ISO 9002 / 14001
Integration at KMU
WHO? WHAT? WHERE? HOW?
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Konica Manufacturing USA, Inc.
(KMU)
 Product: Color Photographic Paper
 Located in Whitsett, NC (East of Greensboro on I85/40)
K.M.U. General Statistics
 KMU manufactures color photographic
paper and photographic emulsions
 First Coating: June 13, 1989
 ~ 350 employees
 Continuous operation (12 hr shifts)
 300,000 ft² in manufacturing facility
 Subsidiary of Konica Corporation (Japan)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Quality System Status
 ISO 9002/1987 certified - July 1994
 ISO 9002/1994 certified - July 1995
 Documentation (prior to EMS implementation)
only items “affecting” quality




Level 1 (Quality Manual) - 1
Level 2 (System) documents - 41
Level 3 (Instruction) documents - 2200
Level 4 (Forms) documents - 1000
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU Quality System
Documentation Structure
QMS Manual
Level 1
QMS Systems
Level 2
QMS Procedures / Forms
Level 3
(2200 +)
Level 4 (1000 +)
Records
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Environmental Status
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Title V Air Permit (Mostly VOCs)
Large Quantity Hazardous Waste Generator
Wastewater discharge to local POTW
Stormwater Permit
Silver Recovery (Wastewater Pretreatment)
Involved with TSCA, FIFRA, ATF, EPCRA
(Tier II & TRI).
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Q&E Structure
(prior to EMS Implementation)
 Quality Systems Manager (Chris Kappert)


Report to QA Senior Manager (ISO Rep)
Supervise Document Control Assistant who
controls flow and distribution of documents
 Environmental Engineer (Sean Bir)


Report to Engineering Senior Manager
Environmental Reporting and Performance
Improvement
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
INTEGRATION DECISION
 Know the differences / similarities in the
standards
 Know advantages / disadvantages of the
integration options
 Know your system & your company
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
DIFFERENCES
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
DIFFERENCES
 EMS vs QMS
 TC207 vs TC176
 6 elements vs 20 elements (1994 version)
 “Established” vs “Documented” Procedures
 Possible future integration or alignment
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
DIFFERENCES
 Environmental Aspects and Impacts (4.3.1)
 Legal and Other Requirements (4.3.2)
 Environmental Programmes (4.3.4)
 Communication (4.4.3)
 Emergency Preparedness and Response (4.4.7)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
SIMILARITIES
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Policy
Targets & Objectives
Roles & Responsibilities
Training
Supplier Control / Purchasing
Document Control
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
SIMILARITIES
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Operational Control
Calibration
Corrective and Preventive Action
Records
Auditing
Management Review
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
INTEGRATION OPTIONS
 Separate Systems
 Partially Integrated Systems
 Fully Integrated Systems
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Separate Systems
QMS Manual
EMS Manual
QMS Level 2's
(approx. one for each
of the 20 elements)
EMS Level 2's
(approx. one for each
of the 6 elements)
QMS Level 3's
(as needed)
EMS Level 3's
(as needed)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Advantages of Separate Systems
 Easy to audit (external)
 One-to-one documentation generation
 Can be handled by independent groups
 Thorough coverage of requirements
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Disadvantages of Separate Systems
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REDUNDANCY! REDUNDANCY!
Results in large system of documentation
No plant-wide alignment
Requires extra staffing
Internal audits harder
“Re-inventing the wheel”
Start over if ISO 14001 / 9001 merge
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Partially Integrated Systems
QMS Manual
EMS Manual
Level 2's
(approx 1 for each
9001 element
+ ? for 14001)
Level 3's
(as needed)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Advantages of
Partially Integrated Systems
 Relatively easy audits (external & internal)
 Builds on existing systems
 Can be managed by groups working closely
together or combined
 Reduced costs
 Consistency
 Employee buy-in
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Disadvantages of
Partially Integrated Systems
 Alignment of ISO 9001 / 14001 elements
 ISO 9001 systems may not adequately
cover 14001 requirements
 Unclear responsibilities between QMS and
EMS management representatives
 Complex procedures (level 2’s)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Fully Integrated Systems
Management
Systems
Manual
Level 2's
(as needed)
Level 3's
(as needed)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Advantages of
Fully Integrated Systems
 Easy to audit (internal)
 Consistent plant-wide philosophy, planning,
and information management
 No redundancies
 Reduced costs
 System already established if ISO 14001 /
9001 merge
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Disadvantages of
Fully Integrated Systems
 Complex documents (level 1 and 2’s)
 Difficult to audit (external)
 Unclear responsibility between QMS and
EMS management representatives
 Difficult to implement after 9001 has
already been established
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14001 vs ISO 9001
INTEGRATION DECISION
 Know your current system

Does it lend itself to integration?

What is the function of the various documents in
your current system?

???
 Know your company

Could we do it like that?
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Which is right for you
?
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Implementation of
Partially Integrated System
 ISO 9002 system established
 ISO 14001 EMS Manual written
(references made to existing system
documentation and unknown new documents)
 Existing systems modified
 No new level 2’s added
 Many environmental specific level 3’s
added
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s
Partially Integrated System
QMS Manual
EMS Manual
Level 2's
(approx 1 for each
9002 element)
Level 3's
(as needed)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Implementation &
Integration Team
 Team Leaders
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Quality Systems Manager
Environmental Engineer
 Core Team

Representatives from each major functional area; 10
experienced people
 Employees Involved

100%!!
KMU, Chris Kappert, ISO 9002 /
14001 Integration
ISO 14000 Costs
KMU Person-Hours
ITEM / Person Hours
QSE
EE
DENR* KEG
Other
External Training
Documentation Framework / Integration
Aspect Determination
Work Instructions
Level I Training
Level II Training
Gap Analysis / Internal Audits
Pre-assessment Planning / Performance
Assessment Planning / Performance
16
160
20
24
16
0
16
40
60
40
40
80
60
40
32
40
32
40
40
8
20
50
20
16
24
32
40
0
0
50
80
0
30
0
0
0
0
0
8
80
360
180
12
24
80
352
404
250
160
744
1910
QSE = KMU Quality Systems Engineer
EE = KMU Environmental Engineer
DENR = NC State Consultant provided at no cost to KMU
KEG = 10 member cross-plant team
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s ISO 14001 Timeline
 Spring 1997

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Key Personnel Receive ISO 14001 Training.
Drafted Environmental Policy
 Summer 1997

Decide to Develop Integrated Management
System Incorporating Quality and
Environmental Commitments.
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s ISO 14001 Timeline
 Fall 1997
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Join NC ISO 14001 Pilot Program
Complete Environmental Manual (& Policy)
Created the Konica Environmental Group with
members from all KMU departments.
Identify Environmental Aspects and Impacts.
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s ISO 14001 Timeline
 Winter 1997/1998
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Developed Environmental Targets and
Objectives for 1998.
Completed Initial Environmental Training of all
KMU Personnel.
Registrar Performed ISO 14001 Preassessment
of KMU’s Management System.
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s ISO 14001 Timeline
 April 1998

Completed Implementation of EMS.
 June 15-19, 1998

Passed KMU ISO 14001 and 9002 Certification
Audit.
TOTAL ELAPSED TIME:
14 months (8 months dedicated)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
14001 Registration!!!!!!!
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Documentation System
(after EMS Implementation)
 Documentation - items “affecting” quality
or environmental performance



Quality Manual - 1
Environmental Manual - 1
Level 2 (System) documents - 41
(none created; 40% modified for EMS)

Level 3 (Instruction) documents - 2320
(~120 created + 5% modified for EMS)

Level 4 (Forms) documents - 1050
(~5% created new or just added to control system)
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU Management System
Documentation Structure
Level 1
Level 1
EMS & QMS Manuals
Level 2
Systems Documents
Level 3
(2320 +)
Procedures / Forms
Level 4 (1050 +)
Records
KMU, Chris Kappert, ISO 9002 /
14001 Integration
KMU’s Q&E ISO Structure
(after EMS Implementation)
 Environmental Engineer / Systems Manager
(Dorothy Vannoy)
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Report to Engineering Senior Manager (ISO rep)
Responsible for all (ISO) Management Systems
Environmental Reporting and Performance
Improvement
Document Control Assistant still controls flow of
document revisions and distribution
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Benefits Realized…..
… from EMS IMPLEMENTATION
 Increased Employee Awareness & Involvement
Better Knowledge Preservation & Transfer
$ Increased Efficiency & Reduced Costs
Improved Environmental Performance
Enhanced Public Image
Enhanced Image with Regulators
KMU, Chris Kappert, ISO 9002 /
14001 Integration
Benefits Realized…..
… from EMS (partial) INTEGRATION
Reduced head count
Simplified introduction into daily operations
Minimal increase in documentation
KMU, Chris Kappert, ISO 9002 /
14001 Integration
INTEGRATION REFERENCES
 Book: Stepping Up to ISO 14000 - Integrating
Environmental Quality with ISO 9000 and TQM
Subhash C. Puri, $39.00
www.ppress.com
 ASQ Course: Integrating ISO 14001 into QS9000 Certified Systems - $835
June 20-21, 2000, Greensboro, NC
 NC DENR - FREE!
 Your Auditor - $?
KMU, Chris Kappert, ISO 9002 /
14001 Integration