISO 14001 EMS (Zeng et al., 2007a). The OHSAS 18001
standard consists of five (5) auditable sub-clauses:
a) formulation and documentation of “OHS policy”,
b) OHSMS “Planning” by developing a methodology for identifying and
assessing the hazard, and determining the control methods as well the
identification of relevant legal and other requirements and its evaluation of
compliance. Based on this information, objectives, targets and OHS program
shall be formulated.
c) OHSMS “Implementation and operation” is to allocate resources available as
per the requirement in order to set-up an adequate OHSMS to the
organization, capacity and capability building, setting operational control,
fixing the internal and external communication channels by suitable means,
participation and consultation methodologies, documentation and its control
as well the emergency preparedness and response. Also, it focuses on the
tackling of the incident investigation, non-conformities, corrective action and
preventive actions.
d) “Checking” allows measurement of the performance based on the objectives,
targets and OHS programs set as well as the evaluation of compliance
performed.
22
e) Management review phase is to review the result of the four phases by the top
management, managers and key personnel’s and to obtain feedback in order
to proceed with continual improvement OHS performance and OHSMS.
Figure 2.3: OHSMS Model (OHSAS Project Group, 2007; Zeng et al., 2007a)
2.2.4 Energy Management System (EnMS)
Energy is embedded in any type of goods and is needed to produce any kind
of service (Mohamad et al., 2014a). Currently, energy security is one of the global
issues. British Petroleum in 2009 were quoted to have reported that the world’s
growing thirst for energy/second amounts to almost 96,000 meter3 of natural gas,
1,000 barrels of oil and 222 tons of coal (Setti & Balzani, 2011). Looking up to the
statistics, the world electricity consumption is quantified as 42.6% in the industrial
sector (International Energy Agency, 2013) which causes the increase of carbon
dioxide (CO2). Thus, the rising CO2 level results in the greenhouse effect which, in
turn, caused climate change (Setti & Balzani, 2011). The climate change leads to
natural disasters such as floods, droughts and tornadoes, which have a tendency to
reduce the environmental impact if protection of the climate is done globally through
a sum of local contributions by adopting efficient EnMS (Fiedler & Mircea, 2012).
23
Therefore, there exist serious need to control and manage the energy
worldwide whereby industrial development is relied on in reducing poverty and
improving the quality of life, through sustainable practices (United Nations Industrial
Development Organization, 2011). In the meantime, the proliferation of national
energy management standards, which were introduced in Denmark, Sweden and
Ireland since 2001 onwards that have shown significant energy performance
improvement and continuous improvement (Gudbjerg et al., 2009; Mohamad et al.,
2014a). Thus, United Nations Industrial Development Organization (UNIDO)
recognized the industry’s need to enhance competitiveness while responding
effectively to climate change, with a systematic management method.
Hence, in March 2007, UNIDO hosted a meeting of experts from developing
countries and emerging economies, nations that had adopted or were developing
national energy management standards and representatives from the ISO Central
Secretariat. That meeting led to the submission of a formal recommendation to the
ISO Central Secretariat to consider undertaking work on an international energy
management standard. Responding to the recommendations, in February 2008, the
Technical Management Board of ISO approved the establishment of a new project
committee (PC 242 –Energy Management) to develop the new Management System
Standard for Energy Management. Close coordination of the planned activities led to
the first meeting of ISO PC 242 in September 2008 in Washington with participation
by delegates from 25 countries from all regions of the world, as well as
representation from UNIDO, which acted as liaises. The goal of ISO PC 242 is to
develop the new management system ISO 50001 on an accelerated schedule.
Between the first meeting in September 2008 and the second meeting in March 2009
in Rio de Janeiro, Brazil, ISO PC 242 produced two working drafts for experts’
review and comment by member countries. In March 2009 meeting, a decision was
made to escalate the version as a Committee Draft (CD) in June 2009, following
additional experts’ review and input. Eventually, this allows the release of ISO
50001 on track for publication in early 2011(McKane et al., 2010). Additional EnMS
guidance requirements were also released by ISO since year 2014.Table 2.5
Summarizes ISO 50001 EnMS families and its evolutions.
24
Table 2.5: The ISO 50000- EnMS Families and its Evolutions(Rossiter & Jones,
2015)
Standard Description 2011 2014 2019 Remarks
ISO
50001:2011
Energy management systems-
Requirements with guidance for
use
Released
Release
of
revision
Auditable &
Certifiable
standard
ISO
50002:2014
Energy audits- Requirements
with guidance for use Released
Non-auditable
& Non-
certifiable
standard
ISO
50003:2014
Energy management systems-
Requirements for bodies
providing audit and certification
of energy management systems
Released
Non-
auditable &
Non-
certifiable
standard
ISO
50004:2014
Energy management systems-
Guidance for the
implementation, maintenance
and improvement of an energy
management system
Released
Non-
auditable &
Non-
certifiable
standard
ISO
50006:2014
Energy management systems-
Measuring energy performance
using energy baselines (EnB)
and energy performance
indicators (EnPI) -- General
principles and guidance
Released
Non-
auditable &
Non-
certifiable
standard
ISO
50015:2014
Energy management systems-
Measurement and verification of
energy performance of
organizations -- General
principles and guidance
Released
Non-
auditable &
Non-
certifiable
standard
The purpose of ISO 50001 Energy Management System (EnMS) standard is
to enable organizations to establish the systems and processes necessary to improve
energy performance, including energy efficiency, use, and consumption.
Implementation of this International Standard is intended to lead to a reduction in
greenhouse gas emissions and other related environmental impacts and energy cost
through systematic management of energy(Project Committee ISO/PC 242 Energy
Management, 2011).
By practicing the EnMS, companies are enabled to achieve major savings
potentials of 40 to 45% of energy use and consumption of energy (United Nations
Industrial Development Organization, 2011), improve energy efficiency (20% or
more) and reduce GHG emissions worldwide (McKane et al., 2010).
The EnMS implementation model applies PDCA cycle too, similar to ISO
14001 and OHSAS 18001 (Project Committee ISO/PC 242 Energy Management,
2011). The EnMS model is described in Figure 2.4. This consists of seven (7)
134
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