MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 0: Page 1
Quality Manual
APPROVAL
This manual describes the ISO 9001:2008 compliant
Quality Management System of the Ministry of Coal,
Government of India.
I hereby approve this manual, and direct all concerned in
the Ministry to strictly follow the system contained in it.
Any subsequent change in this manual shall be issued
only after my specific approval.
Place : New Delhi
Secretary, Government of India,
Date :
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MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 0: Page 2
Quality Manual
English version:
QUALITY POLICY OF THE MINISTRY OF COAL,
GOVERNMENT OF INDIA
We are committed to
1. Develop the Indian coal industry in an eco-friendly, environmentally
sustainable, cost effective and in a safe manner for the efficient support to
various industry-sectors of the country;
2. Facilitate state-of-art technology and optimization of resources in Indian
coal sector for comprehensive economic growth of the country;
3. Comply with all the requirements of our quality management system, and
continually improve its effectiveness; and
4. Promote socially responsible and transparent governance system.
Hindi version:
कोयला मं ालय,
ालय भारत सरकार क गुणता नीित
हम
ितब
ह क
1. दे श के विभ न उ"ोग-$े % क स$म मदद हे तु, भारतीय कोयला उ"ोग को एक
पया)वरण-अनुकूल, पया)वरणÐसमथ), लागत- भावी एवं सुर.$त तर/के से
वकिसत
कर0 गे;
2. दे श क 2यापक आिथ)क संव ृ
हे त,ु भारतीय कोयला उ"ोग को नवीनतम तकनीक
और संसाधन% क इ8ता क ओर आगे बढाएंगे;
3. अपनी
गुणता
बंध
णाली
क
सभी
आव;यकताओं
का
पालन,
व
भावका<रता म0 सतत सुधार कर0 गे; तथा
4. सामा.जक .ज>मेदार/ पूण) व पारदश? शासन
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णाली को बढ़ावा द0 गे.
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उसक
MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 1: Page 1
Quality Manual
SECTION 1.0: DISTRIBUTION LIST
1.1 HARD COPY DISTRIBUTION (by MR, ref section 4.2.3.D.a)
Copy
Copy Holder
00
Management Representative (MR)
(As master copy, and for the use of external auditors)
Joint Secretary (SKS)
01
( For the use of all in sections under his/her administrative control)
Adviser (Projects)
02
( For the use of all in sections under his/her administrative control)
Joint Secretary & Financial Adviser
03
( For the use of all in sections under his/her administrative control)
Economic Adviser
04
( For the use of all in sections under his/her administrative control)
Joint Secretary (AKB)
05
( For the use of all in sections under his/her administrative control)
06
Joint Secretary (VB)
[Above copy holders may distribute copies for awareness/training within their
functional domains – refer procedure 4.2.3 para -D.a.3]
1.2 COMPUTER LAN DISTRIBUTION (by administrator as below, ref section 4.2.3.D.b)
Location
Server Computer Location
Server Administrator
Secretariat
National Informatics Centre, MoC
In-charge National Informatics Centre at MoC
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MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 2: Page1
Quality Manual
SECTION 2: CONTENTS, CONVENTIONS AND TERMS
2.1 CONTENTS
1. Current revision status of every page of this manual is placed under record 9.1 before the back cover.
2. Amendment history of every page of this manual is given in the respective page footers.
3. Procedures’ and/or ‘records’ references boldfaced under columns 5 and/or 6 below are the mandatory
ones under boldfaced clause numbers of ISO 9001standard under column 4.
Section
No
Title
(1)
(2)
Clause
Reference of
No of ISO 9001:2008
Pages
(3)
(4)
0
TITLE PAGE with approval of Manual & Quality
Policy of the Ministry of Coal, GOI.
2
-
1
DISTRIBUTION
1
-
2
CONTENTS, CONVENTIONS, AND TERMS
5
Related
Procedure
Related
Record(s)
(5)
(6)
9.1
2.1: Contents
2.2: Conventions
2.3: Terms and Abbreviations
3
INTRODUCTION
3
3.1: Ministry, the Setup
3.2: Decision for ISO 9001 QMS in the Ministry
3.3: Scope and Coverage of the QMS
3.4: Ministry’s Services and Customers
4
QUALITY MANAGEMENT SYSTEM OF THE MINISTRY
4
4.1 : Processes and Planning
4.1
4.2 : Documentation
5
4.2
4.2.1 : General Approach and Structure
4.2.1
4.2.2 : Quality Manual
4.2.2
4.2.3 : Control of Documents
4.2.3
Sec 4.2.3
4.2.4 : Control of Records
4.2.4
Sec 4.2.3
RESPONSIBILITY OF TOP MANAGEMENT
2
5.1 : Commitment Towards QMS
5.1
5.2 : Focus Towards Customers
5.2
5.3 : Quality Policy
5.3
5.4 : Planning
5.4.1: Quality Objectives
5.4.1
5.4.2: QMS Planning
5.4.2
5.5 : Responsibilities, Authorities, and Communication
5.5.1: Allocation of Responsibilities and Authorities
5.5.1
5.5.2: Management Representative
5.5.2
5.5.3: Internal Communication
5.5.3
5.6 : Management Reviews
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5.6
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9.2
MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 2: Page2
Quality Manual
Section
No
Title
(1)
(2)
6
Clause
Reference of
No of ISO 9001:2008
Pages
(3)
(4)
Related
Procedure
Related
Record(s)
(5)
(6)
1
MANAGEMENT OF RESOURCES
6.1 : Provision of Resources
6.1
6.2 : Human Resource Management
7
6.2.1: General Arrangement
6.2.1
6.2.2: Managing Competence, Training and Awareness
6.2.2
6.3 : Infrastructure
6.3
6.4 : Work Environment
6.4
4
SERVICE REALIZATION
Service Book
7.1
Related File
7.1 : Planning of Service Realization
7.2 : Customer Related Processes
7.2.1, 7.2.2,
7.2.3
7.3: Design and Development [EXCLUDED]
7.4: Purchasing
7.4.1: Purchasing Process
7.4.1
7.4.2: Purchasing Information
7.4.2
7.4.3: Verification of Purchased Items
7.4.3
As decided
7.5: Service Provision
7.5.1: Controls of Service Provisions
7.5.1
7.5.2: Validation of Processes [EXCLUDED]
7.52
7.5.3: Identification and Traceability
7.5.3
7.5.4: Customer Property
7.5.4
7.5.5: Preservation
7.5.5
MEASUREMENT, ANALYSIS AND IMPROVEMENT
File Tracking Concerned
System
File
7.5.4
7.6
7.6: Control of Monitoring & Measuring Equipment [EXCLUDED]
8
Govt. Norms
4
8.1 : General Arrangement
8.1
8.2 : Monitoring and Measurement
8.2.1 : Monitoring of Customer Satisfaction
8.2.1
8.2.2: Internal Auditing
8.2.2
8.2.3: Monitoring of QMS Processes
8.2.3
8.2.4: Monitoring of Services
8.2.4
8.3 : Control of Nonconforming Services
8.3
8.4: Data Analysis
8.4
Sec 8.2.2
Sec 8.3
8.5 : Improvement of the System
8.5.1: Continual Improvement
8.5.1
8.5.2: Corrective Actions & Preventive Actions
8.5.2
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9.3
MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 2: Page3
Quality Manual
Section
No
1
9
10
Clause
Reference
No of
of ISO
pages
9001:2008
3
4
Title
2
SYSTEMIC RECORD FORMATS
9.1 : Quality Manual Status Record
1
4.2.3
9.2: Management Review Record
1
5.6
9.3 : Internal Audit Report
1
9.4 : Internal Audit Plan and Checklist
1
8.2.2
10.1: Quality Plan of the Ministry
1
4.1
10.2: Roles, Responsibilities, and Authorities Under QMS
2
5.5.1
Related
procedur
es
Related
Records
5
6
Sec 4.2.3
8.2.2, 8.2.3, Sec 8.2,.2,
8.5
8.5.2
8.2.2
ANNEXURES
2.2 CONVENTIONS
1.
For ease of reference, corresponding clause numbers of standards ISO 9001 (year 2008
version), have been given throughout sections 4 to 8 of this manual along the headings
of every subsection, as relevant.
2.
For clarity, the terms defined under section 2.3 below have been used in this manual with
their initial letters capitalized.
3.
Boxed text throughout this manual describes the procedure of implementing the
concerned QMS element.
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Section 2: Page 4
Quality Manual
2.3
1.
2.
TERMS AND ABBREVIATIONS
Terms and abbreviations below are alphabetically arranged.
Bolds within a definition below means again a defined term.
Additional
Secretary
The officer of the Indian Administrative Service, who supports and assists the
Secretary for undertaking the Ministry’s Governmental functions and provides
functional guidance to Joint Secretaries and Advisers of the Ministry.
Adviser
The officer of the Ministry, who supports and assists the Secretary and
Additional Secretary for undertaking the Ministry’s Governmental functions
and provides functional guidance to Deputy Secretaries and Directors.
Authority
Power or right to act in a discretionary manner, to achieve the desired result.
(based on document ISO/TC 176/SC 2/N526 definition of “power or right to
enforce obedience; moral or legal supremacy; right to command or give a final
decision”)
Continual
Improvement
Recurring process of enhancing the ability of this QMS to fulfill requirements
Correction
Action to eliminate a detected Nonconformity.
(Based on definitions under ISO 9000:2005)
(Same as under ISO 9000:2005)
Action to eliminate the cause of a detected Nonconformity or other
undesirable situation (in order to prevent its recurrence).
Corrective
Action
(Same as under ISO 9000:2005)
Deputy
Secretary
The officer of the Ministry designated so for supporting and assisting Joint
Secretaries / Advisers to undertake Governmental functions of the Ministry
and providing functional guidance to Under Secretaries.
Director
The officer of the Ministry designated so for supporting and assisting Joint
Secretaries / Advisers to undertake Governmental functions of the Ministry
and providing functional guidance to Under Secretaries.
GOI
Government of India
Joint Secretary
The officer of the Indian Administrative Service, who supports and assists the
Secretary and Additional Secretary for undertaking the Ministry’s
Governmental functions and provides functional guidance to Deputy
Secretaries and Directors.
Ministry or MoC
An independent Ministry of coal of ‘GOI’, as described under section 3.1,
which implements this QMS.
Nonconformity
Non-fulfillment of any requirement specified under the QMS and/or its
underlying standards.
(Based on definitions under ISO 9000:2005)
“Management Representative”, ie, the officer so appointed by ‘Secretary’ in
pursuance with clause-5.5.2 of standard ISO 9001:2008, and declared under
section 5.5.2 of this manual.
MR
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Section 2: Page 5
Quality Manual
Personnel
All individuals directly employed by the Ministry, including its Secretary,
Additional Secretary, Joint Secretaries, Advisers, Deputy Secretaries,
Directors, Under Secretaries, Section Officers and other Supporting staff.
Preventive
Action
Action to eliminate the cause of a potential Nonconformity or other
undesirable potential situation (in order to prevent its occurrence).
(Same as under ISO 9000:2005)
Product
In the form of services as explained under section 3.4 A of this manual.
QMS
“Quality Management System”, ie, the management system (compliant with
the requirements of standard ISO 9001), as described under this manual, to
direct and control the Ministry with regard to the quality of its functioning and
the services provided by it. (Based on ISO 9000:2005 definition of “management
system to direct and control an organization with regard to quality”).
Requirement
Need or expectation that is stated, generally implied, or obligatory.
(same as under ISO 9000:2005)
Responsibility
Duty or charge to act in a fixed prescribed manner, to achieve the desired
result.
(based on document ISO/TC 176/SC 2/N526 definition of “a charge, trust, or duty, for which
one is responsible; a person for whom or thing for which one is responsible”)
Secretary
An officer of Indian Administrative Service, who heads the Ministry’s
secretariat and acts as the chief executive officer of the Ministry.
Section
A particular functional part of the Ministry to carry out some specific function,
as described under sections 3.3.B
Section Officer
The officer of the Ministry designated so for taking overall charge of all the
operations in a particular Section.
Supplier/
Any organization that provides goods and/or services to the Ministry for the
use in any of its operations.
Contractor
Under
Secretary (US)
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operations in different sections under his control and providing functional
guidance to Section Officers.
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GOVERNMENT OF INDIA
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SECTION 3: INTRODUCTION
3.1
MINISTRY, THE SETUP
The Ministry of Coal is an independent Ministry of the Government of India (GoI). It is
responsible for controlling the coal and lignite sectors in the country. It’s secretarial is located at
Shastri Bhavan in New Delhi.
After the formation of Republic of India, this function was a part of the then Ministry of Mines,
and thereafter of the Ministry of Energy. India is presently among the top three fastest growing
economies of the world. With the rapid industrialization, energy demand in India expanded very
fast and India emerged as a major energy producer and consumer. There is an abundant
reserve of coal and lignite in the country which is also the dominant source of energy. The
demand of coal and lignite is increasing with time as the demand of energy is also increasing.
Considering the need to develop Indian coal and lignite sector to augment coal and lignite
production to meet country’s present and future energy needs, Govt of India perceived the need
to create an independent Ministry for coal separately and hence an independent Ministry of
Coal (MoC) was formed.
In line with the governance structure of the Republic of India, this Ministry is also headed by a
cabinet minister who is aided by the state minister(s), and supported by the usual setup of
Indian Administrative Services. The details are available under the Ministry’s official website at
http://www.coal.nic.in/welcome.html .
Its governmental functions address determining national policies and strategies for the
development, exploration, distribution, pricing, and welfare of Indian coal and lignite sectors; as
well as the monitoring of the progress of independent captive coal-block allottees.
In addition to the above, the Ministry also controls the following establishments.
1. Coal India Limited (CIL) and its subsidiaries;
2. Neveli Lignite Corporation (NLC);
3. Singaraeni Colliery Company Limited (SCCL);
4. Coal Controller’s Organization;
5. Coal Mines Provident Fund Organization; and
6. Commissioner of Payments.
3.2 DECISION FOR ISO 9001 QMS IN THE MINISTRY
As a part of its pursuit of administrative reforms, the Government of India decided in 2012 2013 to implement an internationally standardized ISO 9001 Quality Management System in
the Ministry of Coal and was properly recorded as one of the success indicator under section 3
of its Results-Framework Document (RFD) of Ministry of Coal.
This will enable the Ministry to provide following confidences to all its interested parties.
1. That it has the ability to provide services that consistently meet the requirements of
customers, industry-sector, society, and regulatory bodies.
2. That it’s focus will always be upon enhancing the satisfaction of customers and society
through application of an effective quality management-system.
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GOVERNMENT OF INDIA
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Quality Manual
3. That it emphasizes on Preventive Actions rather than on Corrective Actions.
4. That it’s thrust is on sustained and Continual improvement, rather than on some short-term
achievements
The provisions under this QMS of the Ministry are complementary to the technical
requirements for its services, and are aimed at enhancing the Ministry’s capabilities to
A. Understand and meet the requirements put-up by customers, industry, society, etc;
B. Consider need to add value to the industry-sector, society, etc;
C. Obtain sustained results of performance and effectiveness in operations;
D. Pursue Continual improvement based on objective measurement.
3.3 THE SCOPE AND COVERAGE OF QMS
A.
Scope: The scope of this QMS in the Ministry is
“Governmental controls for the development, exploration, distribution, pricing, and
welfare of Indian coal and lignite sectors.”
B.
Coverage: The QMS covers all the functions of the Ministry. These are known as
‘sections’ in the Ministry, and are listed below. Details of their functioning are given
under the Ministry’s official website at http://coal.nic.in/rti-coal/rti_point2.pdf.
1.
Appointment to Statutory Organization (ASO)
2.
General Administration
3.
Establishment
4.
Coordination
5. Coal Projects Appraisal and Monitoring (CPAM)
6.
Coal Research & Conservation –I (CRC-I)
7.
Coal Research & Conservation –II (CRC-II)
8. Coal Blocks Allocation (CA-I(A)
9. Coal Blocks Monitoring (CA-I(B)
10. CA-II / Lignite & CA - III
11. Vigilance
12. Coal Production and Distribution (CPD)
13. Integrated Finance Division (IFD)
14. Planning Monitoring and Statistics Cell
15. Industrial Relations (PRIW-I)
16. Personnel Grievances and Welfare (PRIW-II)
17. PRIW-III (Coal Mine Provident Fund Organization)
18. Hindi
19. Pay and Accounts Office (PAO)
20. Cash Section
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3.4 THE MINISTRY’S SERVICES AND CUSTOMERS
A. Services of the Ministry: The Ministry’s products are in the form of services only as it
does not produce any physical product. The detailed list is available under The
Ministry’s official website at http://www.coal.nic.in/citizen200112.pdf. All these can be
categorized as follows.
1. Approvals and grants to various establishments, agencies, consumers, etc of coal
and lignite sector of the country.
2. Monitoring of the following key performance areas of establishments under its
control (ref section 3.1 para 4 & 5).
a. Operational performance
b. Technological performance
c. Systemic performance
3. Redressal of received grievances and references related to coal and lignite sector
of the country.
B. Customers of the Ministry: The list of the Ministry’s customers is given in also
available under the Ministry’s official website at http://www.coal.nic.in/citizen200112.pdf.
All these can be categorized as follows.
1. Consumers of coal from different industry sectors
2. Different ministries of GoI
3. Departmental and contractual employees of coal / lignite establishments
4. Coal Block allottees
5. Affected people from mining activity and other citizens of India
6. Manufacturers and suppliers of coal mining infrastructure, explosives, etc
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Section 4: Page 1
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SECTION 4: QUALITY MANAGEMENT SYSTEM
4.1 PROCESSES AND PLANNING
A. QMS Processes: All these as identified for the Ministry along with their sequence
and interactions have been given in annexure–1 as the Quality Plan of the Ministry.
The criteria, methods, responsibilities, etc for all these have been described under
the concerned section throughout this manual.
B. Excluded Processes: The processes relating to clauses 7.3, 7.5.2, and 7.6 of
standard ISO 9001 have been excluded from this QMS. Justifications are given
under corresponding sections of this manual.
C. Outsourced Processes: The Ministry does not outsource any of its core processes,
since governmental functions cannot be outsourced.
4.2
DOCUMENTATION
4.2.1 General Approach And Structure
This QMS consists the following documents.
a. Quality Manual: It describes the ISO 9001 compliant QMS of the Ministry. This is an
internally generated document, and its broad contents are described under section 4.2.2
below.
b. Operational Documents: These are the documents like policies, guidelines, statutes,
acts, regulations, standards, rules, notifications, codes, manuals, etc, which provide the
basis for carrying out various functional operations of the Ministry. These are of both
external and internal origin. The list and copies of these are maintained by respective
Section Officers.
c. All Office Records: These include both ‘systemic records’ as provided under section 9
of this manual, and all other ‘operational records’ lists of which are maintained by
respective Section Officers.
4.2.2 Quality Manual
This apex document of ISO 9001 compliant QMS of the Ministry contains the following.
A. Brief introduction of the Ministry – under sections 3.1;
B. Background of this QMS – under sections 3.2;
C. Scope and coverage of this QMS - under sections 3.3;
D. Quality policy of the Ministry - under second page of this manual;
E. Exclusions along with their justifications - under sections 7.3 ,7.5.2 and 7.6;
F. Sequence and interaction of QMS - under annexure-1;
G. Core elements of QMS, and related roles, responsibilities and authorities of different
functionaries – summarized under annexure-2 and detailed throughout sections 4 to 8;
H. Documented systemic procedures and references to operational documents; and
I. Formats of systemic records, under section 9.
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4.2.3 Control of Documents
All the documents in the Ministry are controlled as follows
A. Review, update, and change of documents
a. Quality Manual by MR and Internal Origin Operational Documents by the concerned Director /
Deputy Secretary – Revising the text with latest changes shown in italics, and specifying its
current revision number , effective date and reason of change on every changed page footer,
b. External Origin Operational documents by concerned Under Secretary –
Reviewing their current relevance, and revising their references and current validity.
B. Approval of documents.
a. Quality Manual by Secretary of the Ministry – through dated approval signature on ‘approval
page’ and in ‘Quality Manual Status Record (R 9.1).
Operational documents of both internal and external origin by concerned Joint Secretary –
through dated signature in the following identifier on the cover page of every document.
b.
Operational Document (MoC)
AUTHORIZED & CONTROLLED
Section Name: …………………………
Document Name…………………………
Document ID (Number) ………………..
Origin: Internal /External ( tick the relevant)
Joint secretary (Sign/Date):
C. Release of documents as follows.
a. Quality Manual by MR – With each page footer stamped as “Controlled Copy” in blue ink; and
1. Retaining the original copy as copy number ‘0’, i.e., master copy, and
2. Releasing duplicate and numbered copies to all other copyholders as under section-1.1,
along with copies of the concerned quality manual status record (R 9.1).
3. Releasing the electronic copies to server administrator (ref section 1.2).
b. Operational documents by concerned Under Secretary –
1. Handing over the hard copies to his section officer for upkeep and controlled issue.
2. Releasing the electronic copies for the use of concerned Section Officers.
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D. Distribution and maintenance of documents as follows to ensure their availability,
accuracy, and suitable identification at all points of use.
a. Hard-copies – by copy holders
1. Ensuring ready availability to all for reference, and recorded issue if required.
2. Issue of duly authenticated copies of formats, checklists, etc for use.
3. If required for training/awareness, marking every issued page as “For awareness only”
and the issue date.
4. Suitable displays of quality policy in any form by maintaining its accuracy during
reproduction.
b. Electronic copies – by Section officers immediate loading on the computers with,
1. Absolute accuracy of the files (in terms of their content, layout, style, etc), and hyper
linking
2. Complete safety of the loaded computer files even against any inadvertent infringement
or disturbance;
3. The display of its revision status and effective date on every page;
4. Either disabling any possibility of copying of the displayed pages, or displaying a warning
reading “Copying this screen on any media is illegal” prominently and constantly on
computer screen when the document is accessed through the network;
5. Ensuring that the document remains available on the computer network with ease to use
6. Safeguarding the originally received electronic files and all their intermediate
transformations and conversions against unauthorized use, and that such files are
permanently deleted as soon as they are loaded on the server computer
E. Disposition of obsolete documents/pages as follows to prevent their unintended use.
a.
Quality Manual by MR - Retaining pages of own copy after stamping them as “Obsolete but
Retained” in red ink, and advising other copyholders to deface/destroy their superseded
pages.
b.
Operational documents by concerned Under Secretary - Stamping all existing copies as
“Obsolete but Retained” in red ink for any possible use in future.
F. Re-approval of the documents to ensure their continuing suitability in the Ministry, after
reviewing total documentation and authenticating the re-approval through dated signature on
back of the approval page of concerned master copy of the document irrespective of whether or
not any change was executed as per ‘A’ above.
a. Quality Manual by MR – On any of the following,
1. Revision and/or amendment in the standard ISO 9001:2008.
2. Change in scope and coverage of QMS.
3. Basic change decided for QMS processes as declared under annexure - 1.
b.
Reference documents by concerned Joint Secretary – When there is some change in the
technology and/or related statutes/regulations concerning the processes and/or service of
the section.
4.2.4 Control of Records
The following two types of records are maintained to provide evidences of effective
implementation of system and conformity to requirements in the Ministry.
1.
Common Records, pertaining to common/routine establishment related/administrative
functioning of the Ministry
2.
Substantive Records, pertaining to specific/operational functioning of the Ministry
All these records are maintained in hard copies, except some of the systemic records, which
are maintained in electronic media in the computers. All these are controlled through the
following procedure.
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A. Unique identification by all concerned to ensure their traceability, as given below.
a. For electronic records: through unique computer file-names.
b. For hardcopy records: through the following.
1. For loose papers maintained in office files - through at least the concerned office file
number and the record opening/receipt date;
2. For running entries in registers, diaries, etc - through date and serial number
maintained under the related register, diary, etc.
B. Storage and protection by all concerned as follows.
a. For electronic records: through controlled access (e.g., passwords), suitable virus
protection, and maintaining at least 2 backups at different locations.
b. For hard copy records (files, registers, diaries): through deciding methods for proper
storage to ensure continuing legibility, suitable identification, easily retrievable, and
required access control and confidentiality.
C. Arranging retention of both ‘electronic’ and ‘hardcopy’ records by all concerned till
the following time limits.
a. For all records of common nature pertaining to the Ministry’s supportive/facilitative
functions (e.g., Personnel, Finance, Establishment): Till the time set by the Government
of India under ‘Record Retention Schedule in Respect of Records Common to all
Ministries/Departments’. (This GOI document, which also lists all such records of
common
nature,
is
to
be
downloaded
from
http://darpg.nic.in/darpgwebsite_cms/Document/file/RRS_WC.pdf );
b. For all records of substantive nature pertaining to the Ministry’s ‘specific/operational
functions (e.g., Approvals and grants, Performance monitoring of Coal Establishments):
1. Till the time set by the Ministry in consultation with the National Achieves (as required
under clauses 111(1)(d) and 95(d) of GOI’s ‘Manual of Office Procedure’ and ‘Manual
of e-Office Procedure’ respectively) under The Ministry’s own formally issued
‘Retention Schedule For Records of the Ministry’s Substantive Functions’. (These
GOI documents can be downloaded from http://darpg.nic.in );
2. OR, pending the issue of above in the Ministry, till 3 years from date of creation in
case of electronic record and till 3 years from date of closure of file etc in case of
hardcopy record.
D. Arranging disposition of the records by all concerned after the expiry of declared
retention time, as follows, referring to section 9 of the Public Records Rules.
a. For electronic records:
1. By deciding to Delete/overwrite the electronic files and their back-ups, or
2. Convert electronic softcopies into hardcopy prints for storage in some office file and
deleting the softcopy, or
3. Backup electronic files in some removable-disks to retain till the decided extended
period, and deleting original electronic file from hard disk.
b. For hardcopy records:
1. by deciding to either destroy them, or
2. to extend the retention period as may be necessary.
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Section 5: Page 1
Quality Manual
SECTION 5:
5.1
MANAGEMENT RESPONSIBILITY
COMMITMENT TOWARDS QMS
As top management of the organization, Secretary of the Ministry provides the following
evidences of his commitment towards the QMS.
A. Communicating the importance of meeting customers and statutory/regulatory
requirements to all in the Ministry through formal/informal meetings, and
correspondences as appropriate.
B. Establishing a Quality Policy for the Ministry.
C. Establishing suitable quality objectives at various levels and functions of the Ministry
D. Conducting periodic and structured management reviews of the QMS.
E. Ensuring the availability of all the required resources.
5.2
FOCUS TOWARDS CUSTOMERS
As top management, Secretary of the Ministry also ensures that requirements of
customers are adequately determined (refer section 7.2) and regularly met with the aim
to enhance their overall satisfaction.
5.3
QUALITY POLICY
This Quality Policy of the Ministry is given on the second page of this manual, and has been
formally approved by Secretary of the Ministry through the approval of this manual as on its
approval page.
The quality policy is communicated through suitable displays, and is being reviewed for its
continuing suitability (refer section 5.6).
5.4
PLANNING
5.4.1 Quality Objectives
Consistent with overall focus under the above declared quality policy and the Ministry’s
5 year strategic plan (available in the Ministry’s official website at http://www.coal.nic.in/
strategicplan210211.pdf, quality objectives for the Ministry along with measurement
arrangements are established and documented in section 2 of the Results – Frame
Work
Document,
available
in
the
Ministry’s
official
website
at
http://www.coal.nic.in/rfd2012-13.pdf’.
5.4.2 QMS Planning
The secretary of the Ministry as the top management has ensured that a well-planned QMS is
established in the Ministry. The processes/elements of this QMS are depicted in annexure-1
and are elaborated throughout the documentation of this QMS.
The Secretary also ensures that the integrity of this QMS is always maintained particularly;
a. Due to administrative, functional, and structural changes in the Ministry, and
b. During changes in the documentation of this QMS itself.
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5.5
RESPOBIBILITY, AUTHORITY AND COMMUNICATION
5.5.1 Allocation of Responsibilities and Authorities
A. As top management of the Ministry, Secretary takes overall custody of this QMS through
the
organization
setup
available
at
the
Ministry’s
official
website
at
http://www.coal.nic.in/coal-chart.pdf
B. Secretary of the Ministry also demonstrates his commitment towards this QMS by defining
roles, policy, allocating responsibilities and accountabilities, and delegating authorities to
facilitate effective management of this QMS. All these are comprehensively presented
under annexure-2, and are detailed throughout the QMS documentation.
5.5.2 Management Representative
Secretary of the Ministry has appointed Shri D.N.Prasad, Advisor (Projects) as the
Management Representative (MR) of the Ministry to undertake the responsibilities as
given under clause 5.5.2 of standard ISO 9001:2008 in addition to his existing
responsibilities.
Shri Peeyush Kumar, Director Technical (MoC) is nominated as ‘Nodal Officer’ in Ministry to
assist MR in taking the above apex controls, particularly towards controlling QMS
documentation , internal auditing , performance monitoring , facilitating apex reviews , and
liaison with external auditors & consultants on matters relating to this QMS.
5.5.3 Internal Communication
Channels of routine communication are established. Means of communication are as
follows,
A. For downwards communication: - Methods like office orders, circulars, memos,
notices, etc, as per the Ministry’s procedures and practices.
B. For upwards communication: - routine personal interactions and periodic
formal/informal meetings.
MR particularly ensures that the performance of QMS is regularly communicated to all
within the Ministry.
5.6 MANEGEMENT REVIEW
Secretary of the Ministry conducts review of this QMS once in every six months to
A. Ensure continuing suitability, adequacy, and effectiveness of system functioning in the
Ministry;
B. Identify opportunities for improvement in the system.; and
C. Assess the need for changes to the QMS, including quality policy and quality objectives
Additional Secretary, All Joint Secretaries, MR and Nodal Officer (QMS), participate in these
reviews. Any other person and/or body, if considered necessary by MR, are also called to
participate in these reviews.
The records of these reviews, including their inputs and related decisions, are maintained under
the record ‘9.2’.
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Section 6: Page 1
Quality Manual
SECTION 6.0: MANAGEMENT OF RESOURCES
6.1
PROVISION OF RESOURCES
The Ministry determines and provides the resources that are needed to implement, maintain,
and improve QMS, and those needed to enhance customer satisfaction.
6.2
HUMAN RESOURCE MANAGEMENT
6.2.1 General Arrangement
Only competent persons (in terms of minimum required education, experience, skills, and
training) are deployed for different assignments in the Ministry, including those directly or
indirectly affecting the conformity to service requirements.
Section Officer (Establishment) maintains records of all manpower deployment for the Ministry.
6.2.2 Managing Competence, Training and Awareness
A. The Ministry ensures that job requirements are met by all employees at the recruitment
stage. Before any recruitment is done, a job description, including full competence criteria on
which recruitment is based, is established.
B. Where competence gaps are identified even after recruitment and/or after transfer from
other departments of Govt of India, the Ministry provides the necessary training or takes
other action when necessary. Where training is required, specific objectives are defined and
training is provided. Department of Personnel & Training (DoPT) is ultimately responsible for
arranging necessary training to employees of Ministry.
C. The effectiveness of any actions taken to satisfy competency requirements is evaluated
appropriately by the concerned controlling officers.
D. The Section Officer (Establishment) maintains personnel records, including those of
education, training, skills and experience through service book.
E. Secretary of the Ministry makes all the persons aware about the relevance and importance
of their activities, particularly towards achievement of quality objectives, by formal and
informal communications.
6.3
INFRATRSUCTURE
The infrastructures such as office buildings, work places & other support facilities are
maintained centrally by C.P.W.D. Other infrastructures like PCs, printers, telephones, fax
machines, air conditioners etc are maintained through AMC. Transport facilities is being looked
after by Govt. transport division and regular housekeeping such as cleaning of the toilets,
rooms etc are carried out by the General Administration Section of the Ministry. All these
ensure that the defined maintenance activities are undertaken as per defined schedule.
6.4
WORK ENVIRONMENT
The operation of the Ministry is mainly office based activities and hence suitable working
atmosphere is assessed in the form of
1. Computerized central network
2. Air conditioning
3. Adequate lighting
All concerned Section officers ensure that suitable work environment is maintained in their
respective Sections by intimating the concerned Govt. agency through proper channel.
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Section 7: Page 1
Quality Manual
SECTION 7: SERVICE REALIZATION
7.1
PLANNING OF SERVICE REALIZATION
1. The Ministry has planned the operational processes to realize the delivery of its
services to its customers. The planning and the consequent arrangement for their
realization are in line with the organizational responsibilities and the quality
objectives. The process flow for realization of the Ministry’s Service profile (Ref sec
3.4) is given in the Ministry’s official website at http://www.coal.nic.in/citizen.htm
2. The planning covers the operations of the Ministry as covered in the Scope of QMS.
As essential set of outcome of the planning process the following are determined.
a. Quality objectives
b. Specific operational process sequences
c. Inter linkages and section wise control
d. Documents related to the process
e. Software and online requirements
f. Various checks, checklists and guidelines
g. Records to be generated (both in soft as well as printed form) to demonstrate evidence
of operational compliance as well as adherence to QMS.
7.2 CUSTOMER RELATED PROCESSES
1. The Ministry offers a vide variety of services to its customers of various categories.
All the services are undertaken by the Ministry as per the laid down Governmental
procedures, policies, norms, etc.
2. In light of the above various customer scenario and their varied requirements a
formal review is impractical for each and every service of the individual customers.
So the Ministry has determined the service requirements and service standards for
of all the services of the Ministry once for all. These are available under the
Ministry’s official website at http://www.coal.nic.in/citizen.htm.
3. Arrangements for communication with customers:
a. For information regarding the Ministry’s services: As described above, the Ministry has
already uploaded the details of all its services and their standards in the Ministry’s official
website at http://www.coal.nic.in/citizen.htm
b. For information relating to enquiries, contracts, and/or supply, including amendments:
The Ministry has setup a Facilitation Counter for dissemination information to the
customers regarding the queries related to the services required by them from the
Ministry.
c. For customer feedback, including complaints:
A Standard Public Grievance and Staff Grievance procedure is in existence in the Ministry
to deal with the feed back including complaints received from customers. An Officer of the
rank of Director has been designated as Director (PG) in the Ministry to deal with the
customer feedback, complaints and their redressal.
.
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7.3
DESIGN AND DEVELOPMENT
The Ministry executes its services only through pre defined Governmental procedures,
policies, norms, etc. Since the Ministry implements Governmental procedures, policies,
norms, etc without any modifications at its end, this requirement has been excluded from this
QMS.
7.4
PURCHASING
7.4.1 Purchasing Process
The purchasing in The Ministry is under the following broad categories.
1. Materials, i.e., consumables for the jobs like stationary, computer-consumables,
hardware items like information processing facilities, toners etc are not directly
purchased by the Ministry, but processed through Directorate General of Supply &
Disposal (DGs&D), a centralized Govt agency on the basis of the requirements
raised by the Ministry. These procurements are done from GOI approved, reputed
suppliers as per the GOI norms, procedures and General Financial Rules. In some
cases consumable goods is procured through open market also by tendering. The
concerned Under Secretary provides the details/specification of materials required
by his/her section.
2. Services, i.e., some services like house keeping, sanitation, maintenance of ICT
infrastructure, Air Conditioners etc, are hired by Under Secretary – General
Administration through e-tendering.
For all other procurements, the identification, evaluation, and empanelment of suppliers
is done either for a specific tenure or on a case-to-case basis, in accordance with
various rules/guidelines of GOI, Central Vigilance Commission, etc, which are a binding
on the Ministry. Procurements from all the so selected suppliers are executed as
explained below under sections 7.4.2 and 7.4.3.
7.4.2 Purchasing Information
The respective Undersecretaries ensure that the purchase orders issued for above
purchases contain the following information
1. Name, specifications, and other technical details of the item, or service;
2. Financial, legal, and safety requirements, as appropriate;
3. Competence requirements of supplier’s personnel, and equipment as applicable;
4. Arrangements for verification at the supplier’s premises as necessary;
5. Quality management system requirements, if any; and
6. Method of release of the concerned purchased material, or service, delivery and post
delivery activities
The adequacy of the above purchase information is reviewed before issuance of
purchase orders by the respective Directors/ Deputy Secretaries.
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7.4.3 Verification of Purchased Items
On receipt of the ordered material or service, its verification is done as follows.
1. Materials: By the designated officer of the centralized Government agency who has
procured the material.
2. Services: By the officer designated by the respective Directors/ Deputy Secretaries.
Where the Ministry or its customer intends to perform verification at the supplier’s
premises, the related requirements are specifically stated in the concerned supply
order.
7.5
SERVICE PROVISION
7.5.1 Control of Service Provision
The Ministry’s various services are undertaken according to the laid down
Governmental procedures, policies, norms, etc and pre determined processes flow. The
process flow for various services of the Ministry is available under the Ministry’s official
website at http://www.coal.nic.in/citizen.htm. This ensures the following controlled
conditions
a.
b.
c.
d.
e.
Availability of information describing the characteristics of the service;
Availability of operational instructions, norms, guidelines, etc, as necessary ;
The use of suitable equipment ;
The implementation of adequate monitoring activities; and
Implementation of release, delivery and post-delivery activities
7.5.2 Validation of Processes
The services of the Ministry are undertaken according to the laid down governmental
procedures, policies, norms, etc and hence there is no scope of process validation. In
view of this, this requirement is excluded from the QMS.
7.5.3 Identification and Traceability
The Ministry operations consist processing of a number files, noting, records, etc, each
one of which is uniquely identified. Every processing is also uniquely identified by way
of file number, subject, name of customer, etc. Traceability is made possible either
through the existing file tracking system (FTS) or through the records retained in the
concerned Section of the Ministry.
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7.5.4 Customer Property
The Ministry exercises care with customer property while it is under its control or being
used during service provision. This is done through the following
A. Receipt of customer property by the concerned Section Officer.
B. Reporting to customer in writing if it is lost, damaged, or otherwise found to be
unsuitable for use by the respective Undersecretaries
C. Proper identification, verification, protection, and safeguarding of customer
property, when provided to the Ministry for use or incorporation into the Service by
the respective Undersecretaries
Note: Customer property in the Ministry primarily includes his/her personal
data/information, documents, records, etc
7.5.5 Preservation
The background papers, information, documents, records, etc related to matters of the
customers are all very critical to the Ministry’s operation. All the above that are in hard
copy are stored in a secured and safe place prior to their further processing. The
electronic copies of all these are preserved if required on the removable media with a
back-up copy on hard drive of an identified computer having a password protection
system.
7.6 CONTROL OF MONITORING EQUIPMENT
In light of the Ministry’s QMS scope of operation no equipment is needed or used for
monitoring and measuring any parameter during operation. Therefore, this requirement
is not addressed and excluded from the QMS.
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Section 8: Page 1
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8.0 MESUREMENT, ANAYSIS AND IMPROVEMENT
8.1
GENERAL ARRANGEMENTS
The following processes are specially planned in the Ministry
A. Processes for demonstrating the conformity of services offered by the Ministry to its
customers according to the acceptance criteria mentioned under its service
standards
available
at
the
Ministry’s
official
website
at
http://www.coal.nic.in/citizen200112.pdf.
B. Processes for ensuring conformity of the QMS, at the time of audit planning – refer
section 8.2.2; and
C. Processes for Continual improvement in the effectiveness of QMS, at the time of
deciding Corrective actions and preventive actions
8.2
MONITORING AND MESUREMENT
8.2.1 Customer Satisfaction
The customers of the Ministry have varied expectations from the Ministry. The level and
degree of satisfaction of the customers are monitored by direct interaction with them by
the concerned functionaries at various levels. This is done through formal and informal
correspondence and the information relating to the possible customer dissatisfaction is
perceived at this level. Any such event is registered online on the web site of the Ministry
or in the customer complaint register maintained with the MR. Subsequently; such
entries are evaluated to find out the customer satisfaction as an important outcome of the
Ministry’s operation.
8.2.2 Internal Audits
Internal audits are planned and conducted in the Ministry at least twice a calendar year
to determine whether
A. the QMS conforms to planned arrangements as described under section 7.1;
B. the QMS conforms to the requirements under standard ISO 9001:2008 and
C. The QMS is effectively implemented and maintained in the Ministry.
Effectiveness of such internal audits is ensured through the following.
A.
Planning of the internal audits by the MR keeping in view the following
1. Scope and criteria of the audit
2. Dates & duration of the audit
3. Auditor’s selection – from among the team of internal auditors to conduct
audits in the Ministry.
4. Results of previous audits
5. Methodology of the audit in the form of structured audit checklist
While making audit-plans as above, suitable consideration is given to the following.
a. Results of previous audit.
b. Status and importance of processes and functions to be audited.
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B. Announcement of the audit by the MR through the audit plan containing all required
details for internal audit.
C. Conducting the audits by the ‘Lead Auditor’, strictly as per the planned
arrangement, through selected auditors such that no auditor audits his own work,
and submitting all audit findings/notes to MR for their comprehensive reporting as
at ‘D’ below
D. Reporting the audit results by MR, comprehensively for the entire audit through
‘Internal Audit Report’ under record format ‘9.3’ to all concerned based on inputs
provided by “Lead Auditor’, along with the decided Corrections, Corrective Actions,
and Preventive Actions as per procedure under section 8.5.2.
E. Reporting the outcome of follow up audits by ‘Lead Auditor’, for review to MR within
30 days of initial audit under ‘Internal Audit Report’, after verifying the completion
and effectiveness of the decided actions.
F. Deciding the agenda for management review by MR, based on the above
completed audit report.
8.2.3
Monitoring of QMS Processes
The QMS processes are monitored thorough periodic internal audits as above. When
planned results are not found to be achieved, the Secretary of the Ministry specially
assesses their impact on the Ministry’s services and then decides the necessary
Corrections and Corrective actions according to the procedure 8.5.2 to ensure their
conformity.
8.2.4
Monitoring of Services
The output of the Ministry is in the form of different services to various customers.
Therefore, the measurement is for certain service factors or some “processing time” is
measured at appropriate stages of the process chain.
The service delivery is done only when the planned arrangements and stipulated checks
are satisfactorily completed.
8.3
CONTROL OF NONCONFORMING SERVICES
Nonconformities in the Ministry are detected either during verification at the hold points
(refer section 8.2.4), or during the internal audits (refer section 8.2.2) and only in the form
of documents not fit for further passage/dispatch/processing. Nonconformities are
recorded appropriately and handled through the following procedure.
A. Suitable marking of nonconformities by the concerned dealing officer to prevent their
unintended use, delivery or further processing
B. Deciding actions on the Nonconformity by the concerned Under Secretary as following
1. Rework to eliminate the detected Nonconformity
2. Authorizing its further processing after obtaining the approval of Competent Authority
3. Recall the concerned documents related to the delivered service with specific instructions
C. Deciding Corrective Actions and Preventive Actions by the concerned Director / Deputy
Secretary, considering the potential effects of the Nonconformity.
D. Monitoring of the implementation of decided actions by the concerned Director / Deputy
Secretary
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8.4
DATA ANALYSIS
MR analyses the identified data to,
1. Demonstrate the suitability and effectiveness of QMS; and
2. Evaluate the areas for Continual improvements in the effectiveness of QMS.
The data identified for this purpose are audit reports, customer feedback, and
achievements against quality objectives (Section 5.4.1). This provides the information
relating to,
A. Performance against quality objectives;
B. Customer satisfaction;
C. Conformity to Service Requirements;
D. Performance of processes;
E. Performance of suppliers; and
F. Performance against various services as mentioned under section 3.2.
8.5
IMPROVEMENT
8.5.1 Continual Improvement
Continual improvement in the effectiveness of QMS is ensured through the following.
A. Implementation of actions emerging through the review of achievements towards
quality objectives, audit results, data analysis, and Corrective Actions and Preventive
Actions; and
B. Review of the above during management reviews, implementation of the actions
decided there, and their further review by top management (refer section 5.6).
8.5.2 Corrective Action and Preventive Actions
Corrective Actions and/or Preventive Actions required to eliminate the causes of existing
and/or potential Nonconformities are undertaken in the Ministry through the following
procedure.
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A. Identification and review of Nonconformities found through the following by Under
Secretaries
a. Customer complaints (section 8.2.1);
b. Internal audit reports (section 8.2.2);
c. Assessment of Nonconforming Services (section 8.3); and
d. Results/outputs of data analysis (section 8.4)
B. Ensuring required actions on identified/reported Nonconformities as follows, by MR for
internal audits) and Director / Deputy Secretaries (for all others)
a. Deciding Corrections on Nonconformities;
b. Communicating above decided Corrections to related persons for their implementation;
c. Recording the Nonconformity and Corrections
1. On the concerned Internal Audit Report, or
2. On the back-page of the other concerned record, or
3. Through separate note/memo (e.g. for ‘A.’a’ above);
d. Determining root cause of every Nonconformity by assessing the following possibilities
1. Deficiency of procedures/instructions,
2. Deficiency of awareness/understanding or commitment,
3. Deficiency in system implementation,
4. Deficiency of resources,
5. Deficiency of purchased materials/services, and
6. Freak;
e. Evaluating the need for undertaking Corrective Actions which are appropriate to the
above identified root cause, magnitude of problem, nature of Nonconformity and its
overall impact;
f. If considered necessary through ‘e’ above, deciding suitable Corrective Actions with
specific responsibilities and time frame;
g. Determining the possibility of potential Nonconformities and need for Preventive Actions
in other areas/functions on considerations same as at ‘e’ above;
h. If considered necessary through ‘g’ above, deciding suitable Preventive Actions with
specific responsibilities and time frame; and
i. Arranging adequate resources appropriate to the nature and severity of the identified/
reported Nonconformity.
C. Reviewing effectiveness of undertaken Corrective Actions and Preventive Actions, and
ensure recording of the follow-up results under the concerned record by MR for internal
audits and Director / Deputy Secretary for others
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Section 9: Page 1
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9.1: QUALITY MANUAL STATUS RECORD
Record No: 9.1/ MR Date:
Retain Up to:
MR to fill-up and review; and obtain approval of Secretary - Ministry of Coal
Changes in the enclosed page(s) as asterisk marked below …
Reviewed by MR
Approved by Secretary – Ministry of Coal
Name, Signature/Date
Name, Signature/Date
Section
Page Current Effective
No Rev No Date
Title
Section
Enclosed are: Changed page(s), asterisk marked above:
Title
Page Current Effective
No Rev No
Date
……. numbers.
Please immediately undertake the following.
1. Before opening staple, check for missing page(s) and/or issue-stamp on page footers, and obtain if
missing.
2. Note the italicized changes on every page in the text, and the reasons for change in respective page
footers.
3. Replace enclosed page(s) in your copy of the manual, and this sheet at the end of your manual.
4. Physically deface/destroy all the superseded page(s). [MR to retain his obsolete pages, ref sec 4.2.3.E.a]
5. Undertake distribution for awareness, if required, referring to section 4.2.3.D.a.3.
6. Arrange updating/Correction of related displays, if required, referring to section 4.2.3.D.a.4.
Released by (MR):
Name
Signature/Date
Distribution: (Apex copyholders as under section 1)
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Section 9: Page 2
Quality Manual
9.2: MANAGEMENT REVIEW RECORD
Record No: 9.2/ MR -
Date:
Retain Up to:
MR to decide the agenda under column-1 based on the collation of pertinent information with
explanatory notes as required, get the review conducted and decisions recorded under columns 2 to 4
against each agenda item, communicate decisions to all concerned within a month of review - keep
track of compliance, and maintain the record.
Review is - REGULAR for HY ending on……….. / SPECIAL
Review conducted on
………..
Review conducted by Secretary of the Ministry with (refer sec 5.6.1):
Regular members (tick who attended) – Addl Sec, JS (LA), Adviser (P) /MR, JS&FA, Adviser (Eco), and JS (C) .
Special invitees (write all who were called, and tick those who attended) –
(Expand, as required)
Review Agenda
(Write specific issues as necessary under all headings below, and attach
required explanatory notes for each)
Review Decisions
Completed
Actions /
Completion
To be
on
Decisions
taken by Schedule
(Date)
(Date)
(1)
(Functionary)
(2)
(3)
1. About status of actions of previous review
2. About status of executed services
3. About customer feedback
4. About internal/external audit reports
5. About required improvement actions
6. About status of corrective/preventive actions
7. About suitability/achievements against quality
policy/objectives
8. About external/internal changes that can affect QMS
9. Any other
Overall Assessment of QMS functioning during the period:
Decisions recorded by (MR): Name ………………………... Signature/Date
Distribution: ………….., …………………… ………………… …………………. ………………………..
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(4)
(5)
MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 9: Page 3
Quality Manual
9.3: INTERNAL AUDIT REPORT
For Half Year Ending on ………….…
Record No: 9.5/MR MR to make the audit report Expand table as necessary
Audited System Elements (Encircle):
Audit
Summary
4.1
4.2
5.1
Audit Plan/Checklist (reference): ………….…
Date of Opening:
5.2
5.3
5.4
Audit Dates: ………….…
Retain Up to:
5.5
5.6
6.1
6.2
6.3
6.4
7.1
7.2
7.3
7.4
7.5
7.6
8.1
8.2
8.3
8.4
8.5
Observed Conformity (tick);
Observed Nonconformity (write Nos):
Observations and opportunities for improvements:
Sl
No
(1)
Nonconformity
(2)
Action
(Write suitable Correction / Corrective Action /
Preventive Action)
Signature/Date
(By Lead Auditor)
To be
taken by
(4)
(5)
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(6)
(7)
Are actions
taken
effective?
(Yes / No)
(8)
...........………………...... MR: Name .....................………………..… Signature/Date ...........………………......
Distribution: ------------ ----------- ------------ ----------- ------------ ----------- ------------ -----------
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00
Time
Frame
Whether
decided
actions
completed?
(Yes / No)
(3)
Lead Auditor: Name .....................………………..………....
Follow-up Audit Result
Decided Actions (By MR)
Attribution
Reported Nonconformities (By Lead Auditor)
Reason of Change
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MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 9: Page 4
Quality Manual
9.4: INTERNAL AUDIT PLAN & CHECKLIST (Ministry of Coal)
9.4 (a) Internal Audit Plan
NO:MOC/ISO/MR/………
DATE:……
COMPANY: MINISTRY OF COAL, NEW DELHI
SCOPE: AS UNDER SEC 3.3 OF QUALITY MANUAL FOR MOC.
CRITERIA: …………………………..
Audit Objective: ………………………………………………………………………………………………………………………………..
Name of Lead Auditor and other auditors
:
Auditors, Audit dates, timings and sections as listed below
Sections ………
Date
Timings
Lead Auditor (Signature)
Distribution :
9.4 (b) Checklist for QMS Internal Audit of MoC
Section Name:
………………………….
Name of Auditee(s): ……………………..
Sl
Sec No
Date of Audit:
Details of activity / Checklist
………………………..
Audit Findings / Status
Name and Signature of Auditor : ………………………..
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Audit observation of Certification Body.
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MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 10: Page 1
Quality Manual
10.1: Annexure-1: Quality Plan of the Ministry of Coal, Government of India
(Each box shows a process of QMS, described in this manual under the referred section number – related clause numbers of standards ISO 9001shown under section 2.1)
4.1: Establishing QMS and its processes; and
establishing Operational Controls
Governmental controls for the development,
exploitation, distribution, pricing, and welfare
of Indian coal and lignite sectors
Apex Management Controls
7.2: Finalization of Customer Requirements
5.3: Declaring Quality Policy
5.4.1: Setting of Quality Objectives, Targets, and
Programs
7.1, 7.5.1, 7.5.3, 7.5.5:
CONTROLS ON
DEVELOPMENT,
EXPLORATION,
DISTRIBUTION, PRICING,
AND WELFARE OF INDIAN
COAL AND LIGNITE
SECTORS
5.4.2: QMS Planning
7.4: Purchasing of Material and Services
5.5.1: Responsibility & Authority Allocation
5.5.3: Arrangements for Communication
(Details under Annexure-2)
Resource Management
6.1: Provision of Resources
DELIVERY OF SERVICES
6.2: Managing Competence and Awareness
Measurement, Analysis and Improvement
6.3: Managing Infrastructure
6.4: Managing Work Environment
8.4: Data
Analysis
8.2.1: Measurement of
Customer Satisfaction
8.2.2: Internal
Auditing
8.1: Monitoring
of QMS and
Evaluation of
Performances
8.2.4: Measurement of
Products
8.3: Nonconforming
Services Control
8.5.1, 8.5.2: Improvement Actions, Corrective Actions, and Preventive Actions
5.6: Management Reviews of System
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8.2.3: Monitoring of
System Processes
4.2.3 and 4.2.4: Control of Documents and Records
(Applicable to all the processes)
7.4: Control of Suppliers/Subcontractors
MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 10: Page 2
Quality Manual
10.2: Annexure-2:
Roles, Responsibilities, And Authorities Under QMS
Note: If considered suitable for greater effectiveness, concerned functionaries mentioned below may sub-delegate their
defined responsibilities/authorities to their down the line persons – but with no effect on their own accountability.
Role (with related element and section under the manual) / Responsibility (R)
or Authority (A)
4.2.3
Role: Control of Documents
a.
Review, update, change of QMS documents when necessary, and arranging approval
4.2.3.A.a
R
b.
Review, update and change of Operational Documents when necessary, and arranging approval
4.2.3.A.a
R
4.2.3.B
4.2.3.B
4.2.3.C
4.2.3.C
4.2.3.D
A
A
R
R
R
4.2.3.D
R
All Copyholders
4.2.3.D
4.2.3.D.b
R
R
All Copyholders
Section Officers
4.2.3.E
R
MR
4.2.3.E
4.2.3.F
R
A
Under Secretary
MR / Nodal Officer
4.2.3.F
A
Joint Secretary
4.2.4.A
4.2.4.B
4.2.4.C
4.2.4.D
R
A
R
A
All Concerned
All Concerned
All Concerned
All Concerned
5.1
5.1
5.2
A
R
A
Secretary - MoC
Secretary - MoC
Secretary - MoC
5.3
5.3.
A
R
Secretary - MoC
MR / Nodal Officer
5.4.1.
A
Secretary - MoC
5.4.1
5.4.2
R
A
Secretary - MoC
Secretary - MoC
5.5.1.A
5.5.1.B
5.5.2
5.5.2
R
A
A
A
Secretary - MoC
Secretary - MoC
Secretary - MoC
MR
5.5.3
5.5.3
R
A
All concerned
MR / Nodal Officer
5.6
5.6
R
A
MR / Nodal Officer
Secretary - MoC
5.6.
R
MR / Nodal Officer
6.1
6.1
A
A
Addl/Joint Secretaries
Addl/Joint Secretaries
6.2.1
R
Section Officer (Estb)
c.
d.
e.
f.
g.
h.
Approving Quality Manuals and their changes, after review by MR
Approval of operational documents
Release of Quality Manual after approval by Secretary - MoC
Release of Operational Documents after approval by concerned Joint Secretaries
Distribution and maintenance of documents
Distributing relevant portions of documents & QMS manuals for training/awareness as
per procedure
i. Arranging displays of Quality Policy in any form while maintaining its accuracy
j. Distribution and maintenance of electronic copies
k. Arranging disposition of obsolete pages in Quality Manual and re-issue of
new/revised/amended ones
l. Disposition of obsolete operational document
m. Re-evaluating the need for change in Quality Manual, and arranging needed changes
or re-approval as per procedure
n. Re-evaluating the need for change in operational documents, and arranging needed
changes or re-approval, as per procedure
4.2.4
5.3
5.4
5.5.1
5.5.2
MR
Concerned Director/
Deputy Secretaries
Secretary MoC
Concerned Joint Secretary
MR
Under Secretary
All Copyholders
Role: Control of Records
a.
b.
c.
d.
5.1
5.2
Functionary
Ensuring unique identification of all records as per defined procedure
Ensuring proper storage and protection of all office records
Declaring retention period of office records as per procedure
Deciding disposition of office records after expiry of declared retention time
Role: Commitment towards System & Customers
a.
b.
c.
Taking ultimate responsibility of the QMS
Providing evidence of commitment for QMS as specified
Ensuring appropriate focus towards customers in the Ministry as specified
Role: Quality Policy
a.
Declaring quality policy for the Ministry, and conducting its periodic reviews
b.
Arranging communication of declared quality policy among all employees of the Ministry
Role: Quality Objectives
a.
Ensuring that suitable quality objectives are established at each relevant function and
level in the Ministry, and that they are reviewed every year
b.
Establishing annual quality objectives for all relevant functions and levels in the Ministry
c.
Ensuring that integrity of the established QMS is maintained during all changes
Role: Responsibility and Authority Allocations
a.
b.
c.
Taking the overall custody of QMS in the Ministry
Defining roles, responsibilities, accountabilities, and authorities of persons
Appointing Management Representatives for specific charges of the QMS
d.
Taking defined role of a Management Representative for QMS on behalf of Secretary - MoC
5.5.3 Role: Internal Communication
a. Ensuring specified communications as defined
b. Communication of QMS performance to all in the Ministry
5.6 Role: Management Reviews
a. Preparing agenda for periodic reviews of system functioning based on specified inputs
b. Deciding needed actions during reviews of the system
c. Recording & communicating decisions of reviews of system to all concerned for
compliance
6.1 Role: Provision of Resources
a. Providing relevant resources both one-time and periodically
b. Reviewing the adequacy of provided resources during reviews of the system
6.2 Role: Managing Human Resources
a. Maintaining records of manpower deployment in Ministry
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MINISTRY OF COAL
GOVERNMENT OF INDIA
Section 10: Page 3
Quality Manual
Role (with related element and section under the manual) / Responsibility (R)
or Authority (A)
b.
6.3
6.4
Undertaking required actions to achieve necessary competence of Personnel, and
evaluating effectiveness of taken actions
c. Maintaining and updating competence records of all Personnel
d. Making all the persons aware about the relevance and importance of their activities,
particularly towards achievement of quality objectives
Role: Managing Infrastructure
a. Ensuring maintenance of related infrastructure
Role: Managing Work Environment
a.
7.1
7.2
7.5
8.2
R
Concerned Under
Secretaries
Section Officer (Estb)
6.2.2.E
R
Secretary - MoC
6.3
R
All Concerned.
6.4
R
Concerned Section
Officers
7.2
R
A
7.2.3.c
Concerned Facilitation
Officer
Director (PG)
7.4.1
R
Under Secretaries
7.4.2
R
Under Secretaries
7.4.3
7.4.3
R
A
Designated Officers
Designated Officers
7.5.1
R
All Section Heads
7.5.3.
R
All Section Heads
7.5.4
R
7.5.5
A
All Section Officers
Concerned Under
Secretaries
8.2.1.
R
8.2.1.
R
All Concerned
A
A
A
A
MR / Nodal Officer
MR / Nodal Officer
MR / Nodal Officer
Secretary - MoC
Concerned Under
Secretaries
Role: Monitoring and Measurement
c.
Monitoring of the level and degree of satisfaction of customers through direct
interaction with them
Recording of such perceived customer complaints in customer compliant register
available with MR
Evaluation of customer satisfaction
b.
d.
Preparing & issuing annual audit program
e.
f.
Ensuring coordination of audits & reporting of audit results under record 9.3
Monitoring of all QMS processes through reports received under record 9.3
8.2.1
8.2.2
8.2.2
8.2.3
g.
Monitoring of conformity of services offered to the customers
8.2.4
A
Identification and reporting of Nonconforming stage outputs as per defined procedure
8.3.A
R
b.
Handling & recording of reported Nonconforming Services as per defined procedure
8.3.B
R
c.
Deciding corrective and preventive actions of on identified nonconformities and
monitoring their implementation
8.3 C & D
R
8.4
R
All Concerned
Role: Control of Nonconforming Products
a.
8.4
8.5
Ensuring determination of customer requirements and their documentation
b. Handling customer communication
Role: Control of Purchasing & Suppliers/Subcontractors
a. Ensuring selection of suitable suppliers/subcontractors through specified arrangement
b. Ensuring coverage, as listed, under purchase/supply orders of all
suppliers/subcontractors
c. Maintaining records of inspection of procured materials
d. Verification of procured services during delivery, and ensuring midcourse Corrections
Role: Controls on Service Provision
a. Ensuring Service Provision processes to the customers are identified, planned and
carried out under controlled conditions
b. Ensuring every processing related to services to customers is uniquely identified in
MoC
c. Ensuring adequate control of documents/Files/Any records received from customers
d. Ensuring adequate preservation of all background information related to offered
service to the customers
a.
8.3
6.2.2.B &
C
6.2.2.D
Role: Planning for Service Realization
a.
7.4
Ensuring maintenance of adequate workplace and operational conditions in the Ministry
Functionary
All Concerned
Concerned Under
Secretaries
Concerned Director/
Deputy Secretaries
Role: Data Analysis and Improvement Actions
a.
Undertaking data analysis
b.
Identifying and reviewing Nonconformities as per defined procedure
8.5.2
R
c.
Determining the causes of Nonconformities
8.5.2
R
d.
Deciding actions on identified/reported Nonconformities
8.5.2
A
e.
Reviewing effectiveness of undertaken Corrective Actions and Preventive Actions on
Nonconformities
8.5.2
A
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Concerned Under
Secretaries
Concerned Director/
Deputy Secretaries/ MR
Concerned Director/
Deputy Secretaries/ MR
Concerned Director/
Deputy Secretaries/ MR
Reason of Change