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Developing a Generic Standard

For

Organizations’ Compliance :

QMS, EMS, OHSMS, EnMS

Prepared by: Fadzilah Mohamad

Submission Date: 19-Aug-2013

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Table of Contents

CHAPTER 1 ................................................................................................................................................ 4

INTRODUCTION ....................................................................................................................................... 4

1.1 Background of the Research ........................................................................................................... 4

1.2 Objective of the research ................................................................................................................ 5

1.3 Scope of the research ...................................................................................................................... 6

1.4 Importance of the research .............................................................................................................. 8

1.5 Limitation of the research ............................................................................................................... 9

1.6 Layout of the thesis ........................................................................................................................ 9

LITERATURE REVIEW .......................................................................................................................... 10

2.1 Introduction 10

2.2 Evolution Of Management System Standards 10

2.3 Quality Management System (Qms) 13

2.4 Environmental Management System (Ems) 16

2.5 Occupational Health And Safety Management System (Ohsms) 18

2.6 Energy Management System (Enms) 20

2.7 Integrated Management System (Ims) 22

2.8 Methods Of Integrating The Management Systems 25

2.9 Types Of Management Systems Integration 26

2.10 Approaches For Integrating The Management Systems 26

2.11 Critical Success Factors Of Ims Implementation 27

2.12 Benefits Of Ims Implementation 29

2.13 Barriers For Implementing Ims 30

2.14 Conceptual Framework 30

2.15 Conclusion 31

CHAPTER 3 .............................................................................................................................................. 33

METHODOLOGY .................................................................................................................................... 33

3.1 Introduction.................................................................................................................................. 33

3.2 Survey.......................................................................................................................................... 34

3.2.1 Design of the Survey ............................................................................................................ 34

3.2.2 Design of the Questionnaire ................................................................................................. 36

3.2.3 Instrument Validity and Pilot Study ...................................................................................... 36

3.2.4 Implementation of the Survey ............................................................................................... 37

3.2.5 Data Analysis ....................................................................................................................... 37

3.3 EXPERT SAMPLING 38

3.3.1 Design of the Expert Sampling Instrument ............................................................................ 38

3.3.2 Implementation of Expert Sampling ..................................................................................... 38

3.3.3 Justification ......................................................................................................................... 38

3.4 Conclusion ................................................................................................................................... 38

REFERENCES 40

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CHAPTER 1

INTRODUCTION

1.1 Background of the Research

The modern definition of quality extends beyond products/ services

specifications to encompass the requirements of a variety of stakeholders. Stakeholder

requirements vary from ensuring employees‟ health and safety, sustainability, customer

satisfaction, and transparency in organizational affairs to execution of business processes

in a socially responsible manner (Muhammad Asif, Fisscher, Brujin, & Pagell, 2010)

.These are the factors that obliging manufactures and suppliers to ensure all activities,

products and services are complying with the requirements namely, quality,

environmental and occupational health and safety. The energy is another element being

stressed as the thirst is growing. Thus an Integrated Management System adaptation is

favorable for companies.

IMS do not have a specific International Standard for compliance. So does in the

case of IMS practitioners. No database of IMS practitioners is available for referencing.

However, we can observe that a few MSSs which seems to have increasing number of

certificates issued namely Quality Management System (QMS), Environmental

Management System (EMS), Occupational Safety and Health Management System

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(OHSMS), Energy Management System (EnMS), Food Safety Management System

(FSMS) and Information Security Management System (ISMS). Some of it is multiple

certifications to the same companies.

Australia, Denmark, Spain and Great Britain are among the countries that have

developed national guidelines (Bernardo, Casadesus, Karapetrovic, & Heras, 2010).

Even though there is no International Standard released by International Organization

for Standardization (ISO), understanding the quest in the market, ISO has published a

handbook on Integrated Use of Management System Standards. This book provides

related methodology and are supported with a variety of case studies (Casadesus,

Karapetrovic, & Inaki, 2011).

The benefits and barriers are frequently discussed and shared to encourage IMS

implementation in companies, especially by the practitioners in the field. Among the

examples of benefits of IMS for the organization are cost saving, resources saving,

energy saving and reduced paper works. In contrast, the examples of barriers are the

lacking of top management commitment, internal organizational issues, resistance of

employees and lack of human resources.

In adapting MSSs, the implementation methods suggested are either sequential

implementation or simultaneous implementation. Sequential implementation is

recommended for those companies that already certified with multiple singular MSS

certification. However, for those new companies, it is strongly suggested by the

practitioners to apply simultaneous implementation, so that a unique MSS can be

established which covers multiple MSSs requirement.

1.2 Objective of the research

Companies‟ interest in managing product quality, resources, energy and

environment has developed somewhat separately, as has the interest of scholars and

international(Giancarlo, 2005). Although interest in, and commitment to, quality is a

widespread feature of all branches of manufacturing industry, the same cannot be said of

interest in others i.e. environmental, occupational health and safety and energy. This is

due to the concern of additional cost and resources that is required in managing them.

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But, with the awareness that MSSs are tools that could support in strategic management

of the elements required by the stakeholders, massive number of companies are pursuing

for certifications.

Hence, the objectives of this research are:

i) To assess the status of IMS implementation in the Malaysian manufacturing

companies

ii) To investigate the strategies for implementing IMS and its implementation in

the Malaysian manufacturing companies

iii) To propose the strategies for implementing IMS in the Malaysian

manufacturing companies

1.3 Scope of the research

The coverage of this study will be on generic standard/ framework of IMS

implementation in Malaysian manufacturing companies. The scope will be limited to:

i. Generic Standard/ Framework will mean a general guideline to support

any companies that intends to pursue IMS implementation. This will

include strategies of implementation i.e. Methods of integrating, types of

integration, approaches of integrating, benefits and barriers, as well the

Critical Success Factors (CSFs) that will contribute to the success of the

IMS implementation.

ii. Organization is referring to manufacturing. It is selected because the

contribution of the sector is the second largest as reported in Figure 1.1. It

reflects that manufacturing sectors is contributing 25.0 % to the GDP of

Malaysia in 2013, which ranks it as the second largest contributor to the

country‟s economy (Economic Planning Unit, 2013). Besides, SME

Master Plan 2012-2020 is aiming towards internationalization of SMEs in

Malaysia too, within the stipulated time period (National SME

Development Council, 2012).

iii. The sample consists of companies with certification of a minimum two

MSS within the range of QMS, EMS, OHSMS and EnMS. The trio is the

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most common standard in Malaysia (MOSTI- Ministry of Science

Technology and Innovation; MSAC- Malaysian Standards and

Accreditation Council, 2011). The EnMS, though new, is significant to

look into. The Malaysian Government‟s National Productivity

Corporation hosts an e-benchmarking database on energy efficiency,

supported by the Department of Statistics and prepared in collaboration

with industrial associations United Nations Industrial Development

Organization (UNIDO). The database provides plant-level energy-

efficiency data and has led to the identification of potential energy-

efficiency savings of 40–45 percent in the cement and rubber industries,

some of it requiring little investment (United Nations Industrial

Development Organization, 2011).

iv. Malaysia is selected due to the sample companies are easily accessible

since the researcher and respondent are locals, and obviously, the number

research relating to MSS conducted in Malaysia are not much.

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Figure 1.1 Contributions by Industrial Sectors(Economic Planning Unit, 2013)

1.4 Importance of the research

The percentage of companies reporting a positive effect is higher for the

organizations with multiple MSS certificates than for those with a single

certificate(Casadesus et al., 2011). Malaysian organizations are paying more attention to

the needs of management standards and best practices. It was also evident from the

survey, systems integration is getting popular among the organization for example ISO

9001 being integrated with ISO 14001 and OHSAS 18001(Idris, Aziz, & Zailee, 2012).

Therefore, it is advantageous exposure:

i. To review the present status of IMS implementation in the Malaysian

manufacturing companies, since no updated data is available

ii. To provide assistance and structured guidance to companies for

implementing IMS and getting through the implementation

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iii. To encourage more companies to adapt IMS so that the MSSs subscribed are

holistically practiced in the organization

iv. To recommend possible synergies within the MSSs being certified.

v. As an additional literature on present business environment in Malaysia.

1.5 Limitation of the research

This study covers the manufacturing industries in Malaysia only and only four

MSSs, namely QMS, EMS, OHSMS and EnMS. The extent of integration will purely

depend on the commitment, need, resources availability and readiness for a change

within the organizations. The samples taken are from mainly from FMM2013 directory,

where only registered members are listed. It will be more comprehensive to refer to

Companies Commission of Malaysia, where any businesses in Malaysia are registered,

in order to have better numbers of samples.

1.6 Layout of the thesis

This thesis consists of five chapters as below stated:

Chapter 1 introduces the research background, objectives, scope, importance,

and limitations of the research.

Chapter 2 explains detailed Literature Review Relating to the topic

Chapter 3 describes the Methodology to be applied to gain appropriate survey

result of the research

Chapter 4 analyzes and discusses the result of the survey based on the data

collected and compiled.

Chapter 5 concludes the finding in relation to the research objectives and

suggests future research idea.

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Chapter 2

LITERATURE REVIEW

2.1 Introduction

This chapter presents an overview of the Integrated Management System (IMS)

and the four elements that have been selected for the integration purpose. As to begin

with, the definition of the Quality Management System (QMS), Environmental

Management System (EMS), Occupational Health and Safety Management System

(OHSMS) and Energy Management System (EnMS) are explained. Also explained are

ways of integrating the management systems, types of integrations, approaches for

integrating the management systems, frameworks of IMS, barriers and benefits of

implementing IMS and the Critical Success Factors of IMS. Finally, a conclusion of this

chapter is presented.

2.2 Evolution of Management System Standards

The compliance and certification to Management Systems Standards (MSSs) are

voluntary. However, they are being emphasized as essential criterion towards business

and corporate sustainability. From a corporate perspective, sustainability encompasses

economic, environmental and social issues that have business implications (Muhammad

Asif, Searcy, Zutshi, & Ahmad, 2011).In addressing the challenges of corporate

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sustainability, such as rapidly changing market conditions, coordination of operations at

a global level, and increased reliance on outsourcing, a number of MSSs have emerged

to help managers to systematically address the key stakeholder requirements, which are

published by International Organization for Standardization (ISO) and OHSAS Project

Group- specifically on OHSAS18001-(Muhammad Asif et al., 2011).

The ISO story began in 1946 when delegates from 25 countries met at the Institute of

Civil Engineers in London and decided to create a new international organization „to

facilitate the international coordination and unification of industrial standards‟. In

February 1947 the new organization, ISO, officially began operations. Since the term

'International Organization for Standardization' would have different acronyms in

different languages (IOS in English, OIN in French for Organisation internationale de

normalisation), the founders decided to give it the short form ISO. ISO is derived from

the Greek word “ isos”, meaning equal(International Organization for Standardization).

The MSSs published by ISO 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. Whilst, MSS on

Occupational Health and Safety (OHS) was published separately, by the Group

comprised representatives from National standards bodies, academic bodies,

accreditation bodies, certification bodies and OSH institutions with the UK‟s national

standards body, BSI Group, providing the secretariat ("OHSAS18001,"). Occupational

Health and Safety Assessment Series (OHSAS) aims to certify an OHSMS that is able to

create and maintain safe workplace conditions and protect employees from workplace

injuries and illnesses(Fan & Lo, 2012). OHSAS 18001 is compatible with ISO9001 and

ISO14001.

With the introduction of the ISO 9001 Quality Management System standard in

1987, standards have been progressively developed for environmental management (ISO

14001), safety (OHSAS 18001), and corporate social responsibility (AA1000), to name

a few. It is clear that new standards continues to emerge and existing standards is

undergoing periodic updates(Rocha, Searcy, & Karapetrovic, 2007). For example,

ISO50001:2011 Energy Management System (EnMS) is a newly launched standard, to

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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 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).

Romero(Romero, 2006) have listed some examples of MSSs as shown in Table 1.

This table has been edited to consist ISO launched standards. OHSAS18001is added on

to this table as a general standard, since it also aims to certify an OHSMS that is able to

create and maintain safe workplace conditions and protect employees from workplace

injuries and illnesses(Fan & Lo, 2012).

Table 2- 1: Examples of MSSs

General Standards

ISO9001 Quality Management System (QMS)

ISO14001 Environmental Management System (EMS)

ISO50001 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

ISO/TR 14061 EMS for Forestry organization

Consequently, the trend of certifications to management system standards is

reflecting its significance in the present business world. Figure 1 below depicts the

worldwide ISO certification trend. As of 2011, a number of 1,111, 698 certificates were

issued on ISO9001 Quality Management System (QMS), 267, 457 certificates were

issued on ISO14001 Environmental Management System (EMS) and a number 92, 302

certificates were issued on OHSAS18001 Occupational Safety and Health Management

System(OHSMS). Besides, ISO50001 had 461 certificates issued worldwide within the

same year of launching.(ISO Survey, 2012; OHSAS Project Group, 2012). These four

MSSs are general standards. Other product specific standard like ISO/ TS 16949 QMS

for Automotive product (20, 034 certificates), ISO13485 QMS for Medical Devices

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(47, 512 certificates) and ISO22000 Food Safety Management System (19, 980

certificates) are product specific. Whilst, ISO27001 Information Security Management

System(17, 509 certificates) are sector specific. The demand trend is also increasing.

However, the number of certificates issued for these standards are lower probably due to

the “limitation” of the standard in terms of products and sectors.

Figure 2- 1: Trend of MSS Certification Worldwide

Source:(ISO Survey, 2012; OHSAS Project Group, 2012)

With this data, it is known that multiple standards are being adapted by many

organizations. However, the extent of adaptation and implementation of Integrated

Management System seems limited. No database of practitioners adapting IMS found

for referencing. Based on discussion with local Management System Auditors, the

database are maintained as single management systems since the certificate issued are

meant for individual MSSs, even though the audit may have been carried-out as

integrated audits.

2.3 Quality Management System (QMS)

-

200,000

400,000

600,000

800,000

1,000,000

1,200,000

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

ISO9001 ISO14001 ISO50001 ISO13485

ISO/TS16949 ISO22000 ISO27001 OHSAS18001

Year

No

. o

f C

erif

ific

ate

Issu

ed

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Among the popular QMS standards, both in Malaysia and throughout the world

as of 2011 are ISO9001 Quality Management System, ISO/ TS 16949 QMS for

Automotive Products and ISO 13485 QMS for Medical Devices. However, based on the

data, ISO9001 is the most popular with the highest number of certification recorded.

ISO/ TS 16949 and ISO 13485 have lesser demand due to it is product specific. (ISO

Survey, 2012). These standards are based on ISO9001 and added with specific

requirement related to the product that it‟s‟ meant for.

The purpose of the ISO 9000 standards is to assist organizations in all sectors

and sizes to implement and operate an effective quality management system (QMS)

(Wahid & Corner, 2009). However, motivation for the introduction of this standard

differs considerably and is most often connected with demands, requested by customers

in supply chains. Companies that implemented the standard keep asking the question

whether it was worth it to maintain the quality system and what added value it

brought(Piskar & Dolinsek, 2006) . Yet, companies or organizations that have seriously

adapted and practically implemented the system are able to benefit from it in the long

run.

Among the key benefits discussed in literatures are summarized in Table 2

(Lourenco, Fonseca, & Mendes, 2012) below:

Table 2- 2: External and Internal Benefits of QMS EXTERNAL BENEFITS INTERNAL BENEFITS

Access to new markets Improved productivity

Improved company image Reduction for defective products

Improved Market Share Improved quality awareness

Improved relationship and communication with

the client Definition of staff responsibilities and obligations

Customer satisfaction Improved in delivery times

Improved internal organization (Clarity of work

procedures and documentation systems)

Reduction of non-conformities

Decrease in customer complaints

Improved internal communication

Improved product quality

Improved competitive advantage

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Motivation of staff

In 2011, there are 1, 111, 698 certificates of ISO 9001 Quality Management

System(QMS) released to 180 countries, of which 10, 757 was to Malaysia (ISO Survey,

2012). Even though it is indicating a drop of 1% compared to 2010, it demonstrates

QMS acceptance by the organizations‟, besides the market saturation of QMS. In other

word, this is an impression that most of the organizations world-wide have adapted to

ISO9001 QMS, which also reflects that the significance of QMS implementation in

organizations‟.

QMS consists of five auditable clauses, namely as quality management system,

management responsibility, resources management, product realization, and

measurement, analysis and improvement. All these clauses are linked in the ISO9001

model as illustrated in Figure 1 (ISO, 2000)

Figure 2- 2: QMS Implementation Model

The purpose of ISO9000 standard is to assist organization in all sectors and sizes

to implement and operate with an effective QMS (Wahid & Corner, 2009). However, the

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motivation for the adaptation of QMS differs, most often connected to customers‟

demand, through the supply chain. But, as discussed by Franka Piskar and Slavko

Dolinsek, the question that haunts the companies adapting QMS is, whether it is worth

to maintain the implemented QMS and will there be any value added point, which it may

bring to the organization in the nearest future. On the other hand, based on the financial

indicators, it reflects that the QMS does bring effectiveness and efficiency to the

business process(Franka Piskar; Slavko Dolinsek, 2006). ISO9000 comprise of 8

principles derived from collective experience and knowledge of international experts

which are customer focus, leadership, involvement of people, process approach, system

approach to management, continual improvement, factual approach to decision making

and mutually beneficial supplier relationship (Burt, Dobler, & Starling, 2004).

2.4 Environmental Management System (EMS)

Chernobyl Accident is one of the serious industrial disasters that will serve as a

good hint of the significance of EMS, where a nuclear-power complex had two

explosions in one of the reactors, which blew-off 1, 000 tonnes of cover plate and the

roof of the building. The accident occurred at 01:23am on 26April1986, due to fatal

combination of design, illegal operation and unauthorized experiment. A land area of

23, 000km2 were heavily contaminated, followed by a large scale restriction of

agricultural activities and mass evacuation of both urban and rural areas. Much of the

land area remains as “Exclusion Zone” till today(Bell & Shaw, 2005).

Besides the industrial environmental disasters, the ISO 14000 standards for

environmental management systems (EMSs) emerged also, as a result of the

negotiations at the Uruguay round of the General Agreement on Tariffs and Trade

(GATT) and the 1992 Rio de Janeiro summit on the environment (SX Zeng; P Tian;

Jonathan J Shi, 2005). Thus far, in 2011, a number of 267, 457 certificates of ISO14001

Environmental Management Standard (EMS) were released to 158 countries, of which 1,

934 were issued to Malaysian organizations too(ISO Survey, 2012).

The ISO14001 standard provides an orientation for the establishment of EMS

that can help firms to demonstrate publicly their commitment with the protection of the

natural environment. It is based on three principles i.e. pollution prevention, continuous

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improvement and voluntary participation (Bansal & Hunter, 2003)(Murillo-Luna &

Ramon-Solans-Prat, 2008). An EMS is a tool for managing the impacts of an

organisation‟s activities on the environment which provides a structured approach to

planning and implementing environment protection measures(Chavan, 2005). ISO14001

is a widely-used EMS standard that provides a starting point for organizations looking to

institute good environmental management practices and by which, if effectively

implemented, may help the organization to continually improve environmentally and

economically (Searcy, Morali, & Karapetrovic, 2012).

Among the benefits of EMS are minimize environmental liabilities, maximize

the efficient use of resources, reduce waste, demonstrate a good corporate image, build

awareness of environmental concern among employees, gain a better understanding of

the environmental impacts of business activities and increase profit, improving

environmental performance, through more efficient operations(Chavan, 2005)

The EMS implementation Model is as described in the Figure 2, which includes

five (5) clauses:

Figure 2- 3: EMS Implementation Model

i. formulation and documentation of “Environmental policy”,

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ii. 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.

iii. EMS “Implementation and operation” is to allocate resources available as per

the requirement in order to set-up an adequate EMS to the organizations‟

capacity and capability, as well setting the operational control, and internal and

external communication channels

iv. “Checking and corrective action” allows measurement of the performance

based on the objectives, targets and EMPs set as well the evaluation of

compliance performed.

v. Management review phase is to review the result of the four (4) clauses 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.

All these clauses are linked in the ISO14001 model as illustrated in Figure 2 above as a

PDCA cycle.

The purpose of EMS is to drive an organization towards an improved EMS

performance in order to help companies to systematically identify and appropriately

manage their environmental obligations and risk. Beside ISO14001, various EMS

specific to the product types are available for adaptation e.g. ISO 14061 EMS for

Forestry organization and Eco-management Audit Scheme (EMAS).

2.5 Occupational Health and Safety Management System (OHSMS)

Global companies were facing safety risks. One of the worst industrial accidents

in the history is in Bhopal, India, where more than 40 tonnes of methyl isocyanides gas

leaked from a pesticide plant, which immediately kills 3, 800 people and causing

significant morbidity and premature death for thousands more. This disaster that

happened on 3rd

December 1984, affected Union Carbide‟s operation worldwide

(Edward Broughton, 2005). After 25 years, despite more than 500 000 registered victims

that have survived the tragedy, clinical studies have shown chronic illnesses in exposed

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groups. Also, survivors continue to experience higher incidence of reported health

problems(Mishra et al., 2009).This accident would have been one of the eye-opener for

the initiation of OHSMS standard.

OHSAS 18001, which was formulated by international certifying bodies with the

basis in BS 8800 and first published in 1999, can be described as a de facto standard and

is used as basis for certification of occupational health and safety management systems.

(Tine Herreborg, Mellado, & Remmen, 2004). A number of 104, 480 certificates of

OHSAS 18001 Occupational Health and Safety Management System Standard (EMS)

were released to 144 countries, of which 237 certificates were released to Malaysian

organization(OHSAS Project Group, 2012).

The OHSMS implementation Model is as described in the Figure 3, which also includes

five (5) clauses:

Figure 2- 4: OHSMS Model

i. formulation and documentation of “OHS policy”,

ii. OHSMS “Planning” by developing methodology, 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.

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iii. OHSMS “Implementation and operation” is to allocate resources available as

per the requirement in order to set-up an adequate OHSMS to the

organizations‟ capacity and capability, as well as setting operational control and

the internal and external communication channels.

iv. “Checking and corrective action” allows measurement of the performance

based on the objectives, targets and OHS programs set as well as the evaluation

of compliance performed.

v. Management review phase is to review the result of the four (4) 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.

Among the benefits of OHSAS 18001 are improved company image, improved

productivity and working environment, Risk reduction on occupational safety and health

accidents and as a self- regulatory system in compliance with Occupational Safety and

health act.

Thus far, ISO have twice conducted ballot about whether to develop an ISO

standard in OHS field and both times the proposals was voted down(Tine Herreborg et

al., 2004). Communication regarding the development of OHSMS standard had been

initiated again by BSI in February 2013, and again, ISO seek 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).

NWIP had been accepted and ISO have formed Project Committee 283(PC283) to

proceed with the development of the standard and estimated to release the finalized

standard in 2016(BSI & ISO, 2013).

2.6 Energy Management System (EnMS)

Energy is embedded in any type of goods and is needed to produce any kind of service.

Currently, the world‟s growing thirst for energy amounts to almost 96,000 meter3 of

natural gas, 1,000 barrels of oil and 222 tonnes of coal a second(BP2009) (Setti &

Balzani, 2011). Furthermore, the increase in carbon dioxide concentration in the

atmosphere generated by the use of fossil fuels leads to an increase of the greenhouse

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effect that, in turn, causes climate change. This will impact food security, water

availability, fish production, and global forests, ocean acidification and permafrost

melting. Indeed, climate change caused by an increase of the CO2 concentration in the

atmosphere might lead to devastating effects on humanity(Setti & Balzani, 2011).

United Nations Industrial Development Organization (UNIDO) recognized the

industry‟s need to enhance competitiveness while responding effectively to climate

change and to the proliferation of national energy management standards. Thus, 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 submission of a formal recommendation to the ISO Central Secretariat

to consider undertaking work on an international energy management standard

(McKane et al., 2010).

Among the MSS being discussed under this topic, ISO50001 is the latest,

launched in 2011. Certification to ISO50001 is showing significance as a number of 461

certificates for ISO50001 Energy Management System (EnMS) were released to 32

countries within the same year of launching. However, Malaysian organizations are yet

to obtain any certification to the EnMS standard (ISO Survey, 2012).

The EnMS implementation Model is as described in the Figure 4, which also includes

five (5) clauses:

i. formulation and documentation of “EnMS policy”,

ii. Energy Planning by developing methodology, conduct the energy review and

establish the baseline, energy performance indicators and determining the

control methods as well the identification of relevant legal and other

requirements and its‟ evaluation of compliance. Based on the objectives,

targets and action plans necessary to deliver results in accordance with

opportunities to improve energy performance and the organization's energy

policy.

iii. EnMS “Implementation and operation” is to allocate resources available as per

the requirement in order to set-up an adequate EnMS to the organizations‟

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capacity and capability, as well as setting operational control and the internal

and external communication channels.

iv. “Checking and corrective action” allows monitoring and measurement of the

processes and the key characteristics of its operations that determine energy

performance against the energy policy and objectives and report the results.

v. Management review phase is to review the result of the four (4) phases by the

top management, managers and key personnel‟s and to obtain feedback in order

to proceed with continual improvement of energy performance and the

EnMS.(Project Committee ISO/PC 242 Energy Management, 2011)

Figure 2- 5: EnMS Model

2.7 Integrated Management System (IMS)

In order to implement an IMS, the organization must be subscribing for a minimum of 2

MSSs. An integrated management system is a management system which integrates all

components of a business into one coherent system so as to enable the achievement of its

purpose and mission(Farahani & Chitsaz, 2010) . The joint implementation and

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registration of quality, environmental and occupational health and safety systems,

among others, has opened the door to IMSs, which organizations are adopting as they

find it more reasonable to integrate their MSs than manage them individually (Bernardo,

Casadesus, Karapetrovic, & Heras, 2009; Douglas & Glen, 2000; Karapetrovic &

Willborn, 1998; Zeng S X, Shi, & X, 2007). Organizations are having various

definitions on IMS. Among those that have been reported are as shown in Table 1.

Based on the articles and journals published in various libraries, integration of MS is a

fashion among current MS practitioners. Also, to be noted is that different combinations

of subsets are practiced in different organizations depending on the nature of activities,

product and services.

Table 2- 3: Main Reported Organizational Integration Definitions Source Year Definition

Garvin 1991 “[. . .] measure of the alignment or harmony in an organization”

MacGregor

associates

1996 “[. . .] a single top level management “core” standard with optional

modular supporting standards covering specific requirements”

Karapetrovic and

Wilborn

1998 “[. . .] interrelated processes set sharing human and financial

resources, information, materials and infrastructures aiming several

objectives focus on stakeholders satisfaction”

Griffith 2000 “[. . .] blend together quality, environmental and health and safety

procedures in order to demonstrate externally the company

commitment to deliver a product or service, improved environmental

performance and better health and safety management”

Suditu 2007 “[. . .] organizational structure, resources and procedures that support

the planning, monitoring, quality control, safety and environmental

activities of an organization”

Source: (Paulo Sampaio; Pedro Saraiva; Pedro Domingues, 2012).

With these definitions, it can be summarized that IMS definition depends on extent of

practice of the integration of Management Systems in an organization.

Page 24 of 43

Figure 2- 6: Venn Diagram of IMS (M Asif, Brujin, & Fisscher, 2008)

The Figure 2-6 above depicts Venn diagram that showing integration of QMS, EMS and

OHSMS, the three common component of IMS (M Asif et al., 2008)

In present trends, the management systems are mushrooming and it is expected that the

new management system would keep appearing. Therefore, a true IMS would be one

that accommodates all existing management systems adapted by the organization and is

capable of incorporating prospective management systems as well. The illustration will

be as per the diagram shown in Figure 2-7 (M Asif et al., 2008).

Figure 2- 7: Generic IMS Illustration

Although ISO have not established any IMS standard, the need for it is arising as

more and more companies are obtaining multiple MSSs. The process of integration of

QMS

EMSOHSMS

QMS

EMS

OHSMSFuture

Management systems

Sector Specific

Standards

Generic

IMS

Convergence

of

individual

management

systems into

one

Page 25 of 43

MSs is not itself “standardized”, for instance, by an international standard that addresses

the best way to carry it out. There are, nevertheless, national guidelines by national

bodies namely, SAI Global, Dansk Standard, AENOR and BSI(Bernardo et al., 2010).

For example, British Standard Institution (BSI) introduced PAS 99, a Publicly Available

Specification (PAS) for organizations that already have a combination of formal

management system standards (such as ISO 9001, ISO 14001 and OHSAS 18001) to

create the framework for integrating these within a single system, including auditing

procedures, document control, risk management and performance improvement (BSI

Management System).

Also available as guide, a new ISO publication, namely a handbook on The

Integrated Use of MSSs (International Organization for Standardization, 2008b), which

provides related methodology supported by a variety of case studies (Casadesus et al.,

2011).

2.8 Methods of Integrating the Management Systems

Since MSS were not developed simultaneously ( e.g. ISO 9001 came in 1987, ISO

14001 in 1996 and OHSAS 18001 in 1999), and there is no way of knowing which

standards will appear in the future, they must be implemented one at a time

(Karapetrovic, 2003). The process of integration of MSs is not itself “standardized”, for

instance, by an international standard that addresses the best way to carry it

out(Bernardo et al., 2010). Therefore, the implementation order of the IMS shall be set

by the organization according to its culture and needs. The order may varies i.e. methods

for implementing IMS may be performed through either sequential implementation or

simultaneous implementation

a) Sequential implementation i.e. the individual MSS is implemented as a single

system. Then, it is integrated sequentially. For example, QMS is implemented,

followed by EMS, then OHSMS. Upon completion of the three (3) MSSs

implementation, review again the system to synergize and integrate them.

b) Simultaneous implementation i.e. integrates the MSs simultaneously from the

beginning. For example, when more than two (2) MSs need to be implemented

concurrently- such as subsets of QMS and EMS, EMS and OHSMS, QMS and

Page 26 of 43

OHSMS, QMS and EnMS, EnMS and EMS etc-, then, the MS shall be studied

and aligned to the organizations‟ need prior to the implementation.(Jim

Roughton, 1993; Karapetrovic S, 2002; Mohammad, Osman, Yusuff, & Ismail,

2005, 2006)

2.9 Types of Management Systems Integration

The types of MSs integration describe the degree of integration that an organization

applies to its IMS (Muhammad Asif, Fisscher, Bruijn, & Pagell, 2010). There are 2 types

of MS integration proposed by (Jorgensen, Remmen, & Mellado, 2006; Karapetrovic,

2003; Mohammad, 2006a; Tine Herreborg et al., 2004). Those are:

a) Partial integration- This model consists in the integration of some common

procedures from the three or more management systems.

b) Total integration- This model goes beyond integration of common procedures

and involves integration based in risk-based approach, process approach and

continuous improvement.

2.10 Approaches for Integrating the Management Systems

The approaches of IMS have discussed in detail and summarized in the table below:

Proposed approach Researcher

The most cited sequence is the three (3) possible sequences based

on the integration of QMSs and EMSs. The options are to

establish:

the QMS first and the EMS second;

the EMS first and the QMS second; and

the QMS and EMS simultaneously.

(Karapetrovic &

Willborn, 1998)

Four possible sequences as a function of the MSs that have already

been applied in an organization and those that are required to be

implemented:

QMS first, followed by the others.

EMS first, then the others.

QMS and EMS simultaneously first, subsequently the

others.

Fundamental elements of the IMS first, any function-

specific subsystems after.

(Karapetrovic,

2002)

Organizations that have established a QMS before an EMS, a

possible strategy to integrate other MSs can be:

Integrate QMS and other MSs based on the “process

approach” of ISO 9001.

Integrate EMS and other MSs based on the “PDCA model”

(Karapetrovic &

Jonker, 2003)

Page 27 of 43

of ISO 14001.

Subsequently, join, align, and integrate these specific MSs

A strategy for implementing ISO 9001 and ISO 14001

concurrently, with the following three elements:

methodology;

competitiveness during implementation; and

change effect on personnel.

(Aboulnaga,

1998)

Step-by-step. A sequential implementation of individual

QMS, EMS, and OHSMS, and combining them into an

IMS.

Implementation of an IMS. Covering these three areas

(QMS-EMS-OHSMS) directly, a strategy applicable to

organizations with no implemented MSs.

(Labodova,

2004)

Three types of IMSs consisting of QMSs, EMSs, and OHSMSs,

namely:

Merged. In which EMS is combined with the existing

QMS.

Conversion. Based on an established QMS with added

EMS elements.

Engineered. In which QMS are integrated with EMS and

OHSMS, taking advantage of the related synergies.

(Griffith &

Bhutto, 2008)

These approaches were also analyzed in determining the matter of implementation order

(Bernardo et al., 2010). Singular sequential MS implementation methods are the most

recommended because of its simplicity. Besides, to engineer a MSS into the established

MS will save time and other resources. However, to get it right, the person that lead the

IMS implementation of the organization need to have a good understanding of the

MSSs, and the team will need to go through a comprehensive training session to develop

their understanding and competency on the MSSs.

2.11 Critical Success Factors of IMS Implementation

Based on the studies carried out, five most critical success factors for IMS

implementation have been identified(Mohammad et al., 2005; Mohammad, Osman,

Yusuff, & Ismail, 2007). These were identified based on a questionnaire survey carried

out during the research which were participated by 87 companies from Malaysia. Those

are:

a) management commitment and leadership,

Page 28 of 43

Role of top management in terms of commitment, communication, support,

resources and leadership is crucial and inevitable in the case of IMS. Top

management‟s responsibilities begin as IMS begin in the organization because it

is an on-going and eternal process which need strong support so that it can be

successfully implemented, completed and maintained(Zutshi & Sohal, 2005). As

part of the commitment and leadership, the top management must communicate

the policy and objective to all level of organization. Besides, Management

Representative and working committee (if necessary) shall be appointed. Their

roles, responsibilities and authorities shall be clearly defined, documented and

communicated(Technical Committee ISO/ TC176, 2008)

b) education and training,

Organizations have begun to realize that training is a tool not only for getting a

better job performance , but also for creating organization-wide adaptability

(Beckmerhagen, Berg, Karapetrovic, & Willborn, 2004)

c) continual improvement,

With an ongoing continual improvement to IMS framework, the use of IMS will

have enormous benefits in the way organizations are able to manage their

quality, environmental and OH&S responsibilities(Farahani & Chitsaz, 2010).

d) performance measurement,

With IMS, organization becomes a unified whole, with each function aligned

behind a single goal (Farahani & Chitsaz, 2010). Thus, when processes are

combined with a well defined model of strategic success, the measurement

system can enhance the strategic management process by challenging the

assumptions and the strategy itself (Bourne, Mills, Wilcox, Neely, & Platts,

2000).

e) systems and processes

Identify the gap in the intended systems and processes through a thorough gap

analysis activity. Based on the result, prepare appropriate documentations that

are compliant to the intended MSSs. Upon establishment of the formal

documentation, communicate to the relevant process owners and interested

Page 29 of 43

parties. Then, plan a periodic internal audit to gauge the system and process

performances.

2.12 Benefits of IMS Implementation

IMS is obviously a value-adding activity for any organization to adopt. It brings benefits

and fortune to any organizations‟. The benefits are in terms of operational and financial

and the fortune is terms of marketing and have been discussed widely and regularly

among the researches. The benefits may be split in to a few categories such as cost

saving, i.e cost saving by optimization of time and resources(CasadesÃs M;

Karapetrovic S; Heras I, 2011; Jorgensen et al., 2006; Karapetrovic, 2003; Simon A;

Karapetrovic S; Casadess M, ; Zutshi & Amrik S Sohal, 2005); integrated audits(Zutshi

& Amrik S Sohal, 2005); cultural change i.e. integrated training and audits(Zutshi &

Amrik S Sohal, 2005), holistic view(Zutshi & Amrik S Sohal, 2005), better employee

morale(Simon A; Karapetrovic S; Casadess M, ; Wilkinson G; Dale B G, 1999);

enhanced reputation i.e. better organizational image(Simon A; Karapetrovic S; Casadess

M, ; Wilkinson G; Dale B G, 1999; Zutshi & Amrik S Sohal, 2005), improved

documentation i.e. minimization of documents and records, and reduction of

paperwork(CasadesÃs M; Karapetrovic S; Heras I, 2011; Casadesus et al., 2011;

Jorgensen et al., 2006; Karapetrovic, 2003), and effective/ optimized operation i.e.

reduced reworks and scraps activities(Sampaio, Saraiva, & Domingues, 2012), reduction

of the environmental risk (optimization of raw material and energy consumption, which

also reduce residues from production)(Sampaio et al., 2012), the reduction of health and

safety risk(as processes are better understood the accidents probability decrease)

(Sampaio et al., 2012), less waste(Wilkinson G; Dale B G, 1999), lower energy

costs(Wilkinson G; Dale B G, 1999), operational benefits(Simon A; Karapetrovic S;

Casadess M), improved customer satisfaction (Simon A; Karapetrovic S; Casadess M),

better resources utilization (Zutshi & Amrik S Sohal, 2005), less

bureaucracy(CasadesÃs M; Karapetrovic S; Heras I, 2011; Jorgensen et al., 2006;

Karapetrovic, 2003), effective strategic planning(Zutshi & Sohal, 2005) , enhanced

communication(Zutshi & Sohal, 2005) and simplification of internal and external audits

(Casadesus et al., 2011; Jorgensen et al., 2006; Karapetrovic, 2003).

Page 30 of 43

2.13 Barriers for Implementing IMS

The barriers though less discussed, is also important to be considered in implementing

IMS at any organization. Some of those discussed are lack of human resources(Simon

A; Karapetrovic S; Casadess M), lack of expertise and consultant(Zutshi & Sohal,

2005); lack of government support(Simon A; Karapetrovic S; Casadess M), continually

changing requirements and guidelines(Zutshi & Sohal, 2005), internal organizational

issues i.e. departmentalization of function(Simon A; Karapetrovic S; Casadess M), lack

of strategic planning(Zutshi & Sohal, 2005), lack of interest of individual concerns

within the involved people(Simon A; Karapetrovic S; Casadess M), resistance from

employees(Zutshi & Sohal, 2005), the need of fast reporting system(Zutshi & Sohal,

2005). These barriers are mainly addressing on resources provision which is vital and

could only made available by a committed top management, despite provision of system

that systematically designed to suit an organizations‟ operation.

2.14 Conceptual Framework

The proposed framework will be as shown in Figure 2.8. A generic policy shall be

formulated by the management on all the four MSS proposed as to demonstrate

Management Commitment. Then, at Plan stage, an initial assessment shall be carried-out

individually. Based on the result, integrate the assessment methodology. Simultaneously,

evaluate the compliance to Legal and Other Requirement(LOR) by the organization in

line with the assessment methodology. This will provide overview of IMS and help to

identify the gap.

At the Do stage, proceed with necessary actions and integrate the documents adequately

and appropriately. This will include manual, procedures; work Instructions, Standard

Operating Procedures, Forms, LOR and others if any. Upon completion of the

documentation, IMS walkthrough shall be carried out using the documents established.

Training and communication will be essential at this stage, to develop the understanding

of the IMS established.

An Internal Audit shall then be planned, three to six months later, to review the

adequacy of the new system implementation. This escalates the organization to Check

stage. Findings shall be recorded and directed to the responsible parties. Corrective and

Page 31 of 43

Preventive Actions shall be imposed to improvise the condition and prefereably

eliminate the issues.

Upon completion, data shall be gathered to report to the top management on the

status of the IMS implementation in the organization through the Management Review

meeting. Resources, training and other necessary requirements shall be highlighted to

the management through this meeting. Continual improvement must be the goal of this

meeting. The meeting minutes shall be documented and communicated to all relevant

parties.

.Figure 2- 8 Framework of QEEnHSMS Integration

2.15 Conclusion

In this chapter, QMS, EMS and OHSMS are obviously an interest of every party. ISO

Survey 2012 result is obviously picturing the significance of MS certification. As

understood, the glocalization activities are the driver that has brought a strong emphasis

towards the IMS implementation. But, energy is embedded in any type of goods and is

needed to produce any kind of service(Setti & Balzani, 2011). Therefore, the component

of energy must be included as part of the IMS in order to control consumption and to

Page 32 of 43

optimize the usage. The gap in the literatures is showing that EnMS have not been

addressed in the integration. Thus, the below shown figure 6 will be the model to be

addressed through this research.

Figure 2- 9: QEEnHSMS Integration Model

QMS

EMS

OHSMS

EnMS

Page 33 of 43

CHAPTER 3

METHODOLOGY

3.1 Introduction

This chapter describes the methods and instruments used to complete this

research. The overall procedures in conducting this research are detailed Table 3.1. It

begins with the research objectives and scopes that have been identified and stated in

Chapter 1. This is followed by detailed literature reviews on IMS and its related

literatures published by various researches and academician worldwide and the

methodologies applied in obtaining the result and finally arriving to a conclusion.

The survey through a questionnaire is applied to obtain quantitative data. The

steps applied starts with review of the existing questionnaire, editing, re-validation of

instrument, and pilot study, conducting survey and finally analyzing the data‟s collected.

Then, the collected data are analyzed and drawn out with a framework on strategies of

implementing IMS by manufacturing companies in Malaysia. The framework drawn

from this data will be justified through the application of purposive sampling through

“expert sampling” opinion gathered.

Table 3.1:

Methods applied for data collection in relation to the objectives of the research

No Research Objectives Research Questions Data Collection

To assess the status of IMS

implementation in the Malaysian

manufacturing companies

What are the profiles of the

companies that have

implemented IMS?

Survey

What is the degree of IMS

practice among the companies

that have implemented IMS

Survey

Page 34 of 43

To investigate the strategies for

implementing IMS and its implementation

in the Malaysian manufacturing

companies

What are the strategies that

have been used by the

Malaysian manufacturing

companies in order to

implement IMS at their

companies?

Survey

How is the IMS strategies

implemented in Malaysian

manufacturing companies

Survey

To propose the strategies for

implementing IMS in the Malaysian

manufacturing companies

What should be the strategies

for implementing IMS in the

Malaysian manufacturing

companies

Purposive

sampling-

Expert opinion

3.2 Survey

A survey is a system for collecting information from or about people to describe,

compare, or explain their knowledge, attitudes and behavior which include setting

objectives for information collection, designing the study, preparing a reliable and valid

survey instrument, administering the survey, managing and analyzing the survey data,

and reporting the results(Fink, 2003).

Survey is applied in this research to obtain inputs on the research objectives

stated below:

i. To assess the status of IMS implementation in the Malaysian manufacturing

companies

ii. To investigate the strategies for implementing IMS and its implementation in

the Malaysian manufacturing companies

iii. To propose the strategies for implementing IMS in the Malaysian

manufacturing companies

3.2.1 Design of the Survey

The design of the survey for this research will be initiated with a descriptive design.

Descriptive design is used to explore the status of some phenomenon and to describe

what exists with respect to the individual, group or condition(Edmonds & Kennedy,

2013). To be specific, in this research, it will be through the circulation of the updated

questionnaire to the manufacturing companies that have been certified with more than

Page 35 of 43

one Management System Standards based on FMM Directory 2013 as well the personal

contacts of the researcher.

Figure 3. 1: Survey Design

The survey design is as described in Figure 3.1. The survey instrument being applied

in this research is a questionnaire. The detail information about the questionnaire will be

detailed in 3.2.2.

The sample chosen are manufacturing companies with certification of more than two

MSSs. The reason for selecting this sample is because:

i. FMM lists are a database of manufacturers that have registered with them as

members. So, it is beyond doubt that the companies selected are

manufacturer.

ii. For companies certified to ISO standards, there is no database is available for

companies applying IMS since the certificates issued are for individual

MSSs.

iii. Only when the companies have at least two MSS, then it can pursue for IMS.

Furthermore, the focus of this study is on QMS, EMS, OHSMS and EnMS.

Survey Instrument

• Prepare an updated questionnaire

Sample

• manufacturing companies

• have more than one MSS certified

• based on FMM2013 Directory and the researcher's personal contacts

Target Respondents

• Management Representatives of the companies

Purposive-Expert

sampling

• Result of the analysed data from the questionnaire survey to be re-validated through expert's opinion

Page 36 of 43

Thus, the sample company chosen must have minimum any of the MSS in

the group.

iv. Targeted respondents of this survey are the Management Representative

(MR) s. This selection is made because the MR is the champion of the MS of

the companies. In all the MSSs being discussed in this research topic, the

appointment of MR is compulsory as per the requirement of the International

Standards.

v. In Purposive sampling, the researcher selects individuals to participate based

on a specific need or purpose. The variations of purposive sampling include

snowball, expert and heterogeneity sampling.

3.2.2 Design of the Questionnaire

The questionnaire is a updated version of an existing questionnaire that had been

used in research previously(Mohammad, 2006b). The five step approach remained

unchanged, which consist of Section 1- Company Background, Section 2- IMS Practice,

Section 3- Strategies for Integrating the MSSs, Section 4- Reasons for Not Implementing

IMS and Section 5- Barriers Towards IMS. Some updates have been done to the

questionnaire.

In Section 1, a question added on the year of establishment of the company.

Then, the type of industry has been listed as per the European Accreditation (EA) codes.

Also, in the list of QMS, ISO13485 and AS9100 added since those are new active

standards in present trend. Two additional question rose were on EnMS implementation

and adaptation to uncertified standards by the companies. In Section 2 and 3, the update

is very minor. Section 2 added with more options on integration of MSSs. Whilst,

Section 3 added with more selections on sequence of integration. The section 4 and 5

remained unchanged.

3.2.3 Instrument Validity and Pilot Study

The questionnaire of this research is a validated questionnaire by previous

author. However, due to the update done, instrument validity is still carried-out. For

face validity purpose, the questionnaire was presented to two companies who are not

Page 37 of 43

certified to any MSSs and two companies who are certified with multiple management

system standards. All the parties are able to understand and answer the questionnaire.

Then, the content validities were done by presenting the questionnaire to academician

and practitioners who have knowledge on the subject matter. The content is accepted

and agreeable.

Subsequently, for pilot study purpose, the questionnaire was distributed to 50

respondents and still pending for reply.

3.2.4 Implementation of the Survey

The chronology of the survey conducted is as per the Figure 3.2 below:

Figure 3. 2: Chronology of the Survey

3.2.5 Data Analysis

Data gathered are to be analyzed using SPSS software……

prepared a database of the sample companies

Prepared official cover letter explaining the purpose of research and non-disclosure of the information received

Using email of protected soft-copies and online survey to communicate with the respondents.

Tracking of of response through the email address of the respondents.

Compiled the response for data analysis

Page 38 of 43

3.3 Expert Sampling

The expert sampling is one of the purposive sampling techniques. It is a type of non-

probability sampling that is most effective when one needs to study a certain cultural

domain with knowledgeable experts within. Though choosing the purposive sample is

fundamental to the quality of data gathered, the reliability and competence of the

informant must be ensured. It is critical to be certain of the knowledge and skill of the

informant when doing purposive sampling, as inappropriate informants will render the

data meaningless and invalid (Godambe 1982). The researcher must also be alert for

possible biases on the part of the informant (Seidler 1974). (Tongco, 2007).

3.3.1 Design of the Expert Sampling Instrument

……………………………….

3.3.2 Implementation of Expert Sampling

………………………………….

3.3.3 Justification

……………..

3.4 Conclusion

Page 39 of 43

Page 40 of 43

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