IMS APEX Manual Final LOCO

NORHTERN RAILWAY
LOCOMOTIVE WORKSHOP
CHARBAGH, LUCKNOW – 226 005, India
Apex Manual
(AM-LW-SMT-01)
Issue/ Rev. No.: 1/0 - [15/09/2019]
INTEGRATED MANAGEMENT SYSTEM

Conforms to ISO 9001:2015, ISO 14001:2015 &ISO 45001: 2018
DISTRIBUTION LIST
Copy No Distributed to Location

01 CWM Locomotive Workshop
02 Dy. CME (D) Locomotive Workshop
03 SMT Nominee Locomotive Workshop
Soft Copy is available for Reference
Prepared by Approved By
SMT Nominee C.W.M
All rights reserved by CWM, Locomotive Workshop, Northern Railway. This document may contain proprietary information and may
only be released to third parties with approval of management. Document is uncontrolled unless otherwise marked; uncontrolled
documents are not subject to update notification.
IMS Cross Reference Matrix
ISO 9001:2015 ISO 14001:2015 ISO 45001:2018
QMS IMS Manual EMS IMS Manual OH&SMS IMS Manual
4 4 4 4 4 4
4.1 4.1 4.1 4.1 4.1 4.1
4.2 4.2 4.2 4.2 4.2 4.2
4.3 4.3 4.3 4.3 4.3 4.3
4.4 4.4 4.4 4.4 4.4 4.4
5 5 5 5 5 5
5.1 5.1 & 5.3 5.1 5.1 5.1 5.1 & 5.3
5.2 5.1 5.2 5.1 5.2 5.1
5.3 5.2 5.3 5.2 5.3 5.2
NA 5.4
6 6 6 6 6 6
6.1 6.1 6.1 6.1 6.1 6.1
6.2 6.2 6.2 6.2 6.2 6.2
6.3 6.3 NA NA NA NA
7 7 7 7 7 7
7.1 7.1 7.1 7.1 7.1 7.1
7.2 7.2 7.2 7.2 7.2 7.2
7.3 7.3 7.3 7.3 7.3 7.3
7.4 7.4 7.4 7.4 7.4 7.4
7.5 7.5 7.5 7.5 7.5 7.5
8 8 8 8 8 8
8.1 8.1 8.1 8.1 8.1 8.1
8.2 8.2 8.2 8.2 8.2 8.2
8.3 8.3
8.4 8.4
8.5 8.5 NA NA NA NA
8.6 8.6
8.7 8.7
9 9 9 9 9 9
9.1 9.1 9.1 9.1 9.1 9.1
9.2 9.2 9.2 9.2 9.2 9.2
9.3 9.3 9.3 9.3 9.3 9.3
10 10 10 10 10 10
10.1 10.1 10.1 10.1 10.1 10.1
10.2 10.2 10.2 10.2 10.2 10.2
10.3 10.3 10.3 10.3 10.3 10.3
*NA – Clauses not applicable for the standards

TABLE OF CONTENTS
Claus Description Page
e
A. Revision History and Approval

B. Introduction
1.0 Scope /1.0 Scope/ 1.0 Scope
2.0 Normative Reference /2.0 Normative Reference/ 2.0 Normative Reference
3.0 Terms and Definitions/3.0 Terms and Definitions/ 3.0 Terms and
Definitions
4.0 Context of the Organization/ 4.0 Context of the Organization/ 4.0 Context
of the Organization
4.1 Understanding the Organization and its Context/ 4.1 Understanding

the Organization and its Context/ 4.1 Understanding the Organization
and its Context
4.2 Understanding the needs and expectation of the interested parties/

4.2 Understanding the needs and expectation of the interested parties/
4.2 Understanding the needs and expectation of workers and other
interested parties
4.3 Determining the scope of the Quality Management System/

4.3Determining the scope of theEnvironmental Management System/ 4.3
Determining the scope of the OH&S Management System
4.4 Quality management system and its processes/ 4.4 Environmental

Management System / 4.4OH&S Management System
5.0 Leadership/ 5.0 Leadership/ 5.0 Leadership and worker participation

5.1 Leadership and commitment/ 5.1 Leadership and commitment/ / 5.1
Leadership and commitment
5.1.1/…/… General
5.1.2 /…/…Customer Focus
5.2Policy/ 5.2 Environmental Policy/5.2 OH & S Policy
5.2.1/…/… Establishing the Quality Policy

5.2.2/…/… Communicating the Quality Policy
5.3 Organizational roles, responsibilities and authorities/5.3

Organizational roles, responsibilities and authorities /5.3 Organizational
roles, responsibilities and authorities
…/…./ 5.4 Consultation and participation of workers
6.0 Planning/6.0 Planning/ 6.0 Planning
6.1 Actions to address risks and opportunities/ 6.1 Actions to address

risks and opportunities/ 6.1 Actions to address risks and opportunities
…../ 6.1.1 General/ 6.1.1 General
…../ 6.1.2 Environmental Aspects/ 6.1.2 Hazard identification and

assessment of risks and opportunities
…./6.1.3 Compliance obligations / 6.1.3 Determination of legal

requirements and other requirements
…./6.1.4 Planning action/ 6.1.4 Planning action
6.2 Quality Objectives and Planning to achieve them/ 6.2 Environmental

Objectives and Planning to achieve them/ 6.2 OH&S objectives and
planning to achieve them
…./6.2.1 Environmental objectives/ 6.2.1 OH&S objectives
…./6.2.2 Planning actions to achieve environmental objectives/ 6.2.2

Planning to achieve OH&S objectives
6.3 Planning of changes/ .. / …..
Support/ 7.0 Support/ 7.0 Support

7.0
7.1 Resources/ 7.1 Resources/ 7.1 Resources

7.1.1 /…./…… General
7.1.2 /…./ ……People
7.1.3 /…./…. Infrastructure
7.1.4 /…./…. Environment for the operation of processes
7.1.5 /…./…. Monitoring and Measuring Resources
7.1.6 /…./… Organizational Knowledge
7.2 Competence/ 7.2 Competence/ 7.2 Competence
7.3 Awareness/ 7.3 Awareness/ 7.3 Awareness
7.4 Communication/ 7.4 Communication/ 7.4 Communication
…./ 7.4.1 General / 7.4.1 General
…./ 7.4.2 Internal communication/ 7.4.2 Internal communication
…. / 7.4.3 External communication./ 7.4.3 External communication
7.5 Documented information/ 7.5 Documented information/ 7.5

Documented information
7.5.1 General / 7.5.1General /7.5.1General
7.5.2 Creating and Updating / 7.5.2 Creating and Updating/ 7.5.2

Creating and Updating
7.5.3Control of Documented Information / 7.5.3 Control of

Documented Information/ 7.5.3 Control of Documented
Information
8.0 Operation/ 8.0 Operation/ 8.0 Operation
8.1 Operational planning and control/ 8.1 Operational planning and

control/ 8.1 Operational planning and control
…./ …./ 8.1.1 General

…./….. / 8.1.2 Eliminating hazards and reducing
OH&S risks
…./…. / 8.1.3 Management of change
…./…./ 8.1.4 Procurement
8.2 Requirements for the Products and Services/ 8.2 Emergency

Preparedness and response/ 8.2 Emergency Preparedness and
response
8.2.1Customer Communications/…./……
8.2.2 Determining the requirements for products and services/…./….
8.2.3Review of the requirements for products and services/….….
8.2.4Changes to requirements for Products and Services/…./….
8.3 Design and Development of Product and Services- Excluded /…/

…
8.4 Control of externally provided processes, products and

services/../..
8.4.1 General /…./….
8.4.2 Type and Extent of Control /…./…..
8.4.3 Information for external Providers /…./….
8.5 Production and Services Provision/.. /…

8.5.1 Control of Production and Service Provision/…. /….
8.5.2 Identification and Traceability/…. /….
8.5.3 Property belonging to customer or external
Providers/../..
8.5.4 Preservation/…. /….
8.5.5 Post-delivery activities/… ./….
8.5.6 Control of Changes/…. /….
8.6 Release of Production and Services /… /…
8.7 Control of Non-Conforming Outputs/… /…

Performance Evaluation/ 9.0 Performance Evaluation/ 9.0 Performance
9.0
Evaluation
9.1 Monitoring, measurement, analysis and evaluation/ 9.1

Monitoring, measurement, analysis and evaluation/ 9.1 Monitoring,
measurement, analysis and performance evaluation
9.1.1 General / 9.1.1 General/ 9.1.1 General

9.1.2 Customer Satisfaction/ 9.1.2 Evaluation of compliance/
9.1.2 Evaluation of compliance
9.1.3 Analysis and Evaluation /…. / ….
9.2 Internal Audit / 9.2 Internal Audit / 9.2 Internal Audit
…./9.2.1 General/ 9.2.1 General

…./ 9.2.2 Internal audit program / 9.2.2 Internal audit program
9.3 Management Review / 9.3 Management Review / 9.3 Management

Review
9.3.1 General / …. / ….
9.3.2 Management Review Inputs / …. / …..
9.3.3 Management Review Outputs / …. / …..
Improvement / 10.0 Improvement / 10.0 Improvement

10.0
10.1 General/ 10.1 General / 10.1 General
10.2 Nonconformity and Corrective Action/ 10.2 Nonconformity and

Corrective Action/ 10.2 Incident, nonconformity and corrective action
10.3 Continual Improvement / 10.3 Continual Improvement / 10.3

Continual Improvement
Appendix A: Overall Process Sequence & Interaction
Appendix B: Organization Chart
Appendix C – Responsibility and Authority, Competency & KPI’s

Appendix D – Senior Management Team
Appendix E – Storage & Disposal Matrix
Appendix F - Disposal Matrix
Appendix G- IMS Policy
Appendix H- IMS Objectives
Appendix I - Process Flow Chart
A. Revision History and Approval

Rev. Nature of changes Approval Date
00 Original release. CWM 08/09/2019
Introduction:
1.0 BRIEF HISTORY
LOCOMOTIVE WORKSHOP: - LOCOMOTIVE WORKSHOP, Lucknow is unit of Northern

Railway under the Ministry of Railways, Government of India.
The Workshop was established in the year 1867 under O & R Railways. Since 1925 the
workshop was a part of “East Indian Railways”. Post independence re-grouping of Zonal
Railways brought the workshop under Northern Railways in the year 1952.
The workshop was set up for overhaul of steam locomotives. With the decline in steam traction,
the activities changed from POH of steam locomotives to Diesel Electric Locomotives. In 1975,
it started POH of Diesel locomotive and in the year 1985 POH of Electric Locomotive and
DEMU in the year 1999. Apart from POH activities of different type of rolling stock, other
manufacturing activities are continuing.
2.0 ACTIVITIES:-
LOCOMOTIVE WORKSHOP, Lucknow carries out the following major activities .

 Diesel Loco POH
 Electric Loco POH
 DEMU POH
 Coach Bogie Overhaul
 Repair of Wheel Sets
 Repair of Laminated Springs
 Manufacture of some spares of rolling stock viz. Diesel & Electrical Locomotive
& Coaches etc.
1.0 Scope of the Management System
1.1 Scope Statement

Based on an analysis of the above issues of concern, interests of stakeholders, and in
consideration of its products and services, Locomotive Workshop, Northern Railway, Charbagh,
Lucknow. has determined the scope of the management system as follows:
Scope of certification is:
“Repair & Periodic Overhaul of Diesel & Electric Locomotives,

Diesel Electric Multiple Unit (DEMU), Coach Bogie Overhaul,
Wheel Sets and Manufacture of Miscellaneous Components”.
2.0 Normative Reference:

The latest edition of ISO 9000:2015(Quality management systems — Fundamentals and
vocabulary) and ISO 9001:2015 (Quality management systems — Requirements), ISO
14001:2015 (Environmental Management System- Requirements with Guidance ) and ISO
45001: 2018 (OH& S management System) are used as reference for the preparation of
this manual. Also, the reference standard (std used for production) is also being used
3.0 Terms and Definitions:

QMS Definitions
For the terms and definitions, ISO 9000 and ISO 9001 standards apply.
EMS Definitions
Following terms and definitions are considered to be those that are commonly associated
with the environmental standard.
 Organization: Person or group of people that has its own functions with
responsibilities, authorities and relationship to achieve its objectives
 Interested Parties: Persons or organization that can affect, to be affected by or
perceive themselves to be affected by a decision or activity.
 Environment: Surrounding in which organization operates a) surrounding extends
from within the organization to the local, regional and global system, b) surrounding
can include air, water, land, natural resources, biodiversity and eco system, humans
and their interactions.
 Compliances Obligations: Requirement that an organization has to or choose to
comply with the obligation that may arise from mandatory requirements such as
applicable laws and regulations, or voluntary commitments to the interested party
requirements, such as industry standards and code of contractual relationship,
principles of good governance, and accepted community and ethical standards
 Environmental Aspect: Elements of an organization’s activities or products service
that interacts or can interact with the environment. Aspect can cause environmental
Impact. Significant aspects are determined by the Locomotive Workshop, Northern
Railway, Charbagh, Lucknow. applying range of criteria.
 Environmental Impact: Change to the environment whether adverse or beneficial,
wholly or partly resulting from an organization’s environmental aspect
 Environmental Conditions: State or characteristic of the environment as
determined at a certain point of time.
 Management System: Set of interrelated or interacting elements of an
organization, to establish policies, objectives and processes to achieve those
objectives. The system addresses a single discipline or several disciplines. This
includes organization structure, roles and responsibilities, planning, operation and
associated processes and procedures. The scope of the system may include the
whole organization, specific identified functions or sections of the organization.
 Environmental Management System: Part of the management system that is
used to manage its environmental aspects, compliance, obligations, organizational
risks and opportunities.
 Top Management: Persons or group of people who direct and control an
organization at the highest level a) Top management has the power to delegate
authority except for designated tasks as per clause 5.1, 5.2, 5.3, 9.3 and provide the
resources within the organization.
 Effectiveness: extent to which planned activities are realized and planned results
are achieved.
 Environmental Policy: Intensions and Directions of an organization related to
environmental performance formally expressed by its Top Management.
 Objective: Results to be achieved
 Objective can be strategic, tactical or operational. Objectives can be related to
different disciplines (financial, health, safety and environmental) and at different
levels (strategic, organization-wide, project, product service, process). Objectives
can be Aim, goal or target for operation, environment, product etc. In the form of
Environmental Management programs
 Risks: Effect of uncertainty
 An effect is a deviation from the expected- positive or negative
 Uncertainty is the state, even partial, of deficiency of information related to
understanding or knowledge of an event, its consequence or likelihood
 Risks often characterized by reference to potential events or combination of
these
 Risk is often expressed in terms of a combination of the consequence of an
event including changes in circumstances and the associated likelihood of
occurrence
 Competence: Ability to apply knowledge and skills to achieve intended results.
 Documented information: Information required to be controlled and maintained by
an organization and the medium on which it is contained
 Documented information can be in any format or media and can be from any source
 It can refer to the management system including related processes
 Information created in order for the organization to operate
 Evidence for the results achieved
 Process: Set of interrelated or interacting activities, which transform inputs into
outputs. Process can be documented or not.
 Procedure: Specified way to carry out an activity or a process. Procedure can be
documented or not.
 Environmental Performance: Performance, having measurable result, related to
the management of environmental aspects. These results can be measured against
environmental policy, objectives, aspects and compliance obligations.
 Indicator: Measurable representation of the condition of the operations,
management or conditions. Distinction can be made between operational
performance indicators, Management performance indicators, environmental
performance indicators and environmental condition indicators.
 Outsource: Making an arrangement where an external organization performs part
of an organization’s function or process which is within the scope
 Monitoring: Determining the status of a system, a process or an activity by
checking, supervising or critically observing.
 Audit: Systematic, independent and documented process for obtaining audit
evidence and evaluating it objectively to determine the extent to which the audit
criteria is fulfilled.
 An audit can be internal (conducted by organization) or external (external body)
or combined
 Independence can be demonstrated by the freedom from responsibility for the
activity being audited, or freedom from bias and conflict of interest
 Audit evidence consists of records, statements of the facts or other information
relevant to audit criteria and are verifiable. Audit criteria are the set of policies,
procedures or requirements used as reference against which audit evidence is
compared.
 Conformity: Fulfillment of the requirement or compliance obligation
 Non-conformity: non-fulfillment of the requirement. It also relates to the
requirements that an organization establishes for itself.
 Corrective Action: Action to eliminate the cause of nonconformity and to prevent
recurrence.
 Continual Improvement: Recurring activity to enhance performance. This means
to improve environmental performance consistent with its policy. This activity need
not take place simultaneously in all areas.
 Prevention of Pollution: Use of processes, practices, techniques, materials,
products, services or energy to avoid, reduce or control the creation, emission or
discharge of any type of pollutant or waste in order to reduce adverse
environmental impacts. This can include source reduction, packing and end
use/disposal. Elimination, process- products or service changes, efficient use of
resources, energy, reuse, recovery, recycling and treatment.
 Value Chain: Entire sequence of activities or parties that provide or receive value in
the form of products and services. Parties that provide value include supplier,
outsourced workers, contractors etc. Parties that receive value include customers,
consumers, clients’ members and other users. Value can be positive or negative
 Life Cycle: Consecutive and interlinked stages of a product system, from raw
material acquisition or generation from natural resources to final disposal. It
includes activities, products, services and also procured goods and services, as well
as end of life treatment of products, which may include design Production
transportation.
OH&S Definitions
Following terms and definitions are considered to be those that are commonly associated with
the OHSAS standard.
Organization: person or group of people that has its own functions with responsibilities,
authorities and relationships to achieve its objectives
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader,
Workshop, corporation, firm, enterprise, authority, partnership, charity or institution, or part or
combination thereof, whether incorporated or not, public or private.
Note 2 to entry: This constitutes one of the common terms and core definitions for ISO
management system standards given in Annex SL of the Consolidated ISO Supplement to the
ISO/IEC Directives, Part 1.
Interested party (preferred term)
Stakeholder(admitted term): person or organization that can affect, be affected by, or perceive
itself to be affected by a decision or activity
Worker: person performing work or work-related activities that are under the control of the
organization
Note 1 to entry: Persons perform work or work-related activities under various arrangements,
paid or unpaid, such as regularly or temporarily, intermittently or seasonally, casually or on a
part-time basis.
Note 2 to entry: Workers include top management, managerial and non-managerial persons.
Note 3 to entry: The work or work-related activities performed under the control of the
organization may be performed by workers employed by the organization, workers of external
providers, contractors, individuals, agency workers, and by other persons to the extent the
organization shares control over their work or work-related activities, according to the context of
the organization.
Participation: involvement in decision-making
Note 1 to entry: Participation includes engaging health and safety committees and workers’
representatives, where they exist.
Consultation: seeking views before making a decision

Note 1 to entry: Consultation includes engaging health and safety committees and workers’
representatives, where they exist.
Workplace: place under the control of the organization where a person needs to be or to go for
work purposes
Note 1 to entry: The organization’s responsibilities under the OH&S management

system for the workplace depend on the degree of control over the workplace.
Contractor: external organization providing services to the organization in accordance with

agreed specifications, terms and conditions
Note 1 to entry: Services may include construction activities, among others.

Requirement: need or expectation that is stated, generally implied or obligatory
Note 1 to entry: “Generally implied” means that it is custom or common practice for the
organization and interested parties that the need or expectation under consideration is implied.
Note 2 to entry: A specified requirement is one that is stated, for example in documented
information.
Legal requirements and other requirements:
legal requirements that an organization has to comply with and other requirements that an
organization has to or chooses to comply with
Note 1 to entry: For the purposes of this document, legal requirements and other requirements
are those relevant to the OH&S management system.
Note 2 to entry: “Legal requirements and other requirements” include the provisions in collective
agreements.
Note 3 to entry: Legal requirements and other requirements include those that determine the
persons who are workers’ representatives in accordance with laws, regulations, collective
agreements and practices.
Management system: set of interrelated or interacting elements of an organization to establish
policies and objectives and processes to achieve those objectives
Note 1 to entry: A management system can address a single discipline or several disciplines.
Note 2 to entry: The system elements include the organization’s structure, roles and
responsibilities, planning, operation, performance evaluation and improvement.
Note 3 to entry: The scope of a management system may include the whole of the organization,
specific and identified functions of the organization, specific and identified sections of the
organization, or one or more functions across a group of organizations.
ISO/IEC Directives, Part 1. Note 2 to entry has been modified to clarify some of the wider
elements of a management system.
Occupational health and safety management system
OH&S management system : management system or part of a management system used to

achieve the OH&S policy.
Note 1 to entry: The intended outcomes of the OH&S management system are to prevent injury
and ill health to workers and to provide safe and healthy workplaces.
Note 2 to entry: The terms “occupational health and safety” (OH&S) and
“occupational safety and health” (OSH) have the same meaning.
Top management: person or group of people who directs and controls an organization at the
highest level
Note 1 to entry: Top management has the power to delegate authority and provide resources
within the organization, provided ultimate responsibility for the OH&S management system is
retained.
Note 2 to entry: If the scope of the management system covers only part of an organization,
then top management refers to those who direct and control that part of the organization.
ISO/IEC Directives, Part 1. Note 1 to entry has been modified to clarify the responsibility of top
management in relation to an OH&S management system.
Effectiveness: extent to which planned activities are realized and planned results achieved
Policy: intentions and direction of an organization, as formally expressed by its top
management
Occupational health and safety policy
OH&S policy : policy to prevent work-related injury and ill health to workers and to provide safe
and healthy workplaces
Objective :result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and
safety, and environmental goals) and can apply at different levels (such as strategic,
organization-wide, project, product and process.
Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a
purpose, an operational criterion, as an OH&S objective, or by the use of other words with
similar meaning (e.g. aim, goal, or target).
ISO/IEC Directives, Part 1. The original Note 4 to entry has been deleted as the term “OH&S
objective” has been defined separately.
Occupational health and safety objective
OH&S objective :objective set by the organization to achieve specific results consistent with
the OH&S policy
Injury and ill health :adverse effect on the physical, mental or cognitive condition of a person
Note 1 to entry: These adverse effects include occupational disease, illness and
death.
Note 2 to entry: The term “injury and ill health” implies the presence of injury or ill health, either
on their own or in combination.
Hazard: source with a potential to cause injury and ill health
Note 1 to entry: Hazards can include sources with the potential to cause harm or hazardous
situations, or circumstances with the potential for exposure leading to injury and ill health.
Risk: effect of uncertainty
Note 1 to entry: An effect is a deviation from the expected — positive or negative.

Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to,
understanding or knowledge of, an event, its consequence, or likelihood.
Note 3 to entry: Risk is often characterized by reference to potential “events” (as defined in ISO
Guide 73:2009, 3.5.1.3) and “consequences” (as defined in ISO Guide 73:2009, 3.6.1.3), or a
combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an
event (including changes in circumstances) and the associated “likelihood” (as defined in ISO
Guide 73:2009, 3.6.1.1) of occurrence.
Note 5 to entry: In this document, where the term “risks and opportunities” is used this means
OH&S risks, OH&S opportunities and other risks and other opportunities for the management
system.
ISO/IEC Directives, Part 1. Note 5 to entry has been added to clarify the term “risks and
opportunities” for its use within this document.
Occupational health and safety risk
OH&S risk :combination of the likelihood of occurrence of a work-related hazardous event(s) or
exposure(s) and the severity of injury and ill health (3.18) that can be caused by the event(s) or
exposure(s)
Occupational health and safety opportunity

OH&S opportunity :circumstance or set of circumstances that can lead to improvement of
OH&S performance
Competence :ability to apply knowledge and skills to achieve intended results
Documented information: information required to be controlled and maintained by an

organization and the medium on which it is contained
Note 1 to entry: Documented information can be in any format and media, and from any source.
Note 2 to entry: Documented information can refer to:
a) the management system, including related processes ;
b) information created in order for the organization to operate (documentation);
c) evidence of results achieved (records).
Process :
set of interrelated or interacting activities which transforms inputs into outputs

Procedure
specified way to carry out an activity or a process

Note 1 to entry: Procedures may be documented or not.
[SOURCE: ISO 9000:2015, 3.4.5, modified — Note 1 to entry has been modified.]
Performance: measurable result
Note 1 to entry: Performance can relate either to quantitative or qualitative findings. Results can
be determined and evaluated by qualitative or quantitative methods.
Note 2 to entry: Performance can relate to the management of activities, processes, products
(including services), systems or organizations.
ISO/IEC Directives, Part 1. Note 1 to entry has been modified to clarify the types of methods
that may be used for determining and evaluating results.
Occupational health and safety performance
OH&S performance: performance related to the effectiveness of the prevention of injury and ill
health to workers and the provision of safe and healthy workplaces
Outsource, verb
make an arrangement where an external organization performs part of an organization’s
function or process
Note 1 to entry: An external organization is outside the scope of the management system,
although the outsourced function or process is within the scope.
Monitoring: determining the status of a system, a process or an activity
Note 1 to entry: To determine the status, there may be a need to check, supervise or critically
observe.
Note 2 to entry: This constitutes one of the common terms and core definitions for
ISO management system standards given in Annex SL of the Consolidated ISO
Supplement to the ISO/IEC Directives, Part 1.
Measurement: process to determine a value

Audit: systematic, independent and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party
or third party), and it can be a combined audit (combining two or more disciplines).
Note 2 to entry: An internal audit is conducted by the organization itself, or by an external party
on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” are defined in ISO 19011.
Conformity
fulfillment of a requirement
Nonconformity
non-fulfillment of a requirement
Note 1 to entry: Nonconformity relates to requirements in this document and additional OH&S
management system requirements that an organization establishes for itself.
ISO/IEC Directives, Part 1. Note 1 to entry has been added to clarify the relationship of
nonconformities to the requirements of this document and to the organization’s own
requirements for its OH&S management system.
Incident: occurrence arising out of, or in the course of, work that could or does result in injury
and ill health
Note 1 to entry: An incident where injury and ill health occurs is sometimes referred to as an
“accident”.
Note 2 to entry: An incident where no injury and ill health occurs, but has the potential to do so,
may be referred to as a “near-miss”, “near-hit” or “close call”.
Note 3 to entry: Although there can be one or more nonconformities related to an incident, an
incident can also occur where there is no nonconformity.
Corrective action: action to eliminate the cause(s) of a nonconformity or an incident and to
prevent recurrence
Supplement to the ISO/IEC Directives, Part 1. The definition has been modified to
include reference to “incident”, as incidents are a key factor in occupational health
and safety, yet the activities needed for resolving them are the same as for
nonconformities, through corrective action.
Continual improvement: recurring activity to enhance performance
Note 1 to entry: Enhancing performance relates to the use of the OH&S management system in
order to achieve improvement in overall OH&S performance consistent with the OH&S policy
and OH&S objectives.
Note 2 to entry: Continual does not mean continuous, so the activity does not need to take place
in all areas simultaneously.
Supplement to the ISO/IEC Directives, Part 1. Note 1 to entry has been added to
clarify the meaning of “performance” in the context of an OH&S management
system; Note 2 to entry has been added to clarify the meaning of “continual”.
Along with this abbreviation used in the Organizations are listed as under
SR NO ABBREVIATION MEANING
1 LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY,
LW
CHARBAGH, LUCKNOW.
2 NR NORTHERN RAILWAY
3 CWM CHIEF WORKS MANAGER
4 DY. CME DEPUTY CHIEF MECHANICAL ENGINEER
5 SSE SENIOR SECTION ENGINEER
INTEGRATED MANAGEMENT SYSTEM consisting of ISO
6 IMS
9001: 2015, ISO 14001: 2015 & ISO 45001: 2018
7 CL CHECK LIST
8 SMT SENIOR MANAGEMENT TEAM
9 IQA INTERNAL QUALITY AUDIT
10 MRM MANAGEMENT REVIEW MEETING
11 HIRA HAZARD IDENTIFICATION AND RISK ANALYSIS
12 QMS QUALITY MANAGEMENT SYSTEM
13 EMS ENVIRONMENTAL MANAGEMENT SYSTEM
14 OH&S OCCUPATIONAL HEALTH & SAFETY
15 SOP STANDARD OPERATING PROCEDURE
16 CA CORRECTIVE ACTION
4.0 Context of the Organization/ 4.0 Context of the Organization/ 4.0

Context of the Organization
4.1 Understanding the Organization and its Context / 4.1 Understanding the Organization
and its Context/ 4.1Understanding the Organization and its Context
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined the external as
well as internal issues relevant to its purpose and strategic direction that effect its ability to
achieve the intended results of its Integrated Management System.
Due consideration is given on the issues that have both a direct influence on the effectiveness
of the environment management, and an impact on global environment and safe working
issues. It has also identified the issues that affect its ability to achieve the intended results of
its Integrated Management System. The organization has planned to review the information
periodically. Issues considered include both Positive and Negative factors. Internal and
External factors or Issues are listed and Context is understood how these affect the
organization. Organization has considered environmental and OH&S issues when developing
and implementing its business strategy.
The Organization has managed and implemented programs, procedures in order to mitigate
against pollution and harm to environment while keeping balance and managing both its risks
and opportunities.
4.2 Understanding the needs and expectations of interested parties/

4.2 Understanding the needs and expectations of interested parties/
4.2 Understanding the needs and expectations of Workers and other interested
parties
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined in [CONTEXT

OF ORGANIZATION] the interested parties that are relevant to the Quality, Environmental and
OH&S Management System, The requirements of these interested parties, and which of these
needs and expectations have become compliance obligations.
4.3 Determining the scope of the Quality Management System /4.3 Determining the
scope of the Environmental Management System /4.3 Determining the scope of the OH&S
Management System
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined the boundaries
and applicability of Integrated Management System (QMS, EMS, OH&S) to establish its scope.
While determining its scope, Locomotive Workshop, has considered:
The external and internal issues referred to in 4.1 of IMS.
The requirements of relevant interested parties and compliance obligations referred to in 4.2 of
IMS.
The products and services of the Organization
Its Organizational units, functions and physical boundaries
Its activities, products and services
Its authority and ability to exercise control and influence.
The scope has been maintained as a documented information and has been made available to
all interested parties of this IMS.
Facilities within the Scope
While determining the scope, the organization has considered the external and internal issues,
their requirements, Functions carried and Physical boundaries and the products and services of
the organizations. Scope has been established considering, it’s location at Coaching Depot,
Gondia.
The Integrated Management system applies to all processes, activities, and employees of the
following locations within the Workshop. The workshop and office is located at:
Locomotive Workshop
Northern Railway, Charbagh, Lucknow – 226 005
Permissible Exclusions
The following clauses of ISO 9001 were determined to be not applicable to Locomotive
Workshop, Northern Railway, Charbagh, Lucknow.
The clauses are listed for exclusions and rationale for each as under.
Clause No Clause Description Justification for Exclusion

Locomotive Workshop, Northern Railway, Charbagh,
7.3 Design and/or
Lucknow is only involved in manufacturing as per the
Development, including
Designs approved by DLW,RDSO, RCF, ICF & Other
Railways.
all subsections
Locomotive Workshop, Northern Railway, Charbagh,
8.5.5 Post-Delivery Activities Lucknow. does not conduct any “post-delivery activities”:
Scope of the Locomotive Workshop, Northern Railway, Charbagh, Lucknow.
This manual is prepared for defining the Workshop’s interpretations of the ISO 9001:2015;
ISO14001:2015 and ISO 45001: 2018international standard, as well as to demonstrate how the
Workshop complies with that standard. The scope has been maintained as documented
information by organization
This manual presents “Notes” which are used to define how Locomotive Workshop, Northern
Railway, Charbagh, Lucknow., has tailored its management system to suit its purposes. These
are intended to clarify implementation approaches and interpretations for concepts, which are
not otherwise clearly defined in ISO 9001:2015.
Where subordinate or supporting documentation is reference in this manual, these are indicated
by bold
4.4 Quality Management System and its processes/ 4.4 Environmental Management
System / 4.4 OH&S Management System
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has established, implemented,

maintained and is continually improving Integrated Management System by identifying the
Processes needed and interactions between them.
4.4.1 / … / …Process Identification

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has adopted a process
approach for its management system. By identifying the top-level processes within the
Workshop, and then managing each of these discretely, this reduces the potential for
nonconforming Products / Services, discovered during final processes or after delivery. Instead,
nonconformities and risks are identified in real time, by actions taken within each of the top-level
processes.
The following top-level processes have been identified for Locomotive Workshop, Northern
Railway, Charbagh, Lucknow.
 Upkeep of Equipments and Facilities
 Administration and Training
 POH of DEMU, Diesel & Electrical
 Quality Control
 Communication
Each process may be supported by other activities, such as tasks or sub-processes. Monitoring
and control of top-level processes ensures effective implementation and control of all
subordinate tasks or sub-processes.
Each top-level process has a procedure document, which defines:
 applicable inputs and outputs
 process owner(s)
 applicable responsibilities and authorities
 applicable risks and opportunities
 critical and supporting resources
 criteria and methods employed to ensure the effectiveness of the process
 quality objectives related to that process
 improvements planned
The sequence of interaction of these processes is illustrated in Appendix A.
Outsourced Processes
Any process performed by a third party is considered an “outsourced process” and is controlled,
as well.
The Workshop’s outsourced processes, and the control methods implemented for each, are
defined in [Outsourced Processes].
The type and extent of control to be applied to the outsourced process take into consideration:
a) the potential impact of the outsourced process on the Workshop’s capability to provide
product that conforms to requirements,
b) the degree to which the control for the process is shared,
c) the capability of achieving the necessary control through the purchasing contract
requirements.
4.4.2/ … / … Documented Information (Documentation & Records)
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. is maintaining the documented

information in form of Documents and records to support the operations and processes and to
have confidence that the processes are being carried out as planned. Also it has established the
location, Ownership and retention period for the documented information.
5.0 Leadership/5.0 Leadership/ 5.0 Leadership and Worker

participation
5.1 ( 5.1.1) Leadership and Commitment/ 5.1 Leadership and Commitment/ 5.1
Leadership and Commitment
Top Management of Locomotive Workshop, Northern Railway, Charbagh, Lucknow. provides
evidence of its leadership and commitment to the development and implementation of the
Integrated Management system and continually improving its effectiveness by:
a) taking accountability of the effectiveness of the Integrated Management System and for
prevention of work-related injury and ill health as well as the provision of safe and
healthy work places and activities.
b) ensuring that the Policy and Objectives are established for the Integrated management
system and are compatible with the strategic direction and the context of the
organization;
c) ensuring the integration of the integrated management system requirements into the
organization’s other business processes, as deemed appropriate;
d) ensuring that the IMS policy is communicated, understood and applied within the
organization;
e) promoting awareness and use of the process approach and risk based thinking;
f) ensuring that the resources needed for the Integrated management system are
available;
g) communicating the importance of effective quality, environmental and health and safety
management and of conforming to the Integrated management system requirements;
h) ensuring that the management system achieves its intended results;
i) engaging, directing and supporting persons to contribute to the effectiveness of the
Integrated management system;
j) promoting continual improvement;
k) Supporting other relevant management roles to demonstrate their leadership as it
applies to their areas of responsibility.
l) Developing, leading and promoting a culture in the organization that supports the
intended outcomes of the IMS.
m) Protecting workers from reprisals when reporting incidents, hazards, risks and
opportunities.
n) Ensuring the organization establishing and implements a process (es) for consultation
and participation of workers.
o) Supporting the establishment and functioning of health and safety committees as per
Railway Guidelines.
5.1.2 Customer Focus/…/…
Management of Locomotive Workshop, Northern Railway, Charbagh, Lucknow. adopts a

customer-first approach, which ensures that customer needs and expectations are determined,
converted into requirements and are met with the aim of enhancing customer satisfaction.
This is accomplished by assuring:
a) customer and applicable statutory and regulatory requirements are determined,
understood and consistently met;
b) the risks and opportunities that can affect conformity of products and services and the
ability to enhance customer satisfaction are determined and addressed;
c) the focus on enhancing customer satisfaction is maintained.
5.2 (5.2.1)Policy/5.2 Environmental Policy/5.2 OH & S Policy
Management has developed, implemented and is maintaining the IMS Policy within the defined
scope that governs day-to-day operations.
While establishing the IMS Policy, Management has ensured, that the IMS Policy
 is appropriate to the purpose and context of organization and supporting the strategic
directions including the nature, scale and environmental impacts of its activities,
products and services.
 includes a commitment to the protection of the environment, including prevention of
pollution and
 other specific commitment(s) relevant to the context of the organization includes a
commitment to provide safe and healthy working conditions for the prevention of work-
related injury and ill health and is appropriate to the purpose, size and context of the
organization and to the specific nature of its OH&S risks and OH&S opportunities.
 Helps in providing a framework for setting IMS Objectives
 Includes a commitment to satisfy applicable legal, Quality, environmental and
occupational health and safety requirements.
 includes a commitment to eliminate hazards and reduce OH&S risks
 includes a commitment for continual improvement of Integrated Management System
 includes a commitment to consultation and participation of workers, and, where they
exist, workers’ representatives.
5.2.2 Communicating the Policy/ 5.2 Environmental Policy/ 5.2 OH & S Policy
The Policy is released as a standalone document as well, and is communicated and
implemented throughout the organization. The policy is made available to the interested parties
as appropriate (Internal / External)
5.3 Organizational Roles Responsibilities &Authorities/ 5.3 Organizational Roles

Responsibilities &Authorities/ 5.3 Organizational Roles, Responsibilities & Authorities
Management has assigned responsibilities and authorities for all relevant roles in the Workshop.
These are documented and communicated through the combination of the Org Chart as per
Position Description. Workers at each level of the organization assume responsibility for those
aspects of the OH&S management system over which they have control.
The Management accepts responsibility and authority for:
a) ensuring that the Integrated management system conforms to applicable standards;
b) ensuring that the processes are delivering their intended outputs;
c) reporting on the performance and opportunities for improvement of the Integrated
management system to the Top management;
d) providing opportunities for improvement for the management system;
e) ensuring the promotion of customer focus throughout the organization;
f) ensuring that the integrity of the management system is maintained when changes to the
IMS are planned and implemented.
…. / ….. / 5.4 Consultation and participation of workers
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has established, implemented

and maintained a process(es) for consultation and participation of workers at all applicable
levels and functions, and, where they exist, workers’ representatives, in the development,
planning, implementation, performance evaluation and actions for improvement of the OH&S
management system.
The organization has:
a) provided mechanisms, time, training and resources necessary for consultation and
participation;
NOTE 1 Worker representation is a mechanism for consultation and participation.
b) provided timely access to clear, understandable and relevant information about the OH&S
management system;
c) determined and remove obstacles or barriers to participation and minimize those that cannot
be removed;
NOTE 2 Obstacles and barriers includes failure to respond to worker inputs or suggestions,
language or literacy barriers, reprisals or threats of reprisals and policies or practices that
discourage or penalize worker participation.
d) emphasized the consultation of non-managerial workers on the following:
1) determining the needs and expectations of interested parties.
2) establishing the OH&S policy.
3) assigning organizational roles, responsibilities and authorities, as applicable.
4) determining how to fulfil legal requirements and other requirements.
5) establishing OH&S objectives and planning to achieve them.
6) determining applicable controls for outsourcing, procurement and contractors.
7) determining what needs to be monitored, measured and evaluated.
8) planning, establishing, implementing and maintaining an audit program(s).
9) ensuring continual improvement.
e) emphasized the participation of non-managerial workers in the following:
1) determining the mechanisms for their consultation and participation.
2) identifying hazards and assessing risks and opportunities.
3) determining actions to eliminate hazards and reduce OH&S risks.
4) determining competence requirements, training needs, training and evaluating training.
5) determining what needs to be communicated and how this will be done.
6) determining control measures and their effective implementation and use.
7) investigating incidents and nonconformities and determining corrective actions.
NOTE 3 Emphasizing the consultation and participation of non-managerial workers is intended
to apply to persons carrying out the work activities, but is not intended to exclude, for example,
managers who are impacted by work activities or other factors in the organization.
NOTE 4 It is recognized that the provision of training at no cost to workers and the provision of
training during working hours, where possible, can remove significant barriers to worker
participation.
6.0 Planning/6.0 Planning/ 6.0Planning

6.1 Actions to address risks and Opportunities / 6.1 Actions to address risks and
Opportunities / 6.1 Actions to address risks and Opportunities
6.1.1/ 6.1.1 General/ 6.1.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. considers potential emergency

situations, risks and opportunities, environmental aspects, hazard identification, compliance
obligations when planning for theIntegrated management system.
While implementing or improving the Integrated management system; likewise, these are
considered relative to products and services and addressed to give assurance that IMS can
achieve intended results, enhance desirable effects and achieve continual improvement.
Risks and opportunities are managed in accordance with the document [Risk Management
Proc.].
Here Locomotive Workshop, Northern Railway, Charbagh, Lucknow. deviates slightly from the
approach towards risk and opportunity presented in ISO. Instead, Locomotive Workshop,
Northern Railway, Charbagh, Lucknow. views “uncertainty” as neutral, but defines “risk” as a
negative effect of uncertainty, and “opportunity” as a positive effect of uncertainty. Locomotive
Workshop, Northern Railway, Charbagh, Lucknow. has elected to manage risks and
opportunities separately, except where they may overlap. Formal risk management may not be
utilized in all instances; instead, the level of risk assessment, analysis, treatment and
recordkeeping will be performed to the level deemed appropriate for each circumstance or
application. Hazards is also accounted while determined Risks and Opportunities.
6.1.2/ … / …..
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has planed:

a) actions to address these risks and opportunities;
b) how to:
1) integrate and implement the actions into its quality management system processes
2) evaluate the effectiveness of these actions.
Actions taken to address risks and opportunities shall be proportionate to the potential impact
on the conformity of products and services.
NOTE 1 Options to address risks includes avoiding risk, taking risk in order to pursue an
opportunity, eliminating the risk source, changing the likelihood or consequences, sharing the
risk, or retaining risk by informed decision.
NOTE 2 Opportunities can lead to the adoption of new practices, launching new products,
opening new markets, addressing new customers, building partnerships, using new technology
and other desirable and viable possibilities to address the organization’s or its customers’
needs.
… / 6.1.2 Environmental Aspects / ….

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined the
environmental aspect of its activities, products and services that it can control and that it can
influence and associated impacts considering life cycle perspective.
The organization has taken into account

a) change, including planned development, and new or modified activities, products and
services.
b) Abnormal conditions and foreseeable emergency situations and has identified significant
criteria.
These are communicated within the organization as appropriate.
The documented information of its environmental aspects and associated environmental
impacts, criteria used to determine its significant environmental aspects and the identified
significant environmental aspects is maintained and reviewed periodically for effectiveness
The organization has communicated its significant environmental aspects among the various
levels
and functions of the organization, as appropriate.
The organization has maintained documented information of its:

— environmental aspects and associated environmental impacts;
— criteria used to determine its significant environmental aspects;
— significant environmental aspects.
NOTE:- Significant environmental aspects can result in risks and opportunities associated with
either adverse environmental impacts (threats) or beneficial environmental impacts
(opportunities).
… / …. / 6.1.2.1 Hazard identification

and maintained a process(es) for hazard identification that is ongoing and proactive as per
HIRA Document. The process(es) take into account, but not be limited to:
a) how work is organized, social factors (including workload, work hours, victimization,
harassment and bullying), leadership and the culture in the organization;
b) routine and non-routine activities and situations, including hazards arising from:
1) infrastructure, equipment, materials, substances and the physical conditions of the
workplace;
2) product and service design, research, development, testing, production, assembly,
construction, service delivery, maintenance and disposal;
3) human factors;
4) how the work is performed;
c) past relevant incidents, internal or external to the organization, including emergencies, and
their causes;
d) potential emergency situations;
e) people, including consideration of:
1) those with access to the workplace and their activities, including workers, contractors,
visitors and other persons;
2) those in the vicinity of the workplace who can be affected by the activities of the
organization;
3) workers at a location not under the direct control of the organization;
f) other issues, including consideration of:
1) the design of work areas, processes, installations, machinery/equipment, operating
procedures and work organization, including their adaptation to the needs and
capabilities of the workers involved;
2) situations occurring in the vicinity of the workplace caused by work-related activities
under the control of the organization;
3) situations not controlled by the organization and occurring in the vicinity of the workplace
that can cause injury and ill health to persons in the workplace;
g) actual or proposed changes in organization, operations, processes, activities and the OH&S
management system.
h) changes in knowledge of, and information about, hazards.
… / … / 6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management
system
and maintained a process(es) to:
a) assess OH&S risks from the identified hazards, while taking into account the effectiveness of
existing controls;
b) determine and assess the other risks related to the establishment, implementation, operation
and maintenance of the OH&S management system.
The organization’s methodology(ies) and criteria for the assessment of OH&S risks has been
defined with respect to their scope, nature and timing to ensure they are proactive rather than
reactive and are used in a systematic way.
Documented information has been maintained and retained on the methodology(ies) and criteria
in HIRA Document.
… / … / 6.1.2.3 Assessment of OH&S opportunities and other opportunities for the OH&S
management system

and maintained a process(es) to assess:
a) OH&S opportunities to enhance OH&S performance, while taking into account planned
changes to the organization, its policies, its processes or its activities and:
1) opportunities to adapt work, work organization and work environment to workers;
2) opportunities to eliminate hazards and reduce OH&S risks;
b) other opportunities for improving the OH&S management system.
NOTE OH&S risks and OH&S opportunities can result in other risks and other opportunities for
the organization.
…. / 6.1.3 Compliance Obligations/ 6.1.3 Determination of Legal requirements and other

requirements

and maintained a process(es) to:
a) determine and have access to the compliance obligations related to its environmental
aspects and to up-to-date legal requirements and other requirements that are applicable to its
hazards, OH&S risks and OH&S management system
b) determine how these compliance obligations apply to the organization and to determine how
these legal requirements and other requirements apply to the organization and what needs to
be communicated;
c) take these compliance obligations/ legal requirements into account when establishing,
implementing, maintaining and continually improving its environmental and OH &S
management system.
The organization maintains documented information of its compliance obligations.
NOTE Compliance obligations can result in risks and opportunities to the organization.
… / 6.1.4 Planning Action / 6.1.4 Planning Action
Locomotive Workshop, Northern Railway, Charbagh, Lucknow.has planed :
a) to take actions to address its:
1) significant environmental aspects;

2) compliance obligations
3) address these risks and opportunities
4) address legal requirements and other requirements
5) prepare for and respond to emergency situations
b) how to:
1) integrate and implement the actions into its environmental and OH&S management system
processes or other business processes;
2) evaluate the effectiveness of these actions
When planning these actions, the organization has considered its technological options and its
financial, operational and business requirements.
The organization has taken into account the hierarchy of controls and outputs from the OH&S
management system when planning to take action.
6.2 Quality Objectives and Planning to achieve them/ 6.2 Environmental Objectives and
Planning to achieve them/ 6.2 OH&S objectives and planning to achieve them
The organization has established the quality objectives at relevant functions, processes
6.2 Quality Objectives and Planning to achieve them/ … / ….
Each process has at least one objective established for it; this is a statement of the intent of the
process. The objectives set are ensured to be in line with quality policy, applicable
requirements, relevant to product/ service conformity and enhancement of customer
satisfaction. Each objective is then supported by at least one “metric” or key performance
indicator (KPI) which is then measured to determine the process’ ability to meet the quality
objective.
Note: some processes have multiple objectives and multiple metrics. This is determined by the nature of the process,
it’s impact on [Products or Services ], and associated risks.
Throughout the year, metrics data is measured and gathered by process owners or other
assigned managers, in order to present the data to Management. The data is then analyzed by
Senior Management Team in order that Management may set goals and make adjustments for
the purposes of long-term continual improvement.
Metrics, along with current standings and goals for each objective, are recorded in records of
management review.
When a process does not meet a goal, or an unexpected problem is encountered with a
process, the corrective and preventive action process is implemented to research and resolve
the issue. In addition, opportunities for improvement are sought and implemented, for the
identified processes.
The specific quality objectives for each process are defined in the applicable Procedures.
… / 6.2.1 Environmental objectives / ……
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has established the objectives
at relevant functions and levels taking into account Significant aspects, compliance obligations
and considering risks and opportunities.
The organization has maintained the documented information of environmental objectives taking
into consideration that the objectives are
 Consistent with environmental policy
 Measurable
 Monitored
 Communicated
 Updated as appropriate
Planning actions to achieve environmental objectives: To achieve the environmental
objectives the organization has integrated the actions in business process by determining
 What will be done
 What resources are required
 Who is responsible
 Target time to complete
 How the results to be evaluated including indicators for monitoring the progress towards
achievement.
….. / ….. / 6.2.1 OH&S objectives

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has, implemented and main
established and maintained OH & S objectives within the organization. While establishing
objectives and program organization considers all legal and compliance obligations.
Management has established responsibility and time frame for the objectives and review the
progress
……/ 6.2.2 Planning actions to achieve environmental objectives / 6.2.2 Planning actions
to achieve OH&S objectives
When planning how to achieve its environmental objectives, the organization shall determine:
a) what will be done;
b) what resources will be required;
c) who will be responsible;
d) when it will be completed;
e) how the results will be evaluated, including indicators for monitoring progress toward
achievement
of its measurable environmental objectives.
f) how the results will be evaluated, including indicators for monitoring OH&S
g) how the actions to achieve OH&S objectives will be integrated into the organization’s business
processes.
‍ he organization shall consider how actions to achieve its environmental and OH&S objectives can
T
be integrated into the organization’s business processes.
6.3 Planning of Changes/ ….. / …..

When Locomotive Workshop, Northern Railway, Charbagh, Lucknow. determines the need for
changes to the management system or its processes, these changes planned, implemented,
and then verified for effectiveness, Potential consequences, availability of resources, integrity
with QMS and proper allocation of responsibilities; see the document [Change Mgmt. Doc].
Documents are changed in accordance with procedure [Control of Documents Proc.].
7.0 Support/ 7.0 Support/ 7.0 Support
7.1 Resources/ 7.1 Resources/7.1 Resources
7.1.1 General/ 7.1 Resources/ 7.1 Resource

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. determines and provides the
resources needed:
a) to implement and maintain the management system and continually improve its
effectiveness
b) to enhance customer satisfaction by meeting customer requirements
Resource allocation is done with consideration of the capability and constraints on existing
internal resources, as well as needs related to supplier expectations.
Resources and resource allocation are assessed during management reviews.
7.1.2 People/ ……/ …..

The organization has determined and provided persons necessary for effective implementation
of its quality management system and operations and control of the processes. Staff members
performing work affecting product quality are competent on the basis of appropriate education,
training, skills and experience. The documented procedure [Training Proc.] defines these
activities in detail.
Training and subsequent communication ensure that staff are aware of:
a) the quality policy;
b) relevant quality objectives;
c) their contribution to the effectiveness of the management system, including the benefits
of improved performance;
d) the implications of not conforming with the management system requirements.
7.1.3 Infrastructure/ ….. / …….
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. The organization has

determined provided and is maintaining the infrastructure necessary for operation of its
identified processes and conformity of products and services. Infrastructure considered includes
 Buildings and associated utilities
 Equipment including hardware and software
 Transportation resources
 Information and communication technology

Equipment is maintained per the procedure [Preventive Maintenance Proc.].
7.1.4 Environment for the operation of processes/ ……. / …….

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. provides a clean, safe and well-
lit working environment. The Senior Management Team Name of Locomotive Workshop,
Northern Railway, Charbagh, Lucknow. manages the work environment needed to achieve
conformity to product requirements. Specific environmental requirements for products are
determined during quality planning and are documented in subordinate procedures, work
instructions, or job documentation. Where special work environments have been implemented,
these shall also be maintained per 6.3 above.
Human factors are considered to the extent that they directly impact on the quality of [Products/
Services]. The environment considered is a combination of human and physical factors
depending on the products and services provided like
Social (nondiscriminatory, calm, non-confrontational)
Psychological (stress reducing, burnout prevention, emotionally proactive)
Physical (temperature, heat, humidity, light, airflow, noise)
7.1.5 Monitoring and Measuring Resources/ ……. / ……..
7.1.5.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined and provided
the resources needed to ensure valid and reliable results when monitoring and measuring is
used to verify the conformity of products and services to requirements. The organization has
ensured that resources provided are
 Suitable for specific type activities being undertaken
 Maintained to ensure continuing fitness for their purpose
Organization retains appropriate documented information (records) as evidence of fitness for

resources required for monitoring.
7.1.5.2 Measurement Traceability
To provide confidence in the validity of measurement results measuring Equipments

identified are
Calibrated and or verified at specified intervals or prior to use against measurement standards
traceable to national/ international standards. In case no standards are available procedure is
set and record are maintained
 The Equipments are given ID to determine their status
 Safeguarded from adjustments, damage, deterioration to maintain calibration status and

results
The Organization has determined action to be taken for previous measurement results, when
measuring equipment is found unfit for intended purpose
Organization has maintained and implemented a documented procedure [Calibration Proc: ]

7.1.6 Organizational Knowledge / …… / …….
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined the knowledge
necessary for operation of its processes and conformity of products / services. Organization
maintains and makes available to
extent necessary and whenever necessary tries to acquire or access necessary additional
knowledge and required updates
Organizational knowledge considered shared to achieve organization’s objectives. It is

categorized in Internal and External sources
Internal Sources considered being – intellectual property, knowledge gained by experience,

lessons learned from failures/ successful projects, knowledge and experience sharing, results of
improvements in processes, products and services.
External Sources considered being- Standards, academia, conferences, gathering knowledge

from customers or external providers
When addressing changing needs and trends, Locomotive Workshop, Northern Railway,
Charbagh, Lucknow. shall consider its current knowledge and determine how to acquire or
access the necessary additional knowledge
7.2 Competence/ 7.2 Competence/ 7.2 Competence

The organization has determined the necessary competence of person(s) doing work under its
control that affects the performance and effectiveness of the IMS and compliance obligations.
The competence is decided on the basis of appropriate education, training and experience and
where applicable actions
are taken to acquire the necessary competence through training or hiring of competent persons
and effectiveness is evaluated.
The documented procedure for Training has been maintained and records of competence, and
records of hiring, training and effectiveness.
7.3 Awareness/ 7.3 Awareness / 7.3 Awareness
The Organization ensures that the persons working are aware of
 Quality, Environmental and OH&S Policy
 Relevant Quality Objectives, Significant environmental Aspects and related impacts,

Hazards and Significant risks associated with the work
 Their contribution to the effectiveness of IMS and benefits of improved performance
 Implication of non-conformance with IMS and consequences of departing from the

specified procedures
7.4 Communication/ 7.4 Communication/ 7.4 Communication
The organization has determined the Internal and External communication relevant to IMS
The document includes what to communicate, when, with whom, how and who will
communicate
…… / 7.4.2 Internal Communication/ 7.4.2 Internal Communication

Senior Management Team of Locomotive Workshop, Northern Railway, Charbagh, Lucknow.
ensures internal communication takes place regarding the effectiveness of the management
system.
Internal communication methods include,
a) use of corrective and preventive action processes to report nonconformities or
suggestions for improvement
b) use of the results of analysis of data, Internal reporting covering Incident reporting,
Health and Safety performance, Hazard identification reporting
c) meetings (periodic, scheduled and/or unscheduled) to discuss aspects of the QMS
d) use of the results of the internal audit process
e) regular Workshop meetings with all employees
f) internal emails, Notice Boards, Circulars, Slogan Competition
g) memos to employees
h) Management’s “open door” policy which allows any employee access to Management
for discussions on improving the quality system
……. / 7.4.3External communication / 7.4.3 External communication
These include.
a) use of corrective and preventive action processes or changes in process planned to
report customer complaints or suggestions for improvement
b) use of the results of analysis of data
c) meetings (periodic, scheduled and/or unscheduled) to discuss aspects of the Customer
requirements
d) Mails or letters for communicating with clients, Compliance Obligations of Statutory
bodies, Stakeholder reporting
7.5 Documented Information/ 7.5 Documented Information/ 7.5
Documented Information
7.5.1 General / 7.5.1 General / 7.5.1 General
The management system documentation includes both documents and records.

ISO 9001:2015, ISO 14001:2015& ISO 45001 : 2018 standard use the term “documented
information”; Locomotive Workshop, Northern Railway, Charbagh, Lucknow. does not use this
term, but instead relies on the terms “document” and “record” to avoid confusion. In this context,
the terms are defined by Locomotive Workshop, Northern Railway, Charbagh, Lucknow. as:
 Document – written information used to describe how an activity is done.
 Record – captured evidence of an activity having been done.
Documents and records undergo different controls as defined herein. The documented
information is available as necessary for the effectiveness of Integrated Management System.
The extent of the management system documentation has been developed based on the
following:
a) The size of Locomotive Workshop, Northern Railway, Charbagh, Lucknow.
b) Complexity and interaction of the processes
c) Risks and opportunities
d) Competence of personnel
7.5.2 Creating and Updating / 7.5.2 Creating and Updating / 7.5.2Creating and Updating
The organization has maintained procedure for

 identification and description by allotting title, date, author and reference number
 formats are designed for entering data to ensure conformity to processes
 the documents and record formats are periodically reviewed and approved for suitability
and adequacy.
7.5.3 Control of Documented Information / 7.5.3 Control of Documented Information /
7.5.3 Control of Documented Information
7.5.3.1 The organization ensures that the documents and records are available and suitable for
use wherever needed and are adequately protected from loss, confidentiality, improper
use and loss of integrity
7.5.3.2 To control the documented information (documents and records) following activities are
established like
 Distribution, accesses, retrieval and use
 Storage, preservation and legibility
 Control of changes
 Retention and disposition
Documents of external origin and necessary for planning or operation are identified and
controlled
7.5.3.2.1 Control of Documents / …… / ……..

Documents required for the management system are controlled in accordance with procedure
[Control of Documents Proc.]. The purpose of document control is to ensure that staff has
access to the latest, approved information, and to restrict the use of obsolete information.
All documented procedures are established, documented, implemented and maintained.
7.5.3.2.2 Control of Records / ….. / …….

A documented procedure [Control of Records Proc.] has been established to define the
controls needed for the identification, storage, retrieval, protection, retention time, and
disposition of quality records. This procedure also defines the methods for controlling records
that are created by and/or retained by suppliers.
These controls are applicable to those records, which provide evidence of conformance to
requirements; this may be evidence of [Product or Service Sing.]requirements, contractual
requirements, procedural requirements, or statutory/regulatory compliance. In addition, quality
records include any records, which provide evidence of the effective operation of the
management system.
8.0 Operation/ 8.0 Operation/ 8.0 Operation
8.1 Operational Planning and Control/ 8.1 Operational Planning and Control/ 8.1
Operational Planning and Control
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. plans and develops the
processes needed for product realization Addressed risks opportunities and objectives.
Planning of product realization is consistent with the requirements of the other processes
of the management system. Such planning considers the information related to the
context of the organization, current resources and capabilities, as well as product and
service requirements. Organization exerts Control of processes according to criteria and
maintains documented information to have confidence that processes are carried out as
planned and to demonstrate the conformity of products and services to their
requirements
Consistent with life cycle perspective the organization has established controls to ensure that its
environmental requirements and safety processes, Information about potential significant
environmental impacts, associated with transportation, storage, end of life treatment and final
disposal, controls related to contractors & visitors to work place movement and operations,
Identified Hazards and associated risks,
Changes to operational processes are done in accordance with the document [Change Mgmt.
Doc]. Review of consequences of unintended changes and action to mitigate any adverse
effects
Organization has listed and ensures that outsourced processes are controlled.
….. / ….. / 8.1.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has planned, implemented,
controlled and maintained the processes needed to meet requirements of the OH&S
management system, and to implement the actions determined in Clause 6, by:
a) establishing criteria for the processes;
b) implementing control of the processes in accordance with the criteria;
c) maintaining and retaining documented information to the extent necessary to have
confidence that the processes have been carried out as planned;
d) adapting work to workers.
At multi-employer workplaces, the organization shall coordinate the relevant parts of the OH&S
management system with the other organizations.
….. / …… / 8.1.2 Eliminating hazards and reducing OH&S risks
and maintained a process(es) for the elimination of hazards and reduction of OH&S risks using
the following hierarchy of controls:
a) eliminate the hazard;
b) substitute with less hazardous processes, operations, materials or equipment;
c) use engineering controls and reorganization of work;
d) use administrative controls, including training;
e) use adequate personal protective equipment.
……/ ……./8.1.3 Management of change

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has established a process(es)
for the implementation and control of planned temporary and permanent changes that impact
OH&S performance, including:
a) new products, services and processes, or changes to existing products, services and
processes, including:
— workplace locations and surroundings;
— work organization;
— working conditions;
— equipment;
— work force;
b) changes to legal requirements and other requirements;
c) changes in knowledge or information about hazards and OH&S risks;
d) developments in knowledge and technology.
The organization reviews the consequences of unintended changes, taking action to mitigate
any adverse effects, as necessary.
Changes results in risks and opportunities.
……../ ……… / 8.1.4 Procurement
8.1.4.1 General
and maintained a process(es) to control the procurement of products and services in order to
ensure their conformity to its OH&S management system.
8.1.4.2 Contractors
Locomotive Workshop, Northern Railway, Charbagh, Lucknow.has coordinated its procurement
process(es) with its contractors, in order to identify hazards and to assess and control the
OH&S risks arising from:
a) the contractors’ activities and operations that impact the organization;
b) the organization’s activities and operations that impact the contractors’ workers;
c) the contractors’ activities and operations that impact other interested parties in the workplace.
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has ensured that the
requirements of its OH&S management system are met by contractors and their workers. The
organization’s procurement process(es) shall define and apply occupational health and safety
criteria for the selection of contractors.
It include the occupational health and safety criteria for the selection of contractors in the
contractual documents.
8.1.4.3 Outsourcing
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has ensured that outsourced
functions and processes are controlled. The organization ensures that its outsourcing
arrangements are consistent with legal requirements and other requirements and with achieving
the intended outcomes of the OH&S management system. The type and degree of control to be
applied to these functions and processes shall be defined within the OH&S management
system.
Coordination with external providers assists the organization to address any impact that
outsourcing has on its OH&S performance.
8.2 Requirements for products and services/ 8.2 Emergency Preparedness and
Response/ 8.2 Emergency Preparedness and Response
8.2.1 Customer communication / … / …..
The communication to customer includes

 Providing information relating to product and services
 Handling enquiries, contracts or orders including changes
 Obtaining customer feedback including customer complaints
 Handling or controlling customer property
 Establishing requirements for contingency actions when relevant
8.2.2 Determining the requirements for Products and Services / …… /……
While determining the requirements for products and services to be offered organization
ensures that
 The requirements are defined including any applicable statutory and regulatory
requirements and those considered necessary by the organization
 The organization shall be able to meet claims for products and services it offers
8.2.3 Review of the Requirements for Products and Services/ ……/ ………
8.2.3.1 Capture of Customer Requirements

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. shall ensure that it has ability to
meet requirements for products and services to be offered. During the intake of new business or
committing to supply products and services to customers, Locomotive Workshop, Northern
Railway, Charbagh, Lucknow. captures:
a) requirements specified by the customer, including the requirements for delivery and
post-delivery activities;
b) requirements not stated by the customer but necessary for specified or intended use,
where known
c) Requirements specified by the Client.
d) statutory and regulatory requirements related to the product;
e) contract or order requirements differing from previously defined are resolved
If documented statement of requirements is not provided by customer, the organization confirms
requirements before acceptance either by mail or orally.
8.2.3.2 The organization retains documented information of results of review, or any new
requirement for the product and service
These activities are defined in greater detail in the procedure.
8.2.4 Changes to requirements for products and services/ …… / …….

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. ensures that relevant
documented information is amended and relevant persons are made aware of the changed
requirements in case the requirements are changed.
…… / 8.2 Emergency preparedness and response / …….

Locomotive Workshop, Northern Railway, Charbagh, Lucknow.has established, implemented
and maintained the Emergency Preparedness process, needed to prepare for and response to
potential emergencies identified in (6.1)
The organization has planned
 Actions to prevent or mitigate adverse environmental impacts from emergency situations
 To respond to actual emergency situations
 To take action to prevent or mitigate the consequences of emergency situations
appropriate to the magnitude of emergency and potential impacts
 Has formed a committee to mitigate or prevent the occurrence of an accidents or
emergencies in consultation with Senior Management Team.
 To test planned response actions
 To periodically review and revise the process and planned actions after occurrences of
emergency situations
 To provide information and training related to emergency preparedness and response to
relevant interested parties
 To carry out mock drills for identified hazards
 Establishment of First aid facilities and rehabilitation of injured employees in accidents.
The organization has maintained documented information by Emergency Preparedness Plan
and records necessary to have confidence that processes are carried as planned.
…… / ……./ 8.2 Emergency preparedness and response
and maintained a process(es) needed to prepare for and respond to potential emergency
situations, as identified in 6.1.2.1, including:
a) establishing a planned response to emergency situations, including the provision of first aid;
b) providing training for the planned response;
c) periodically testing and exercising the planned response capability;
d) evaluating performance and, as necessary, revising the planned response, including after
testing and, in particular, after the occurrence of emergency situations;
e) communicating and providing relevant information to all workers on their duties and
responsibilities;
f) communicating relevant information to contractors, visitors, emergency response services,
government authorities and, as appropriate, the local community;
g) taking into account the needs and capabilities of all relevant interested parties and ensuring
their involvement, as appropriate, in the development of the planned response.
The organization has maintained and retained documented information on the process(es) and
on the plans for responding to potential emergency situations.
8.3 Design and Development of products and services / ……/ …….

8.3.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. Is not doing any Design &
Development of products and services , hence excluded.
8.4 Control of externally provided processes, products and services / ….. / …….
8.4.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. ensures that externally provided
[Process, Product or Services] conform to specified purchase requirements. The type and
extent of control applied to the supplier and the purchased product is dependent on the effect on
subsequent product realization or the final product.
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. evaluates and selects suppliers
based on their ability to supply product and service in accordance with the organization's
requirements. Criteria for selection, evaluation and re-evaluation are established.
Purchases are made either via the release of formal purchase orders and/or contracts which
clearly describe what is being purchased and /or by Petty cash. Received Products or Services
are then verified against requirements to ensure satisfaction of requirements. Suppliers who do
not provide conforming Products or Services may be requested to conduct formal corrective
action.
These activities are further defined in the documents [Purchasing Proc.]
8.4.2 Types and Extent of Control
The organization ensures that externally provided processes, products and services do not
adversely affect the organizations ability to consistently deliver conforming products and
services to customers
The Locomotive Workshop, Northern Railway, Charbagh, Lucknow. ensures

 That externally provided processes remain within the control of its Quality Management
System
 Defines controls that apply to external service provider and those apply to resulting
output
 Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has taken into
consideration a) Potential impact of externally provided sources on organization’s ability
to consistently meet customer and applicable statutory and regulatory requirements. b)
Effectiveness of the controls applied by the external provider.
 Has determined the methods of verification and other activities necessary to ensure that
externally provided process, products and services meet the requirements.
8.4.3 Information for External Provider
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. ensures adequate

communication of requirements to external provider for
 The process, products and services to be provided
 Approval of a) products and services, b) methods, process and requirements, c) the

release of products and service
 Competence including any required qualification of persons
 The external provider’s interactions with organization
 Control and monitoring of external provider’s performance
 Verification or validation activities that the organizations or its customer intends to

perform at external providers premises
8.5 Production and Service Provision /…/…
8.5.1 Control of Production and Service Provision
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has implemented production

and service provision under controlled conditions. To control its provision of Products or
Services, Locomotive Workshop, Northern Railway, Charbagh, Lucknow. considers, as
applicable, the following:
a) The availability of documents or records that define the characteristics of the Products or
Services as well as the results to be achieved;
b) The availability and use of suitable monitoring and measuring resources;
c) The implementation of monitoring and measurement activities at appropriate stages;
d) The use of suitable infrastructure and environment;
e) The appointment of competent persons, including any required qualifications;
f) The validation and periodic revalidation of the processes wherever required
g) The implementation of actions to prevent human error;
h) The implementation of release, delivery and post-delivery activities.
At this time, Locomotive Workshop, Northern Railway, Charbagh, Lucknow. does not utilize
any in-house “special processes” where the result of the process cannot be verified by
subsequent monitoring or measurement. Any such special processes are sent to outside
suppliers, and controlled and an outsourced process per [Outsourced Processes Doc].
8.5.2 Identification and Traceability

Where appropriate, Locomotive Workshop, Northern Railway, Charbagh, Lucknow .identifies its
Product or Service or other critical process outputs by suitable means. Such identification
includes the status of the Product or Service with respect to monitoring and measurement
requirements. Unless otherwise indicated as nonconforming, pending inspection or disposition,
or some other similar identifier, all Product or Service shall be considered conforming and
suitable for use.
The unique traceability required by contract, Locomotive Workshop, Northern Railway,
Charbagh, Lucknow. controls and records the unique identification of the Product or Service by
maintaining the Contract No and align other details with it till the assignment is complete.
The documented procedure [Identification & Traceability Proc.] defines these methods in
detail.
8.5.3 Property Belonging to Customers or External Providers

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. exercises care with customer or
supplier property while it is under the organization’s control or being used by the organization.
Upon receipt, such property is identified, verified, protected and safeguarded. If any such
property is lost, damaged or otherwise found to be unsuitable for use, this is reported to the
customer or supplier and records maintained.
For customer intellectual property, including customer furnished data and Infrastructure being
used for production and / or inspection, this is identified by customer and maintained and
preserved to prevent accidental loss, damage or inappropriate use.
This activity is defined in greater detail in the document [Customer Property Proc.].
8.5.4 Preservation
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. preserves conformity of product
or other process outputs during internal processing and delivery. This preservation includes
identification, handling, contamination control, packaging, storage, Transmission, transportation
and protection. Preservation also applies to the constituent parts of a product.
The documented procedure [Preservation Proc.] defines the methods for preservation of
product.
8.5.5 Post-Delivery Activities

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. does not conduct any “post-
delivery activities”:
8.5.6 Control of Changes

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. reviews and controls both
planned and unplanned changes to processes to the extent necessary to ensure continuing
conformity with all requirements.
Process change management is defined in the document [Change Mgmt. Doc] maintains
documented information of review of changes, the persons authorizing the changes, necessary
action arising from review.
8.6 Release of Products and Services /…/…..

Acceptance criteria for Products or Services are defined in appropriate subordinate
documentation. Reviews, inspections and tests are conducted at appropriate stages to verify
that the product and service requirements have been met. This is done by relevant authority
before Products or Services are released or services are delivered to the customer.
Each process utilizes different methods for measuring and releasing Products or Services.
8.7 Control of Nonconforming Outputs /.…./….
8.7.1 Locomotive Workshop, Northern Railway, Charbagh, Lucknow. ensures that Products
or Services or other process outputs that do not conform to their requirements are identified and
controlled to prevent their unintended use or delivery. The organization takes appropriate
actions based on the nature of the nonconformity or its effect on the conformity of products and
services and also applies after delivery of products or provision of services. The organization
deals with the nonconforming outputs in following ways
 Correction
 Segregation, Containment, return or suspension of provision of products and service
 Informing the customer
 Obtaining the authorization for acceptance under concession
 Conformity to the requirement is verified when outputs are corrected
8.7.2 The organization retains documented information that

 Describes the nonconformity
 Describes the actions taken
 Describes any concessions obtained
 Identifies the authority deciding action on nonconformity
Controls for such nonconformance are defined in [Control of Nonconforming Service Proc]
9.0 Performance Evaluation/ 9.0 Performance Evaluation/ 9.0

Performance Evaluation
9.1 Monitoring, Measurement, Analysis and Evaluation / 9.1 Monitoring, Measurement,
Analysis and Performance Evaluation/ 9.1 Monitoring, Measurement, Analysis and
Evaluation
9.1.1 General / 9.1.1 General / 9.1.1 General

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined
 The needs to be monitored and measured
 The methods of monitoring , measuring analysis and evaluation needed to ensure valid
results
 When to do monitoring and measuring
 When to analyze and evaluate the results of monitoring and measuring
The organization evaluates the performance and the effectiveness of Quality, Environmental
and Occupational Health and Safety Management System (IMS). The organization retains
documented information as evidence of monitoring, measurement, analysis and evaluation
result.
9.1.2 Customer Satisfaction / ….. / ……

As one of the measurements of the performance of the management system, Locomotive
Workshop, Northern Railway, Charbagh, Lucknow. monitors information relating to customer
perception as to whether the organization has met customer requirements. The methods for
obtaining and using this information include:
 recording customer complaints
 trends in on-time delivery
 submittal of customer satisfaction surveys
The corrective and preventive action system is used to develop and implement plans for
customer satisfaction improvement that address deficiencies identified by these evaluations,
and assess the effectiveness of the results.
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has determined for obtaining
monitoring and reviewing customer satisfaction by a Customer Feedback Form.
9.1.3 Analysis and Evaluation/ ……/ ……

Locomotive Workshop, Northern Railway, Charbagh, Lucknow. uses the management system
to improve its processes, products and services. Such improvements aim to address the needs
and expectations of customers as well as other interested parties, to the extent possible.
Improvement shall be driven by an analysis of data related to:
The results of analysis is used to evaluate:
a) conformity of products and services;
b) the degree of customer satisfaction;
c) the performance and effectiveness of the integrated management system;
d) the effectiveness of planning;
e) the effectiveness of actions taken to address risks and opportunities;
f) the performance of external providers;
g) Compliances to Statutory and Regulatory Obligations
h) Other improvements to the management system.
……/ 9.1.2 Evaluation of Compliance/ 9.1.2 Evaluation of Compliance

and maintained the process(es) needed to evaluate fulfillment of its compliance obligations.
The organization has:

a) determined the frequency that compliance will be evaluated;
b) evaluated compliance and take action if needed;

c) maintained knowledge and understanding of its compliance status.
The organization retains documented information as evidence of the compliance evaluation

result(s).
9.2 Internal Audit / 9.2 Internal Audit / 9.2 Internal Audit

9.2.1/ 9.2.1 General / 9.2 I General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. conducts internal audits at

planned intervals to determine whether the Integrated management system conforms to the
organization’s own requirements, contractual and regulatory requirements, to the requirements
of Standards, and to Integrated Management System requirements. Audits also seek to ensure
that the management system has been effectively implemented and is maintained.
9.2.2 / 9.2.2Internal Audit Program / 9.2.2Internal Audit Program

and maintained
 The audit program, frequency, method, responsibility and reporting to management, List
of auditors
 Audit criteria, Conductance of audit with Objectivity , reporting of results of audit to
management
 Taking appropriate correction and corrective action without delay
 The results and evidence of implementation of Internal Audit is retained
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. retains documented information
of these activities in the document [Internal Auditing Proc.]and records are retained.
9.3 Management Review / 9.3 Management Review/ 9.3 Management Review
9.3.1 General / …../ ……

The Senior Management Team of Locomotive Workshop, Northern Railway, Charbagh,
Lucknow. reviews the Integrated management system, at planned intervals, to ensure its
continuing suitability, adequacy and effectiveness and alignment with the strategic direction of
the organization
9.3.2 Management Review Inputs / …… / ……
The management of Locomotive Workshop, Northern Railway, Charbagh, Lucknow. reviews
are planned and carried out considering
 The status of actions of previous management reviews
 Changes in the external and internal issues that are relevant to integrated management
system
 Significant Environmental Aspects
 Relevant communication from external interested parties including complaints
 Results of participation and consultation
 Status of incident investigation, corrective and preventive action
 Information on performance and effectiveness of quality management system and trends
in Customer satisfaction and feedback from interested parties
 The extent to which objectives are met
 Process performance and conformity of product and services, OH & S performance
 Non conformities and corrective actions
 Monitoring and measurement results
 Audit results
 The performance of external providers
 Compliances obligation
 Relevant communication from interested parties including complaints
 The adequacy of resources
 The effectiveness of actions taken to address risks and opportunities
 Changing circumstances including development in legal requirement
 Opportunities for improvement
9.3.3 Management Outputs/…../…….
The outputs of management review includes decisions and actions related to

 Conclusions on suitability adequacy and effectiveness of the Integrated Management
System
 Opportunities for improvements
 External and Internal issues that are relevant to IMS
 Needs and expectations of interested parties, including compliances obligations
 Significant environmental aspects and high risks
 Extent of objectives achieved
 Any need for change to integrated management system including the Policy and
Objectives
 Resource needs
Management review frequency, agenda (inputs), outputs, required members, actions taken and
other review requirements are defined in the documented procedure [Management Review
Proc.].
Records from management reviews are maintained.
….. / 9.3 Management review / ……..

Top management of Locomotive Workshop, Northern Railway, Charbagh, Lucknow. reviews
the organization’s environmental management system, at planned intervals, to ensure its
continuing suitability, adequacy and effectiveness.
The management review includes consideration of:

a) the status of actions from previous management reviews;
b) changes in:
1) external and internal issues that are relevant to the environmental management system;
2) the needs and expectations of interested parties, including compliance obligations;
3) its significant environmental aspects;
4) risks and opportunities;
c) the extent to which environmental objectives have been achieved;
d) information on the organization’s environmental performance, including trends in:
1) nonconformities and corrective actions;
2) monitoring and measurement results;
3) fulfilment of its compliance obligations;
4) audit results;
e) adequacy of resources;
f) relevant communication(s) from interested parties, including complaints;
g) opportunities for continual improvement.
The outputs of the management review includes:

— conclusions on the continuing suitability, adequacy and effectiveness of the environmental
management system;
— decisions related to continual improvement opportunities;
— decisions related to any need for changes to the environmental management system,
including
resources;
— actions, if needed, when environmental objectives have not been achieved;
— opportunities to improve integration of the environmental management system with other
business
processes, if needed;
— any implications for the strategic direction of the organization.
The organization retains documented information as evidence of the results of management

reviews.
….. / ….. / 9.3 Management review
Top management of Locomotive Workshop, Northern Railway, Charbagh, Lucknow. reviews

the organization’s OH&S management system, at planned intervals, to ensure its continuing
suitability, adequacy and effectiveness.
The management review includes consideration of:
a) the status of actions from previous management reviews;
b) changes in external and internal issues that are relevant to the OH&S management system,
including:
1) the needs and expectations of interested parties; 2) legal requirements and other
requirements; 3) risks and opportunities;
c) the extent to which the OH&S policy and the OH&S objectives have been met;
d) information on the OH&S performance, including trends in:
1) incidents, nonconformities, corrective actions and continual improvement;
2) monitoring and measurement results;
3) results of evaluation of compliance with legal requirements and other requirements;
4) audit results;
5) consultation and participation of workers;
6) risks and opportunities;
e) adequacy of resources for maintaining an effective OH&S management system;
f) relevant communication(s) with interested parties;
g) opportunities for continual improvement.
The outputs of the management review includes decisions related to:
— the continuing suitability, adequacy and effectiveness of the OH&S management system in
achieving its intended outcomes;
— continual improvement opportunities;
— any need for changes to the OH&S management system;
— resources needed, actions, if needed;
— opportunities to improve integration of the OH&S management system with other processes;
— any implications for the strategic direction of the organization.
Top management communicates the relevant outputs of management reviews to workers, and,
where they exist, workers’ representatives. The organization retains documented information as
evidence of the results of management reviews.
10.0 Improvement / 10.0 Improvement/ 10.0 Improvement
10.1 General/ 10.1 General/ 10.1 General
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. determines and selects

opportunities for improvement and implement necessary action to meet customer requirement
and enhance customer satisfaction. The organization includes
 Or could potentially occur
 products and services to meet requirements and to address future needs and
expectations
 Correcting, preventing or reducing undesired effects
 Improving the performance and effectiveness of Integrated management system by

considering if any breakthrough change, innovations and reorganization
10.2 Nonconformity and Corrective Action / 10.2 Non-conformity and Corrective Action/
10.2 Incident, Non conformity and Corrective Action
10.2.1 / ….. / …….
Nonconformity arising from complaints the organization:

 React to non-conformity by a) taking action to control and correct it, b) deal with the
consequences
 Evaluate the need to eliminate the cause of the nonconformity, in order that it does not
recur or occur elsewhere. This is achieved by a) reviewing and analyzing the
nonconformity, b) determining the cause of nonconformity, c) determining if similar non-
conformities exist.
 Implement any action needed
 Review the effectiveness of any corrective action taken
 Update risks and opportunities determined during planning
 Make changes to the quality management system; if necessary
Corrective actions are appropriate to the effects of the non-conformities encountered
10.2.2 / …./ …..
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. retains documented information

as evidence of
 The nature of nonconformities and any subsequent actions taken
 The results of any corrective actions
These activities are done through the use of the formal Corrective Action [CAPA Form] system,
and are defined in the document [Corrective Preventive Action Proc.].
…… / 10.2 Non-conformity and Corrective Action/ ………
When a nonconformity occurs, Locomotive Workshop, Northern Railway, Charbagh, Lucknow.:

a) reacts to the nonconformity and, as applicable:
1) takes action to control and correct it;
2) deals with the consequences, including mitigating adverse environmental impacts;
b) evaluates the need for action to eliminate the causes of the nonconformity, in order that it
does not
recur or occur elsewhere, by:
1) reviewing the nonconformity;
2) determining the causes of the nonconformity;
3) determining if similar nonconformities exist, or could potentially occur;
c) implement any action needed;
d) reviews the effectiveness of any corrective action taken;
e) makes changes to the environmental management system, if necessary.
Corrective actions are appropriate to the significance of the effects of the nonconformities
encountered, including the environmental impact(s).
The organization retains documented information as evidence of:

— the nature of the nonconformities and any subsequent actions taken;
— the results of any corrective action.
……./ ……./ 10.2 Incident, nonconformity and corrective action

and maintained a process(es), including reporting, investigating and taking action, to determine
and manage incidents and nonconformities.
When an incident or a nonconformity occurs, the organization :
a) reacts in a timely manner to the incident or nonconformity and, as applicable:
1) takes action to control and correct it;
2) deals with the consequences;
b) evaluates, with the participation of workers (see 5.4) and the involvement of other relevant
interested parties, the need for corrective action to eliminate the root cause(s) of the
incident or nonconformity, in order that it does not recur or occur elsewhere, by:
1) investigating the incident or reviewing the nonconformity;
2) determining the cause(s) of the incident or nonconformity;
3) determining if similar incidents have occurred, if nonconformities exist, or if they could
potentially occur;
c) reviews existing assessments of OH&S risks and other risks, as appropriate.
d) determines and implements any action needed, including corrective action, in accordance
with the hierarchy of controls and the management of change.
e) assesses OH&S risks that relate to new or changed hazards, prior to taking action;
f) reviews the effectiveness of any action taken, including corrective action;
g) makes changes to the OH&S management system, if necessary.
Corrective actions is appropriate to the effects or potential effects of the incidents or
nonconformities encountered.
The organization retains documented information as evidence of:
— the nature of the incidents or nonconformities and any subsequent actions taken;
— the results of any action and corrective action, including their effectiveness.
The organization communicates this documented information to relevant workers, and, where
they exist, workers’ representatives, and other relevant interested parties.
The reporting and investigation of incidents without undue delay enables hazards to be
eliminated and associated OH&S risks to be minimized as soon as possible.
10.3 Continual Improvement/ 10.3 Continual Improvement / ……….
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. tries to continually improve the
suitability, adequacy and effectiveness of the Integrated management system, considering the
results of analysis and evaluation and the outputs from the management review, to determine if
there are needs or opportunities that are to be addressed as a part of continual improvement.
……../ ……../ 10.3 Continual improvement
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. continually improves the
suitability, adequacy and effectiveness of the OH&S management system, by:
a) enhancing OH&S performance;
b) promoting a culture that supports an OH&S management system;
c) promoting the participation of workers in implementing actions for the continual improvement
of the OH&S management system;
d) communicating the relevant results of continual improvement to workers, and, where they
exist, workers’ representatives;
e) maintaining and retaining documented information as evidence of continual improvement.
Appendix A: Overall Process Sequence & Interaction
M P1 – Receipt of P6 – Maintenance
A Work Order and calibration.
N
A Locomotive
G P2 – Drawing & Workshop, P7 – House
E Procurement of Northern Keeping, Safety&
M Material Railway, Environment
E
N Charbagh,
T P3 – Prep. Of Lucknow
Cutting List
R P8 – Stores&
E Outsourcing,
VI P4 – Fabrication
E
W
P9 – Resource
P5 – Final QA & Management
QC
Other Supporting Functions & Activities
Document Control Record Control Internal Audit
Control of NC Corrective Action Preventive Action
Action low
Monitoring and
Control
Information Flow
Appendix B: Organization Chart
Appendix C- Responsibility, Authority & Competency.

(A) Dy. CE.BW.LKO
Dy. Chief Engineer/BW is incharge of the Locomotive Workshop & Line Unit at LKO
and reports to CBE. Responsibility & authority exercised by Dy. CE/BW is as under-
 Monitoring all activities in the Locomotive Workshop & Line Unit
 To act as the MR duly appointed by CBE
 Identifying resources, requirement and following it up
 Providing cordial & safe working environment in the workshop
 Carrying out review of procedures & work instructions and to amend them to meet the
quality policy & achieve the quality objectives
 Ensuring completion of work orders in specified time in conformance to the requirement
 Interacting with customers for clarification
 Providing technical support to the personals in the workshop
 Identifying training needs of Supervisory staff & arranging their training
 Acceptance of work orders.
(B) XEN/BW/LKO:
Executive Engineer/BW assists Dy.CE/BW and is responsible for:-

 Securitization of work orders for their feasibility.
 Execution of activities for establishing the quality management system.
 Identifying training needs of artisan & providing training as per requirement.
 Ensuring progress of work orders as per plan.
 Assessing requirement of recourses on planned basis.
 Maintaining master copies of document & ensuring retrieval of obsolete documents.
 Taking corrective & preventive action on non-conformance and quality problems.
(C) AXEN/BW/LKO:
Assistant Executive Engineer/BW assists Dy.CE/BW and is responsible for:-
 Securitization of work orders for their feasibility.

 Execution of activities for establishing the quality management system.
 Identifying training needs of artisan & providing training as per requirement.
 Ensuring progress of work orders as per plan.
 Assessing requirement of recourses on planned basis.
 Maintaining master copies of document & ensuring retrieval of obsolete documents.
 Taking corrective & preventive action on non-conformance and quality problems.
(D) SSE/BW
Senior Section Engineer/BW assists AXEN/BW & is responsible for:-
 Co-ordination and monitoring of inter shop activities.
 Ensuring timely calibration of measuring and inspection instruments.
 Re- distributing resources within the workshop to various shops to execute work orders
as per production plan.
 Arranging dispatch of finished products.
 Following up for obtaining customer feedback.
 Processing of indents.
 Identifying requirement of machinery, tools & plants.
Appendix D – Senior Management Team
Locomotive Workshop, Northern Railway, Charbagh, Lucknow. has established Senior
Management Team and Nominee as under
Sr No Name & Designation Designation

1 Mr. Inder Kumar (Dy. C.E.) Nominee
2 Mr. Chote Lal (AXEN) SMT
3 Mr. Satendra Kumar (AXEN) Member
4 Mr. A.K. Sharma (SSE) Member
5 Mr. M. K. Jha (SSE) Member
6 Mr. Vishram Meena (SSE) Member
8 Mr. Ajay Yaday (SSE) Member
9 Mr. S. K. Raza Member
Appendix E – Storage & Disposal Matrix
Storage Matrix
Temperatur
e
Material Method of Requiremen Shelf Life / Using Monitorin
Particular Storing Location Storage t Expiry Pattern g By

Please refer Departmental Manual for Storage Matrix
Appendix F- Disposal Matrix

Source /
Generating Storing Method of Disposal Monitoring
Point Wastage Detail Location Storage Pattern Responsibility By

Please refer Departmental Manual for Storage Matrix
Appendix G - IMS Policy
ISO 9001:2015, ISO 14001:2015 & ISO 45001: 2018

POLICY
Northern Railway LOCOMOTIVE WORKSHOP,

CHARBAGH, LUCKNOW is committed to the
preservation of pollution and conservation of resources
while Repair & Periodic Overhaul of Diesel & Electric
Locomotives, Diesel Electric Multiple Unit (DEMU),
Coach Bogie Overhaul, Wheel Sets And Manufacture of
Miscellaneous Components to provide safe and secure
working environments for all people employed by the
workshop, Railway Officers / Staff, Visitors, Contractors
and Public who may be affected by our activities.
Chief Works Manager (Locomotive Workshop,)
Charbagh, LUCKNOW.
Appendix H- IMS Objectives
ISO 9001:2015, ISO 14001:2015 & ISO 45001: 2018

OBJECTIVES
 Keeping all Equipments, tools and spares in good condition at all time to meet Quality
and timely completion of maintenance activity.
 Quality and on-time completion of maintenance work.
 100% compliance with Railway Guidelines and instructions.
 Regular improvement in learning service methodology and developing the skills.
 Development by continuous improvement in Quality standards in terms of timely
execution of Task ordered.
 Considering environmental sustainability.
 Maintaining compliance towards legal, environmental, occupational health and safety
legislation.
 Adhering to applicable legislative, regulatory and other requirements.
 Applying state of art technology with the cooperation of its employees.
 Periodical review of IMS Policy & Objectives.
Appendix I - Process Flow Chart

PROCESS FLOW CHART
a) L.W. VISION
EOHS REQUIREMENTS
IMS POLICY
IMS OBJECTIVE
JOB FINALIZATION
CUSTOMER REQUIREMENTS
JOB QUALITY PLAN
PREVENTIVE
MEASURES
CUSTOMER STASIFICATION
RESORCE MANAGEMENT
/CUSTOMER FEEDBACK
TRAINING
SERVICE & MAINTANANCE,

INSPECTION, TESTING QA/QC,
STATUTORY & REGULATORY REQUIREMENTS
DELIVERY
INTERNAL AUDIT MANGEMENT

INFORMATION SYSTEM
LEARNING
REVIEW & CORRECTIVE ACTION

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NORHTERN RAILWAY

INTEGRATED MANAGEMENT SYSTEM

Copy No Distributed to Location

SMT Nominee C.W.M

*NA – Clauses not applicable for the standards

A. Revision History and Approval

1.0 Scope /1.0 Scope/ 1.0 Scope

2.0 Normative Reference /2.0 Normative Reference/ 2.0 Normative Reference

4.1 Understanding the Organization and its Context/ 4.1 Understanding

4.2 Understanding the needs and expectation of the interested parties/

4.3 Determining the scope of the Quality Management System/

4.4 Quality management system and its processes/ 4.4 Environmental

5.0 Leadership/ 5.0 Leadership/ 5.0 Leadership and worker participation

5.2Policy/ 5.2 Environmental Policy/5.2 OH & S Policy

5.2.1/…/… Establishing the Quality Policy

5.3 Organizational roles, responsibilities and authorities/5.3

…/…./ 5.4 Consultation and participation of workers

6.0 Planning/6.0 Planning/ 6.0 Planning

6.1 Actions to address risks and opportunities/ 6.1 Actions to address

…../ 6.1.1 General/ 6.1.1 General

…../ 6.1.2 Environmental Aspects/ 6.1.2 Hazard identification and

…./6.1.3 Compliance obligations / 6.1.3 Determination of legal

…./6.1.4 Planning action/ 6.1.4 Planning action

6.2 Quality Objectives and Planning to achieve them/ 6.2 Environmental

…./6.2.2 Planning actions to achieve environmental objectives/ 6.2.2

6.3 Planning of changes/ .. / …..

Support/ 7.0 Support/ 7.0 Support

7.1 Resources/ 7.1 Resources/ 7.1 Resources

7.2 Competence/ 7.2 Competence/ 7.2 Competence

7.3 Awareness/ 7.3 Awareness/ 7.3 Awareness

7.4 Communication/ 7.4 Communication/ 7.4 Communication

…./ 7.4.1 General / 7.4.1 General

…./ 7.4.2 Internal communication/ 7.4.2 Internal communication

…. / 7.4.3 External communication./ 7.4.3 External communication

7.5 Documented information/ 7.5 Documented information/ 7.5

7.5.1 General / 7.5.1General /7.5.1General

7.5.2 Creating and Updating / 7.5.2 Creating and Updating/ 7.5.2

7.5.3Control of Documented Information / 7.5.3 Control of

8.0 Operation/ 8.0 Operation/ 8.0 Operation

8.1 Operational planning and control/ 8.1 Operational planning and

…./ …./ 8.1.1 General

8.2 Requirements for the Products and Services/ 8.2 Emergency

8.3 Design and Development of Product and Services- Excluded /…/

8.4 Control of externally provided processes, products and

8.5 Production and Services Provision/.. /…

8.6 Release of Production and Services /… /…

8.7 Control of Non-Conforming Outputs/… /…

9.1 Monitoring, measurement, analysis and evaluation/ 9.1

9.1.1 General / 9.1.1 General/ 9.1.1 General

9.2 Internal Audit / 9.2 Internal Audit / 9.2 Internal Audit

…./9.2.1 General/ 9.2.1 General

9.3 Management Review / 9.3 Management Review / 9.3 Management

Improvement / 10.0 Improvement / 10.0 Improvement

10.1 General/ 10.1 General / 10.1 General

10.2 Nonconformity and Corrective Action/ 10.2 Nonconformity and

10.3 Continual Improvement / 10.3 Continual Improvement / 10.3

Appendix A: Overall Process Sequence & Interaction

Appendix B: Organization Chart

Appendix C – Responsibility and Authority, Competency & KPI’s

Appendix E – Storage & Disposal Matrix

Appendix F - Disposal Matrix

Appendix G- IMS Policy

Appendix H- IMS Objectives

Appendix I - Process Flow Chart