MINISTRY OF COAL GOVERNMENT OF INDIA APPROVAL

Transcription

1 Section 0: Page 1 APPROVAL This manual describes the ISO 9001:2008 compliant Quality Management System of the Ministry of Coal, Government of India. I hereby approve this manual, and direct all concerned in the Ministry to strictly follow the system contained in it. Any subsequent change in this manual shall be issued only after my specific approval. Place : New Delhi Date : Secretary, Government of India, Ministry of Coal.

2 Section 0: Page 2 English version: QUALITY POLICY OF THE MINISTRY OF COAL, We are committed to 1. Develop the Indian coal industry in an eco-friendly, environmentally sustainable, cost effective and in a safe manner for the efficient support to various industry-sectors of the country; 2. Facilitate state-of-art technology and optimization of resources in Indian coal sector for comprehensive economic growth of the country; 3. Comply with all the requirements of our quality management system, and continually improve its effectiveness; and 4. Promote socially responsible and transparent governance system. Hindi version: क यल म लय, भ रत सरक र क ग णत न त हम तब ह क 1. द श क व भ न उ" ग-$ % क स$म मदद ह त, भ रत य क यल उ" ग क एक पय )वरण-अन क ल, पय )वरणÐसमथ), ल गत-भ व एव स र.$त तर/क स वक सत कर0ग ; 2. द श क 2य पक आ थ)क स व ह त, भ रत य क यल उ" ग क नव नतम तकन क और स स धन% क इ8त क ओर आग बढ ए ग ; 3. अपन ग णत ब ध ण ल क सभ आव;यकत ओ क प लन, व उसक भ वक <रत म0 सतत स ध र कर0ग ; तथ 4. स म.जक.ज>म द र/ प ण) व प रदश? श सन ण ल क बढ़ व द0ग.

3 Section 1: Page 1 SECTION 1.0: DISTRIBUTION LIST 1.1 HARD COPY DISTRIBUTION (by MR, ref section D.a) Copy Copy Holder Management Representative (MR) (As master copy, and for the use of external auditors) Joint Secretary (SKS) ( For the use of all in sections under his/her administrative control) Adviser (Projects) ( For the use of all in sections under his/her administrative control) Joint Secretary & Financial Adviser ( For the use of all in sections under his/her administrative control) Economic Adviser ( For the use of all in sections under his/her administrative control) Joint Secretary (AKB) ( For the use of all in sections under his/her administrative control) 06 Joint Secretary (VB) [Above copy holders may distribute copies for awareness/training within their functional domains refer procedure para -D.a.3] 1.2 COMPUTER LAN DISTRIBUTION (by administrator as below, ref section D.b) Location Server Computer Location Server Administrator Secretariat National Informatics Centre, MoC In-charge National Informatics Centre at MoC

4 Section 2: Page1 SECTION 2: CONTENTS, CONVENTIONS AND TERMS 2.1 CONTENTS 1. Current revision status of every page of this manual is placed under record 9.1 before the back cover. 2. Amendment history of every page of this manual is given in the respective page footers. 3. Procedures and/or records references boldfaced under columns 5 and/or 6 below are the mandatory ones under boldfaced clause numbers of ISO 9001standard under column 4. No Section Title Clause Reference of No of ISO 9001:2008 Pages Related Procedure Related Record(s) (1) (2) (3) (4) (5) (6) 0 TITLE PAGE with approval of Manual & Quality Policy of the Ministry of Coal, GOI. 2-1 DISTRIBUTION 1-2 CONTENTS, CONVENTIONS, AND TERMS 2.1: Contents 2.2: Conventions : Terms and Abbreviations INTRODUCTION 3 3.1: Ministry, the Setup 3.2: Decision for ISO 9001 QMS in the Ministry 3.3: Scope and Coverage of the QMS 3.4: Ministry s Services and Customers QUALITY MANAGEMENT SYSTEM OF THE MINISTRY : Processes and Planning : Documentation : General Approach and Structure : : Control of Documents Sec : Control of Records Sec RESPONSIBILITY OF TOP MANAGEMENT : Commitment Towards QMS : Focus Towards Customers : Quality Policy : Planning 5.4.1: Quality Objectives : QMS Planning : Responsibilities, Authorities, and Communication 5.5.1: Allocation of Responsibilities and Authorities : Management Representative : Internal Communication : Management Reviews

5 Section 2: Page2 No Section Title Clause Reference of No of ISO 9001:2008 Pages Related Procedure Related Record(s) (1) (2) (3) (4) (5) (6) 6 7 MANAGEMENT OF RESOURCES 6.1 : Provision of Resources : Human Resource Management 6.2.1: General Arrangement : Managing Competence, Training and Awareness Service Book 6.3 : Infrastructure : Work Environment SERVICE REALIZATION : Planning of Service Realization Related File 7.2 : Customer Related Processes 7.2.1, 7.2.2, : Design and Development [EXCLUDED] 7.4: Purchasing 7.4.1: Purchasing Process As decided 7.4.2: Purchasing Information : Verification of Purchased Items : Service Provision 7.5.1: Controls of Service Provisions Govt. Norms 7.5.2: Validation of Processes [EXCLUDED] : Identification and Traceability File Tracking System 7.5.4: Customer Property : Preservation : Control of Monitoring & Measuring Equipment [EXCLUDED] 7.6 Concerned File 8 MEASUREMENT, ANALYSIS AND IMPROVEMENT : General Arrangement : Monitoring and Measurement : Monitoring of Customer Satisfaction : Internal Auditing Sec : Monitoring of QMS Processes : Monitoring of Services : Control of Nonconforming Services 8.3 Sec : Data Analysis : Improvement of the System 8.5.1: Continual Improvement : Corrective Actions & Preventive Actions Sec 8.5.2

6 Section 2: Page3 No Section Title No of pages Clause Reference of ISO 9001:2008 Related procedur es Related Records SYSTEMIC RECORD FORMATS 9.1 : Status Record Sec : Management Review Record : Internal Audit Report , 8.2.3, 8.5 Sec 8.2,.2, : Internal Audit Plan and Checklist ANNEXURES 10.1: Quality Plan of the Ministry : Roles, Responsibilities, and Authorities Under QMS CONVENTIONS 1. For ease of reference, corresponding clause numbers of standards ISO 9001 (year 2008 version), have been given throughout sections 4 to 8 of this manual along the headings of every subsection, as relevant. 2. For clarity, the terms defined under section 2.3 below have been used in this manual with their initial letters capitalized. 3. Boxed text throughout this manual describes the procedure of implementing the concerned QMS element. 01. Audit observation of Certification Body

7 Section 2: Page TERMS AND ABBREVIATIONS 1. Terms and abbreviations below are alphabetically arranged. 2. Bolds within a definition below means again a defined term. Additional Secretary Adviser Authority Continual Improvement Correction The officer of the Indian Administrative Service, who supports and assists the Secretary for undertaking the Ministry s Governmental functions and provides functional guidance to Joint Secretaries and Advisers of the Ministry. The officer of the Ministry, who supports and assists the Secretary and Additional Secretary for undertaking the Ministry s Governmental functions and provides functional guidance to Deputy Secretaries and Directors. Power or right to act in a discretionary manner, to achieve the desired result. (based on document ISO/TC 176/SC 2/N526 definition of power or right to enforce obedience; moral or legal supremacy; right to command or give a final decision ) Recurring process of enhancing the ability of this QMS to fulfill requirements Action to eliminate a detected Nonconformity. (Based on definitions under ISO 9000:2005) Corrective Action Deputy Secretary Director GOI Joint Secretary (Same as under ISO 9000:2005) Action to eliminate the cause of a detected Nonconformity or other undesirable situation (in order to prevent its recurrence). (Same as under ISO 9000:2005) The officer of the Ministry designated so for supporting and assisting Joint Secretaries / Advisers to undertake Governmental functions of the Ministry and providing functional guidance to Under Secretaries. The officer of the Ministry designated so for supporting and assisting Joint Secretaries / Advisers to undertake Governmental functions of the Ministry and providing functional guidance to Under Secretaries. Government of India The officer of the Indian Administrative Service, who supports and assists the Secretary and Additional Secretary for undertaking the Ministry s Governmental functions and provides functional guidance to Deputy Secretaries and Directors. Ministry or MoC An independent Ministry of coal of GOI, as described under section 3.1, which implements this QMS. Nonconformity MR Non-fulfillment of any requirement specified under the QMS and/or its underlying standards. (Based on definitions under ISO 9000:2005) Management Representative, ie, the officer so appointed by Secretary in pursuance with clause of standard ISO 9001:2008, and declared under section of this manual.

8 Section 2: Page 5 Personnel All individuals directly employed by the Ministry, including its Secretary, Additional Secretary, Joint Secretaries, Advisers, Deputy Secretaries, Directors, Under Secretaries, Section Officers and other Supporting staff. Preventive Action Product QMS Requirement Responsibility Secretary Section Section Officer Supplier/ Contractor Under Secretary (US) Action to eliminate the cause of a potential Nonconformity or other undesirable potential situation (in order to prevent its occurrence). (Same as under ISO 9000:2005) In the form of services as explained under section 3.4 A of this manual. Quality Management System, ie, the management system (compliant with the requirements of standard ISO 9001), as described under this manual, to direct and control the Ministry with regard to the quality of its functioning and the services provided by it. (Based on ISO 9000:2005 definition of management system to direct and control an organization with regard to quality ). Need or expectation that is stated, generally implied, or obligatory. (same as under ISO 9000:2005) Duty or charge to act in a fixed prescribed manner, to achieve the desired result. (based on document ISO/TC 176/SC 2/N526 definition of a charge, trust, or duty, for which one is responsible; a person for whom or thing for which one is responsible ) An officer of Indian Administrative Service, who heads the Ministry s secretariat and acts as the chief executive officer of the Ministry. A particular functional part of the Ministry to carry out some specific function, as described under sections 3.3.B The officer of the Ministry designated so for taking overall charge of all the operations in a particular Section. Any organization that provides goods and/or services to the Ministry for the use in any of its operations. The officer of the Ministry designated so for taking overall charge of all the operations in different sections under his control and providing functional guidance to Section Officers.

9 Section 3: Page MINISTRY, THE SETUP SECTION 3: INTRODUCTION The Ministry of Coal is an independent Ministry of the Government of India (GoI). It is responsible for controlling the coal and lignite sectors in the country. It s secretarial is located at Shastri Bhavan in New Delhi. After the formation of Republic of India, this function was a part of the then Ministry of Mines, and thereafter of the Ministry of Energy. India is presently among the top three fastest growing economies of the world. With the rapid industrialization, energy demand in India expanded very fast and India emerged as a major energy producer and consumer. There is an abundant reserve of coal and lignite in the country which is also the dominant source of energy. The demand of coal and lignite is increasing with time as the demand of energy is also increasing. Considering the need to develop Indian coal and lignite sector to augment coal and lignite production to meet country s present and future energy needs, Govt of India perceived the need to create an independent Ministry for coal separately and hence an independent Ministry of Coal (MoC) was formed. In line with the governance structure of the Republic of India, this Ministry is also headed by a cabinet minister who is aided by the state minister(s), and supported by the usual setup of Indian Administrative Services. The details are available under the Ministry s official website at Its governmental functions address determining national policies and strategies for the development, exploration, distribution, pricing, and welfare of Indian coal and lignite sectors; as well as the monitoring of the progress of independent captive coal-block allottees. In addition to the above, the Ministry also controls the following establishments. 1. Coal India Limited (CIL) and its subsidiaries; 2. Neveli Lignite Corporation (NLC); 3. Singaraeni Colliery Company Limited (SCCL); 4. Coal Controller s Organization; 5. Coal Mines Provident Fund Organization; and 6. Commissioner of Payments. 3.2 DECISION FOR ISO 9001 QMS IN THE MINISTRY As a part of its pursuit of administrative reforms, the Government of India decided in to implement an internationally standardized ISO 9001 Quality Management System in the Ministry of Coal and was properly recorded as one of the success indicator under section 3 of its Results-Framework Document (RFD) of Ministry of Coal. This will enable the Ministry to provide following confidences to all its interested parties. 1. That it has the ability to provide services that consistently meet the requirements of customers, industry-sector, society, and regulatory bodies. 2. That it s focus will always be upon enhancing the satisfaction of customers and society through application of an effective quality management-system.

10 Section 3: Page 2 3. That it emphasizes on Preventive Actions rather than on Corrective Actions. 4. That it s thrust is on sustained and Continual improvement, rather than on some short-term achievements The provisions under this QMS of the Ministry are complementary to the technical requirements for its services, and are aimed at enhancing the Ministry s capabilities to A. Understand and meet the requirements put-up by customers, industry, society, etc; B. Consider need to add value to the industry-sector, society, etc; C. Obtain sustained results of performance and effectiveness in operations; D. Pursue Continual improvement based on objective measurement. 3.3 THE SCOPE AND COVERAGE OF QMS A. Scope: The scope of this QMS in the Ministry is Governmental controls for the development, exploration, distribution, pricing, and welfare of Indian coal and lignite sectors. B. Coverage: The QMS covers all the functions of the Ministry. These are known as sections in the Ministry, and are listed below. Details of their functioning are given under the Ministry s official website at 1. Appointment to Statutory Organization (ASO) 2. General Administration 3. Establishment 4. Coordination 5. Coal Projects Appraisal and Monitoring (CPAM) 6. Coal Research & Conservation I (CRC-I) 7. Coal Research & Conservation II (CRC-II) 8. Coal Blocks Allocation (CA-I(A) 9. Coal Blocks Monitoring (CA-I(B) 10. CA-II / Lignite & CA - III 11. Vigilance 12. Coal Production and Distribution (CPD) 13. Integrated Finance Division (IFD) 14. Planning Monitoring and Statistics Cell 15. Industrial Relations (PRIW-I) 16. Personnel Grievances and Welfare (PRIW-II) 17. PRIW-III (Coal Mine Provident Fund Organization) 18. Hindi 19. Pay and Accounts Office (PAO) 20. Cash Section

11 Section 3: Page THE MINISTRY S SERVICES AND CUSTOMERS A. Services of the Ministry: The Ministry s products are in the form of services only as it does not produce any physical product. The detailed list is available under The Ministry s official website at All these can be categorized as follows. 1. Approvals and grants to various establishments, agencies, consumers, etc of coal and lignite sector of the country. 2. Monitoring of the following key performance areas of establishments under its control (ref section 3.1 para 4 & 5). a. Operational performance b. Technological performance c. Systemic performance 3. Redressal of received grievances and references related to coal and lignite sector of the country. B. Customers of the Ministry: The list of the Ministry s customers is given in also available under the Ministry s official website at All these can be categorized as follows. 1. Consumers of coal from different industry sectors 2. Different ministries of GoI 3. Departmental and contractual employees of coal / lignite establishments 4. Coal Block allottees 5. Affected people from mining activity and other citizens of India 6. Manufacturers and suppliers of coal mining infrastructure, explosives, etc

12 Section 4: Page 1 SECTION 4: QUALITY MANAGEMENT SYSTEM 4.1 PROCESSES AND PLANNING A. QMS Processes: All these as identified for the Ministry along with their sequence and interactions have been given in annexure 1 as the Quality Plan of the Ministry. The criteria, methods, responsibilities, etc for all these have been described under the concerned section throughout this manual. B. Excluded Processes: The processes relating to clauses 7.3, 7.5.2, and 7.6 of standard ISO 9001 have been excluded from this QMS. Justifications are given under corresponding sections of this manual. C. Outsourced Processes: The Ministry does not outsource any of its core processes, since governmental functions cannot be outsourced. 4.2 DOCUMENTATION General Approach And Structure This QMS consists the following documents. a. : It describes the ISO 9001 compliant QMS of the Ministry. This is an internally generated document, and its broad contents are described under section below. b. Operational Documents: These are the documents like policies, guidelines, statutes, acts, regulations, standards, rules, notifications, codes, manuals, etc, which provide the basis for carrying out various functional operations of the Ministry. These are of both external and internal origin. The list and copies of these are maintained by respective Section Officers. c. All Office Records: These include both systemic records as provided under section 9 of this manual, and all other operational records lists of which are maintained by respective Section Officers This apex document of ISO 9001 compliant QMS of the Ministry contains the following. A. Brief introduction of the Ministry under sections 3.1; B. Background of this QMS under sections 3.2; C. Scope and coverage of this QMS - under sections 3.3; D. Quality policy of the Ministry - under second page of this manual; E. Exclusions along with their justifications - under sections 7.3,7.5.2 and 7.6; F. Sequence and interaction of QMS - under annexure-1; G. Core elements of QMS, and related roles, responsibilities and authorities of different functionaries summarized under annexure-2 and detailed throughout sections 4 to 8; H. Documented systemic procedures and references to operational documents; and I. Formats of systemic records, under section 9.

13 Section 4: Page Control of Documents All the documents in the Ministry are controlled as follows A. Review, update, and change of documents a. by MR and Internal Origin Operational Documents by the concerned Director / Deputy Secretary Revising the text with latest changes shown in italics, and specifying its current revision number, effective date and reason of change on every changed page footer, b. External Origin Operational documents by concerned Under Secretary Reviewing their current relevance, and revising their references and current validity. B. Approval of documents. a. by Secretary of the Ministry through dated approval signature on approval page and in Status Record (R 9.1). b. Operational documents of both internal and external origin by concerned Joint Secretary through dated signature in the following identifier on the cover page of every document. C. Release of documents as follows. Operational Document (MoC) AUTHORIZED & CONTROLLED Section Name: Document Name Document ID (Number).. Origin: Internal /External ( tick the relevant) Joint secretary (Sign/Date): a. by MR With each page footer stamped as Controlled Copy in blue ink; and 1. Retaining the original copy as copy number 0, i.e., master copy, and 2. Releasing duplicate and numbered copies to all other copyholders as under section-1.1, along with copies of the concerned quality manual status record (R 9.1). 3. Releasing the electronic copies to server administrator (ref section 1.2). b. Operational documents by concerned Under Secretary 1. Handing over the hard copies to his section officer for upkeep and controlled issue. 2. Releasing the electronic copies for the use of concerned Section Officers.

14 Section 4: Page 3 D. Distribution and maintenance of documents as follows to ensure their availability, accuracy, and suitable identification at all points of use. a. Hard-copies by copy holders 1. Ensuring ready availability to all for reference, and recorded issue if required. 2. Issue of duly authenticated copies of formats, checklists, etc for use. 3. If required for training/awareness, marking every issued page as For awareness only and the issue date. 4. Suitable displays of quality policy in any form by maintaining its accuracy during reproduction. b. Electronic copies by Section officers immediate loading on the computers with, 1. Absolute accuracy of the files (in terms of their content, layout, style, etc), and hyper linking 2. Complete safety of the loaded computer files even against any inadvertent infringement or disturbance; 3. The display of its revision status and effective date on every page; 4. Either disabling any possibility of copying of the displayed pages, or displaying a warning reading Copying this screen on any media is illegal prominently and constantly on computer screen when the document is accessed through the network; 5. Ensuring that the document remains available on the computer network with ease to use 6. Safeguarding the originally received electronic files and all their intermediate transformations and conversions against unauthorized use, and that such files are permanently deleted as soon as they are loaded on the server computer E. Disposition of obsolete documents/pages as follows to prevent their unintended use. a. by MR - Retaining pages of own copy after stamping them as Obsolete but Retained in red ink, and advising other copyholders to deface/destroy their superseded pages. b. Operational documents by concerned Under Secretary - Stamping all existing copies as Obsolete but Retained in red ink for any possible use in future. F. Re-approval of the documents to ensure their continuing suitability in the Ministry, after reviewing total documentation and authenticating the re-approval through dated signature on back of the approval page of concerned master copy of the document irrespective of whether or not any change was executed as per A above. a. by MR On any of the following, 1. Revision and/or amendment in the standard ISO 9001: Change in scope and coverage of QMS. 3. Basic change decided for QMS processes as declared under annexure - 1. b. Reference documents by concerned Joint Secretary When there is some change in the technology and/or related statutes/regulations concerning the processes and/or service of the section Control of Records The following two types of records are maintained to provide evidences of effective implementation of system and conformity to requirements in the Ministry. 1. Common Records, pertaining to common/routine establishment related/administrative functioning of the Ministry 2. Substantive Records, pertaining to specific/operational functioning of the Ministry All these records are maintained in hard copies, except some of the systemic records, which are maintained in electronic media in the computers. All these are controlled through the following procedure.

15 Section 4: Page 4 A. Unique identification by all concerned to ensure their traceability, as given below. a. For electronic records: through unique computer file-names. b. For hardcopy records: through the following. 1. For loose papers maintained in office files - through at least the concerned office file number and the record opening/receipt date; 2. For running entries in registers, diaries, etc - through date and serial number maintained under the related register, diary, etc. B. Storage and protection by all concerned as follows. a. For electronic records: through controlled access (e.g., passwords), suitable virus protection, and maintaining at least 2 backups at different locations. b. For hard copy records (files, registers, diaries): through deciding methods for proper storage to ensure continuing legibility, suitable identification, easily retrievable, and required access control and confidentiality. C. Arranging retention of both electronic and hardcopy records by all concerned till the following time limits. a. For all records of common nature pertaining to the Ministry s supportive/facilitative functions (e.g., Personnel, Finance, Establishment): Till the time set by the Government of India under Record Retention Schedule in Respect of Records Common to all Ministries/Departments. (This GOI document, which also lists all such records of common nature, is to be downloaded from ); b. For all records of substantive nature pertaining to the Ministry s specific/operational functions (e.g., Approvals and grants, Performance monitoring of Coal Establishments): 1. Till the time set by the Ministry in consultation with the National Achieves (as required under clauses 111(1)(d) and 95(d) of GOI s Manual of Office Procedure and Manual of e-office Procedure respectively) under The Ministry s own formally issued Retention Schedule For Records of the Ministry s Substantive Functions. (These GOI documents can be downloaded from ); 2. OR, pending the issue of above in the Ministry, till 3 years from date of creation in case of electronic record and till 3 years from date of closure of file etc in case of hardcopy record. D. Arranging disposition of the records by all concerned after the expiry of declared retention time, as follows, referring to section 9 of the Public Records Rules. a. For electronic records: 1. By deciding to Delete/overwrite the electronic files and their back-ups, or 2. Convert electronic softcopies into hardcopy prints for storage in some office file and deleting the softcopy, or 3. Backup electronic files in some removable-disks to retain till the decided extended period, and deleting original electronic file from hard disk. b. For hardcopy records: 1. by deciding to either destroy them, or 2. to extend the retention period as may be necessary.

16 Section 5: Page 1 SECTION 5: 5.1 COMMITMENT TOWARDS QMS MANAGEMENT RESPONSIBILITY As top management of the organization, Secretary of the Ministry provides the following evidences of his commitment towards the QMS. A. Communicating the importance of meeting customers and statutory/regulatory requirements to all in the Ministry through formal/informal meetings, and correspondences as appropriate. B. Establishing a Quality Policy for the Ministry. C. Establishing suitable quality objectives at various levels and functions of the Ministry D. Conducting periodic and structured management reviews of the QMS. E. Ensuring the availability of all the required resources. 5.2 FOCUS TOWARDS CUSTOMERS As top management, Secretary of the Ministry also ensures that requirements of customers are adequately determined (refer section 7.2) and regularly met with the aim to enhance their overall satisfaction. 5.3 QUALITY POLICY This Quality Policy of the Ministry is given on the second page of this manual, and has been formally approved by Secretary of the Ministry through the approval of this manual as on its approval page. The quality policy is communicated through suitable displays, and is being reviewed for its continuing suitability (refer section 5.6). 5.4 PLANNING Quality Objectives Consistent with overall focus under the above declared quality policy and the Ministry s 5 year strategic plan (available in the Ministry s official website at strategicplan pdf, quality objectives for the Ministry along with measurement arrangements are established and documented in section 2 of the Results Frame Work Document, available in the Ministry s official website at QMS Planning The secretary of the Ministry as the top management has ensured that a well-planned QMS is established in the Ministry. The processes/elements of this QMS are depicted in annexure-1 and are elaborated throughout the documentation of this QMS. The Secretary also ensures that the integrity of this QMS is always maintained particularly; a. Due to administrative, functional, and structural changes in the Ministry, and b. During changes in the documentation of this QMS itself.

17 Section 5: Page RESPOBIBILITY, AUTHORITY AND COMMUNICATION Allocation of Responsibilities and Authorities A. As top management of the Ministry, Secretary takes overall custody of this QMS through the organization setup available at the Ministry s official website at B. Secretary of the Ministry also demonstrates his commitment towards this QMS by defining roles, policy, allocating responsibilities and accountabilities, and delegating authorities to facilitate effective management of this QMS. All these are comprehensively presented under annexure-2, and are detailed throughout the QMS documentation Management Representative Secretary of the Ministry has appointed Shri D.N.Prasad, Advisor (Projects) as the Management Representative (MR) of the Ministry to undertake the responsibilities as given under clause of standard ISO 9001:2008 in addition to his existing responsibilities. Shri Peeyush Kumar, Director Technical (MoC) is nominated as Nodal Officer in Ministry to assist MR in taking the above apex controls, particularly towards controlling QMS documentation, internal auditing, performance monitoring, facilitating apex reviews, and liaison with external auditors & consultants on matters relating to this QMS Internal Communication Channels of routine communication are established. Means of communication are as follows, A. For downwards communication: - Methods like office orders, circulars, memos, notices, etc, as per the Ministry s procedures and practices. B. For upwards communication: - routine personal interactions and periodic formal/informal meetings. MR particularly ensures that the performance of QMS is regularly communicated to all within the Ministry. 5.6 MANEGEMENT REVIEW Secretary of the Ministry conducts review of this QMS once in every six months to A. Ensure continuing suitability, adequacy, and effectiveness of system functioning in the Ministry; B. Identify opportunities for improvement in the system.; and C. Assess the need for changes to the QMS, including quality policy and quality objectives Additional Secretary, All Joint Secretaries, MR and Nodal Officer (QMS), participate in these reviews. Any other person and/or body, if considered necessary by MR, are also called to participate in these reviews. The records of these reviews, including their inputs and related decisions, are maintained under the record 9.2.

18 Section 6: Page 1 SECTION 6.0: MANAGEMENT OF RESOURCES 6.1 PROVISION OF RESOURCES The Ministry determines and provides the resources that are needed to implement, maintain, and improve QMS, and those needed to enhance customer satisfaction. 6.2 HUMAN RESOURCE MANAGEMENT General Arrangement Only competent persons (in terms of minimum required education, experience, skills, and training) are deployed for different assignments in the Ministry, including those directly or indirectly affecting the conformity to service requirements. Section Officer (Establishment) maintains records of all manpower deployment for the Ministry Managing Competence, Training and Awareness A. The Ministry ensures that job requirements are met by all employees at the recruitment stage. Before any recruitment is done, a job description, including full competence criteria on which recruitment is based, is established. B. Where competence gaps are identified even after recruitment and/or after transfer from other departments of Govt of India, the Ministry provides the necessary training or takes other action when necessary. Where training is required, specific objectives are defined and training is provided. Department of Personnel & Training (DoPT) is ultimately responsible for arranging necessary training to employees of Ministry. C. The effectiveness of any actions taken to satisfy competency requirements is evaluated appropriately by the concerned controlling officers. D. The Section Officer (Establishment) maintains personnel records, including those of education, training, skills and experience through service book. E. Secretary of the Ministry makes all the persons aware about the relevance and importance of their activities, particularly towards achievement of quality objectives, by formal and informal communications. 6.3 INFRATRSUCTURE The infrastructures such as office buildings, work places & other support facilities are maintained centrally by C.P.W.D. Other infrastructures like PCs, printers, telephones, fax machines, air conditioners etc are maintained through AMC. Transport facilities is being looked after by Govt. transport division and regular housekeeping such as cleaning of the toilets, rooms etc are carried out by the General Administration Section of the Ministry. All these ensure that the defined maintenance activities are undertaken as per defined schedule. 6.4 WORK ENVIRONMENT The operation of the Ministry is mainly office based activities and hence suitable working atmosphere is assessed in the form of 1. Computerized central network 2. Air conditioning 3. Adequate lighting All concerned Section officers ensure that suitable work environment is maintained in their respective Sections by intimating the concerned Govt. agency through proper channel.

19 Section 7: Page 1 SECTION 7: SERVICE REALIZATION 7.1 PLANNING OF SERVICE REALIZATION 1. The Ministry has planned the operational processes to realize the delivery of its services to its customers. The planning and the consequent arrangement for their realization are in line with the organizational responsibilities and the quality objectives. The process flow for realization of the Ministry s Service profile (Ref sec 3.4) is given in the Ministry s official website at 2. The planning covers the operations of the Ministry as covered in the Scope of QMS. As essential set of outcome of the planning process the following are determined. a. Quality objectives b. Specific operational process sequences c. Inter linkages and section wise control d. Documents related to the process e. Software and online requirements f. Various checks, checklists and guidelines g. Records to be generated (both in soft as well as printed form) to demonstrate evidence of operational compliance as well as adherence to QMS. 7.2 CUSTOMER RELATED PROCESSES 1. The Ministry offers a vide variety of services to its customers of various categories. All the services are undertaken by the Ministry as per the laid down Governmental procedures, policies, norms, etc. 2. In light of the above various customer scenario and their varied requirements a formal review is impractical for each and every service of the individual customers. So the Ministry has determined the service requirements and service standards for of all the services of the Ministry once for all. These are available under the Ministry s official website at 3. Arrangements for communication with customers: a. For information regarding the Ministry s services: As described above, the Ministry has already uploaded the details of all its services and their standards in the Ministry s official website at b. For information relating to enquiries, contracts, and/or supply, including amendments: The Ministry has setup a Facilitation Counter for dissemination information to the customers regarding the queries related to the services required by them from the Ministry. c. For customer feedback, including complaints: A Standard Public Grievance and Staff Grievance procedure is in existence in the Ministry to deal with the feed back including complaints received from customers. An Officer of the rank of Director has been designated as Director (PG) in the Ministry to deal with the customer feedback, complaints and their redressal..

20 Section 7: Page DESIGN AND DEVELOPMENT The Ministry executes its services only through pre defined Governmental procedures, policies, norms, etc. Since the Ministry implements Governmental procedures, policies, norms, etc without any modifications at its end, this requirement has been excluded from this QMS. 7.4 PURCHASING Purchasing Process The purchasing in The Ministry is under the following broad categories. 1. Materials, i.e., consumables for the jobs like stationary, computer-consumables, hardware items like information processing facilities, toners etc are not directly purchased by the Ministry, but processed through Directorate General of Supply & Disposal (DGs&D), a centralized Govt agency on the basis of the requirements raised by the Ministry. These procurements are done from GOI approved, reputed suppliers as per the GOI norms, procedures and General Financial Rules. In some cases consumable goods is procured through open market also by tendering. The concerned Under Secretary provides the details/specification of materials required by his/her section. 2. Services, i.e., some services like house keeping, sanitation, maintenance of ICT infrastructure, Air Conditioners etc, are hired by Under Secretary General Administration through e-tendering. For all other procurements, the identification, evaluation, and empanelment of suppliers is done either for a specific tenure or on a case-to-case basis, in accordance with various rules/guidelines of GOI, Central Vigilance Commission, etc, which are a binding on the Ministry. Procurements from all the so selected suppliers are executed as explained below under sections and Purchasing Information The respective Undersecretaries ensure that the purchase orders issued for above purchases contain the following information 1. Name, specifications, and other technical details of the item, or service; 2. Financial, legal, and safety requirements, as appropriate; 3. Competence requirements of supplier s personnel, and equipment as applicable; 4. Arrangements for verification at the supplier s premises as necessary; 5. Quality management system requirements, if any; and 6. Method of release of the concerned purchased material, or service, delivery and post delivery activities The adequacy of the above purchase information is reviewed before issuance of purchase orders by the respective Directors/ Deputy Secretaries.

21 Section 7: Page Verification of Purchased Items On receipt of the ordered material or service, its verification is done as follows. 1. Materials: By the designated officer of the centralized Government agency who has procured the material. 2. Services: By the officer designated by the respective Directors/ Deputy Secretaries. Where the Ministry or its customer intends to perform verification at the supplier s premises, the related requirements are specifically stated in the concerned supply order. 7.5 SERVICE PROVISION Control of Service Provision The Ministry s various services are undertaken according to the laid down Governmental procedures, policies, norms, etc and pre determined processes flow. The process flow for various services of the Ministry is available under the Ministry s official website at This ensures the following controlled conditions a. Availability of information describing the characteristics of the service; b. Availability of operational instructions, norms, guidelines, etc, as necessary ; c. The use of suitable equipment ; d. The implementation of adequate monitoring activities; and e. Implementation of release, delivery and post-delivery activities Validation of Processes The services of the Ministry are undertaken according to the laid down governmental procedures, policies, norms, etc and hence there is no scope of process validation. In view of this, this requirement is excluded from the QMS Identification and Traceability The Ministry operations consist processing of a number files, noting, records, etc, each one of which is uniquely identified. Every processing is also uniquely identified by way of file number, subject, name of customer, etc. Traceability is made possible either through the existing file tracking system (FTS) or through the records retained in the concerned Section of the Ministry.

22 Section 7: Page Customer Property The Ministry exercises care with customer property while it is under its control or being used during service provision. This is done through the following A. Receipt of customer property by the concerned Section Officer. B. Reporting to customer in writing if it is lost, damaged, or otherwise found to be unsuitable for use by the respective Undersecretaries C. Proper identification, verification, protection, and safeguarding of customer property, when provided to the Ministry for use or incorporation into the Service by the respective Undersecretaries Note: Customer property in the Ministry primarily includes his/her personal data/information, documents, records, etc Preservation The background papers, information, documents, records, etc related to matters of the customers are all very critical to the Ministry s operation. All the above that are in hard copy are stored in a secured and safe place prior to their further processing. The electronic copies of all these are preserved if required on the removable media with a back-up copy on hard drive of an identified computer having a password protection system. 7.6 CONTROL OF MONITORING EQUIPMENT In light of the Ministry s QMS scope of operation no equipment is needed or used for monitoring and measuring any parameter during operation. Therefore, this requirement is not addressed and excluded from the QMS.

23 Section 8: Page MESUREMENT, ANAYSIS AND IMPROVEMENT 8.1 GENERAL ARRANGEMENTS The following processes are specially planned in the Ministry A. Processes for demonstrating the conformity of services offered by the Ministry to its customers according to the acceptance criteria mentioned under its service standards available at the Ministry s official website at B. Processes for ensuring conformity of the QMS, at the time of audit planning refer section 8.2.2; and C. Processes for Continual improvement in the effectiveness of QMS, at the time of deciding Corrective actions and preventive actions 8.2 MONITORING AND MESUREMENT Customer Satisfaction The customers of the Ministry have varied expectations from the Ministry. The level and degree of satisfaction of the customers are monitored by direct interaction with them by the concerned functionaries at various levels. This is done through formal and informal correspondence and the information relating to the possible customer dissatisfaction is perceived at this level. Any such event is registered online on the web site of the Ministry or in the customer complaint register maintained with the MR. Subsequently; such entries are evaluated to find out the customer satisfaction as an important outcome of the Ministry s operation Internal Audits Internal audits are planned and conducted in the Ministry at least twice a calendar year to determine whether A. the QMS conforms to planned arrangements as described under section 7.1; B. the QMS conforms to the requirements under standard ISO 9001:2008 and C. The QMS is effectively implemented and maintained in the Ministry. Effectiveness of such internal audits is ensured through the following. A. Planning of the internal audits by the MR keeping in view the following 1. Scope and criteria of the audit 2. Dates & duration of the audit 3. Auditor s selection from among the team of internal auditors to conduct audits in the Ministry. 4. Results of previous audits 5. Methodology of the audit in the form of structured audit checklist While making audit-plans as above, suitable consideration is given to the following. a. Results of previous audit. b. Status and importance of processes and functions to be audited.

24 Section 8: Page 2 B. Announcement of the audit by the MR through the audit plan containing all required details for internal audit. C. Conducting the audits by the Lead Auditor, strictly as per the planned arrangement, through selected auditors such that no auditor audits his own work, and submitting all audit findings/notes to MR for their comprehensive reporting as at D below D. Reporting the audit results by MR, comprehensively for the entire audit through Internal Audit Report under record format 9.3 to all concerned based on inputs provided by Lead Auditor, along with the decided Corrections, Corrective Actions, and Preventive Actions as per procedure under section E. Reporting the outcome of follow up audits by Lead Auditor, for review to MR within 30 days of initial audit under Internal Audit Report, after verifying the completion and effectiveness of the decided actions. F. Deciding the agenda for management review by MR, based on the above completed audit report Monitoring of QMS Processes The QMS processes are monitored thorough periodic internal audits as above. When planned results are not found to be achieved, the Secretary of the Ministry specially assesses their impact on the Ministry s services and then decides the necessary Corrections and Corrective actions according to the procedure to ensure their conformity Monitoring of Services The output of the Ministry is in the form of different services to various customers. Therefore, the measurement is for certain service factors or some processing time is measured at appropriate stages of the process chain. The service delivery is done only when the planned arrangements and stipulated checks are satisfactorily completed. 8.3 CONTROL OF NONCONFORMING SERVICES Nonconformities in the Ministry are detected either during verification at the hold points (refer section 8.2.4), or during the internal audits (refer section 8.2.2) and only in the form of documents not fit for further passage/dispatch/processing. Nonconformities are recorded appropriately and handled through the following procedure. A. Suitable marking of nonconformities by the concerned dealing officer to prevent their unintended use, delivery or further processing B. Deciding actions on the Nonconformity by the concerned Under Secretary as following 1. Rework to eliminate the detected Nonconformity 2. Authorizing its further processing after obtaining the approval of Competent Authority 3. Recall the concerned documents related to the delivered service with specific instructions C. Deciding Corrective Actions and Preventive Actions by the concerned Director / Deputy Secretary, considering the potential effects of the Nonconformity. D. Monitoring of the implementation of decided actions by the concerned Director / Deputy Secretary

25 Section 8: Page DATA ANALYSIS MR analyses the identified data to, 1. Demonstrate the suitability and effectiveness of QMS; and 2. Evaluate the areas for Continual improvements in the effectiveness of QMS. The data identified for this purpose are audit reports, customer feedback, and achievements against quality objectives (Section 5.4.1). This provides the information relating to, A. Performance against quality objectives; B. Customer satisfaction; C. Conformity to Service Requirements; D. Performance of processes; E. Performance of suppliers; and F. Performance against various services as mentioned under section IMPROVEMENT Continual Improvement Continual improvement in the effectiveness of QMS is ensured through the following. A. Implementation of actions emerging through the review of achievements towards quality objectives, audit results, data analysis, and Corrective Actions and Preventive Actions; and B. Review of the above during management reviews, implementation of the actions decided there, and their further review by top management (refer section 5.6) Corrective Action and Preventive Actions Corrective Actions and/or Preventive Actions required to eliminate the causes of existing and/or potential Nonconformities are undertaken in the Ministry through the following procedure.

26 Section 8: Page 4 A. Identification and review of Nonconformities found through the following by Under Secretaries a. Customer complaints (section 8.2.1); b. Internal audit reports (section 8.2.2); c. Assessment of Nonconforming Services (section 8.3); and d. Results/outputs of data analysis (section 8.4) B. Ensuring required actions on identified/reported Nonconformities as follows, by MR for internal audits) and Director / Deputy Secretaries (for all others) a. Deciding Corrections on Nonconformities; b. Communicating above decided Corrections to related persons for their implementation; c. Recording the Nonconformity and Corrections 1. On the concerned Internal Audit Report, or 2. On the back-page of the other concerned record, or 3. Through separate note/memo (e.g. for A. a above); d. Determining root cause of every Nonconformity by assessing the following possibilities 1. Deficiency of procedures/instructions, 2. Deficiency of awareness/understanding or commitment, 3. Deficiency in system implementation, 4. Deficiency of resources, 5. Deficiency of purchased materials/services, and 6. Freak; e. Evaluating the need for undertaking Corrective Actions which are appropriate to the above identified root cause, magnitude of problem, nature of Nonconformity and its overall impact; f. If considered necessary through e above, deciding suitable Corrective Actions with specific responsibilities and time frame; g. Determining the possibility of potential Nonconformities and need for Preventive Actions in other areas/functions on considerations same as at e above; h. If considered necessary through g above, deciding suitable Preventive Actions with specific responsibilities and time frame; and i. Arranging adequate resources appropriate to the nature and severity of the identified/ reported Nonconformity. C. Reviewing effectiveness of undertaken Corrective Actions and Preventive Actions, and ensure recording of the follow-up results under the concerned record by MR for internal audits and Director / Deputy Secretary for others