1. ISO 14001 : 2015 Update By Paul Ingram, BSI Tutor
As I said earlier – the main change to both of these standards relates to the new structure, which brings with it new focus on leadership and risk in both standards. Let’s look very quickly at a few specifics relating to ISO
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2. Agenda Annex SL/High level Structure
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Annex SL/High level Structure
An overview of the main changes to ISO : 2015
Latest timelines from ISO
I’m going to begin by giving you a very quick introduction to why the standards are changing – before taking you through an overview of the new high level structure also known as Annex SL.
We’ll then look a couple of the key expected changes within both ISO 9001 and and finally the support that we will be providing to our customers to help them through this process.
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3. So, what’s new? Three key areas of change; The emphasis on leadership.
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Three key areas of change;
The emphasis on leadership.
A consistent approach across management systems.
The focus on risk prevention.
So – with all that in mind, how will the revision support businesses in consistently meeting customer expectations? There are 3 key areas which we believe will have a significant impact.
The first is the emphasis on leadership, the second is a new common shape for all standards and finally, it’s about understanding the risks and challenges which may impact on your organizations ability to meet customer requirements and taking a preventative approach.
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4. Benefits
It will provide an overall management system framework, common terms and definitions
Will save time during implementation
Will make it easier to integrate more than one management system
Reduce conflicts,
Duplication and
miss-understanding
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So what are the benefits of Annex SL?
To begin with, before a standard is even published, you will have an understanding of the core elements. This will save time during implementation and make it easier for those of you with multiple management systems to integrate and consolidate some of your processes and the management of your systems. It will also reduce duplication, conflict and confusion often associated with different standards.
In future all ISO management system standards should be consistent and compatible.
Annex SL harmonizes structure, text and terms and definitions, while leaving the standards developers with the flexibility to integrate their specific technical topics and requirements.
The high level structure (i.e. major clause numbers and titles) cannot be changed, however sub-clauses can be added. Discipline-specific text can be added.
In addition, when you look at the clauses within the new structure, hopefully you will be able to see how it can support you in making sure your management systems are aligned with the needs of your organization which is where, in our experience, businesses get the most value from their management systems.
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5. Common terms and definitions
Organization
Documented information
Interested party
Process
Management system
Outsource
Top management
Corrective action
Risk
Continual Improvement
As mentioned earlier, one of the benefits of this structure are common terms and definitions. Those of you involved in implementing your existing systems may be familiar with some of these.
For example, top management is already in the existing standards but ‘documented information’ is a new definition in the standard.
So this means information which is required to be controlled and maintained in an organization and this includes the requirements in previous standards for records and documents.
3.23 involvement
3.56 feedback
3.25 function
3.58 complaint
3.35 strategy
3.66 performance indicator
3.36 object
3.67 determination
3.38 statutory requirement
3.39 regulatory requirement
3.42 innovation
3.46 output
3.48 service
3.49 data
3.52 information system
Terms that were defined but are now different to 9000:
3.26 customer
3.57 customer satisfaction
3.27 supplier/provider
3.60 audit criteria
3.30 quality management
3.6.3 concession
3.33 quality management system
3.68 review
3.34 quality policy
3.37 quality
3.41 traceability
3.44 design and development
3.45 quality objective
3.47 product

6. The new high level structure
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The new high level structure
There are many management system standards – obviously the standards that I’m here to talk to you about today, but then lots of others such as ISO for information security, iso for anti-bribery and BS for Collaborative working relationships.
Historically, these standards have come in many different shapes and formats which has been challenging for the creators of the standards but then also for those implementing the management systems.
A few years ago, a committee decided to create a guidance document for writing management system standards. This is what is known now as the new high level structure or Annex SL and this is the framework for all new and revised ISO management system standards.
The new structure provides common terms and definitions and a core set of requirements. So all ISO standards will now look the same, but the framework allows for the application of specific disciplines, depending on the topic of the management system.
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7. HLS and additional/changed “EMS” Structure4
Context of organization 5
Leadership 6
Planning 7
Support 8
Operation 9
Performance Evaluation 10
Improvement
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4.1 Understanding organization and its context
5.1
Leadership and Commitment
6.1
Actions to address
risk‘s’ and opportunities
7.1
Resources
8.1 Operational planning and control
9.1 Monitoring, measurement, analysis and evaluation
10.1
General
5.2
Environmental
Policy
Slide coming up
9.1.2
Evaluation of
Compliance
9.1.1
General
See
next
slide
10.2
Nonconformity and corrective action
4.2 Understanding the needs and expectations of interested parties
6.1.2
Environmental
Aspects
5.2
Policy
5.3 Organizational roles, responsibilities and authorities
7.2 Competence
10.3
Continual improvement
6.1.3
Compliance
Obligations
4.3 Determining the scope of the EMS
9.2
Internal audit
9.3 Management review
7.3
Awareness
4.4
EMS
System
6.1.4
Planning
Action
7.4 Communication
Clause 7 see next slide.
Clause 8 see slide coming up.
7.5
Documented information
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8. HLS and additional “QMS” Structure: clause 7
7 Support
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7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
7.1.4 Environment for the operation of processes
7.1.5 Monitoring and measuring resources
7.1.2
People
7.1.3 Infrastructure
7.1.6 Organizational knowledge
7.1.1
General
General
Measurement traceability
Clause 7 – Support.
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9. 7.5 Documented information
HLS and additional “EMS” Structure: clause 7
7 Support
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7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
Clause 7 – Support.
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10. HLS and additional “QMS” Structure: clause 8
8 Operation
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8.1 Operational planning and control
8.3 Design and development of products and services
8.4 Control of externally provided processes, products and services
8.5 Production and service provision
8.6 Release of products and services
8.7 Control of nonconforming outputs
8.2 Requirements for products and services
8.3.1 General
8.5.1 Control of production and service provision
8.2.1 Customer communication
8.3.2 Design and development planning
8.4.1 General
8.5.2 Identification and traceability
8.2.2 Determining the requirements for products and services
8.3.3 Design and development inputs
8.4.2 Type and extent of control
8.5.3 Property belonging to customers or external providers
8.2.3 Review of requirements for products and services
8.3.4 Design and development controls
8.4.3 Information for external providers
8.5.4 Preservation
8.2.4 Changes to requirements for products and services
8.3.5 Design and development outputs
8.5.5 Post-delivery activities
Clause 8 – Operation.
8.3.6 Design and development changes
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8.5.6 Control of changes
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11. HLS and additional “EMS” Structure: clause 8
8 Operation
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8.1 Operational planning and control
8.2 Emergency preparedness and response.
Clause 8 – Operation.
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12. Identical Core Text and Numbering Schemes
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Scope
Normative references
Terms and definitions
So let’s move on to the remaining clauses. Context of the organization is new and it’s all about knowing and understanding the business environment that you are operating in. I mentioned earlier a focus on risk prevention in the new standards.
Well the reason that context of the organization is so important is because a business needs to be able to respond quickly to any risks identified in that environment, and opportunities also. The business landscape in many organizations can often change rapidly and you must be continually looking out to that landscape to see what is changing and how this might affect you.
Something you would do here is to identify and consider the needs and expectations of all interested parties – so what they need in relation to the purpose of the standard – you then need to understand any potential issues which may impact your organization either positively or negatively. For example, you might want to take a PESTLE approach – political, economic, sociological, technological, legal, environmental.
So, who are your interested parties? If we use the example of a quality management systems in a hospital – who might the organization need to consider at this point??
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13. Identical Core Text and Numbering Schemes
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Scope
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the XXX MS
4.4 XXX management system
Context of the organization
So let’s move on to the remaining clauses. Context of the organization is new and it’s all about knowing and understanding the business environment that you are operating in. I mentioned earlier a focus on risk prevention in the new standards.
Well the reason that context of the organization is so important is because a business needs to be able to respond quickly to any risks identified in that environment, and opportunities also. The business landscape in many organizations can often change rapidly and you must be continually looking out to that landscape to see what is changing and how this might affect you.
Something you would do here is to identify and consider the needs and expectations of all interested parties – so what they need in relation to the purpose of the standard – you then need to understand any potential issues which may impact your organization either positively or negatively. For example, you might want to take a PESTLE approach – political, economic, sociological, technological, legal, environmental.
So, who are your interested parties? If we use the example of a quality management systems in a hospital – who might the organization need to consider at this point??
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14. Identical Core Text and Numbering Schemes
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Scope
5.1 Leadership and commitment
5.2 Policy
5.3 Organizational roles, responsibilities and authorities
6.1 Actions to address risks and opportunities
6.2 XXX objectives and planning to achieve them
Leadership
Planning
Moving onto clause 5 – this is all about leadership.
One thing we observe from many of our clients is that standards perform better – they drive more value - when they are aligned to the business strategies of an organization and therefore the role of top management in their deployment is key.
So what do we mean by that? All organizations have direction and strategy - could be growth, customer retention. It might mean diversification into new markets or business activities - the management system should support that strategy and not be separate. It’s a business improvement tool.
Management systems work better if they are embedded in an organization and this is one of the things that this clause is trying to achieve.
The term ‘top management’ relates to a person or group of people who direct or control at the highest level in the organization - and relates to the scope of your management system standards.
For those already familiar with the term management representative, this has now been removed from the standard and this is to ensure that the responsibility is shared and understood across the organization and doesn’t just sit with one person in the business – for example, the person responsible for day to day maintenance of your management system.
Clause 6 is about identifying risks and opportunities - so you would use the info from Clause 4 in relation to the context of org and the potential impacts on your business to identify these risks and opportunities. Risk based thinking runs through the whole high level structure and all the relevant standards.
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15. Identical Core Text and Numbering Schemes
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Scope
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
Support
Section 7 looks at all the support elements in the standard and some of these may already be familiar to you. For example - in previous standards you might recognise the importance of communication and awareness, but the new high level structure takes this a step further.
We now talk about engaging people relevant to your business – this is important because we’ve seen that in high performing orgs, employees are engaged. But it’s not just about employees, this could relate to suppliers and sub-contractors.
It’s really important that managers engage people in the organization so they understand their contribution to the management system and what it’s trying to achieve.
You may also notice that some of the elements of this standard are less prescriptive and an example of this is documented information is one of these requirements.
It is the responsibility of the organization to identify what documentation you need to support the operation of your processes and also to have the confidence that these processes are being carried out as planned.
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16. Identical Core Text and Numbering Schemes
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8.1 Operational planning and control
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.3 Management review
10.1 Nonconformity and corrective action
10.2 Continual improvement
Operation
Performance evaluation
Improvement
Won’t spend time on clause 8 because it differs greatly from standard to standard and you’ll see a lot of sub clauses added depending on topic.
Let’s move on to clause 9 which looks at performance evaluation. This focuses on the output of what you’re doing with this information. For example, what you should be monitoring and measuring, also the methods you use and when you should measure and monitor.
Also when you should analyse and evaluate this info. Also includes requirements for internal audit and management review, which I’m sure you’re already familiar with.
And finally, clause 10 is all about improvement and breaks down the requirements for correction and corrective action. This has been a problem in the past. It’s also worth reminding ourselves about the definition of continual improvement. It’s a reoccurring activity to enhance performance.
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17. PLAN ACT CHECK DO Identical Core Text Scope Support 10 Improvement
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Scope
PLAN
ACT
10 Improvement
5 Leadership
6 Planning
Support
4 Context of the Organization
9 Performance Evaluation
7 Support
CHECK DO
8 Operation
Are you all familiar with the Plan, Do, Check, Act model?
The proposed standards don’t contain this as the current versions do, but it hasn’t disappeared.
The high level structure and all of the standards are still based on the pdca model.
You can see here how it relates throughout the standard - e.g. cl 5 and 6 planning, 7 and 8, doing, 9 is checking and 10 is act.
However, it’s important to understand that you should now be applying this approach to all the processes within the standard. So for example, your management review process, you should be planning that, carrying out your management review, checking effectiveness and then take any actions to improve.
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18. Areas of change Leadership Documented Information Risk
Continual Improvement
Interested Parties
Processes
Life Cycle
Key areas of changes – you’ll recognise most of these from the high level structure that we’ve just covered off but if you remember, I mentioned that this structure has the flexibility to work effectively for different types of management systems.
Within leadership and also context of the organization, you will be considering those risks and opportunities that may have a positive or negative impact on the environment.
You’ll also find greater emphasis on the integration of your management system with the strategic direction of the business.
Here you will also find enhanced planning – again so that we can manage the risks associated with threats and opportunities. If we consider there to be a potential risk that we then don’t manage, it could lead to a negative impact on the environment and this could result in legal non-compliance but it could also relate to upsetting neighbours / customers or even prosecution.
Preventive action has often been misunderstood and it really means identifying potential threats and how to manage this – this has now been replaced in the new standard by risk.
Processes are now much more explicit within the organizational structure within the management system. Not just the processes themselves but process management activities - how we identify resources for those activities, how we consider the required inputs and outputs for those processes in order to identify the chain of events to reduce negative aspects and increase positive impacts on the environment.
You can also see the lifecycle perspective has now been included - this has allowed us to focus on a whole journey of a product or service with the aim of reducing negative impacts on the environment. It doesn’t mean we have to do a lifecycle analysis on everything but we do need to identify those that have a journey, that is within our control where we can manage and reduce the impact on environment.
We also have a common term relating to documented information. If you look in current 14K this is in the form of records and procedures. In the new versions, only one reference to procedure, everything is about processes. This doesn’t mean to say there is no requirement to keep records – that’s up to you. What do you need to support your business operations? Customers will require them, legislation will require them and your businesses will require them so they will need to be maintained to demonstrate compliance and expectations.

19. What’s next? Attend webinars Download Whitepapers
Fact find
Attend webinars
Download Whitepapers
Awareness
Download internal communications pack
Consider training needs
Implement
Implementation toolkit
Gap Assessment
Support
Contact BSI
So what’s next. The planning process at BSI has begun and we are speaking with all of our clients to help them plan their transitions and to ensure that the process is complete before the transition period ends. Remember the deadline is September this year!
How can we support you in the meantime, to prepare your business?

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Scope
Support
Section 7 looks at all the support elements in the standard and some of these may already be familiar to you. For example - in previous standards you might recognise the importance of communication and awareness, but the new high level structure takes this a step further.
We now talk about engaging people relevant to your business – this is important because we’ve seen that in high performing orgs, employees are engaged. But it’s not just about employees, this could relate to suppliers and sub-contractors.
It’s really important that managers engage people in the organization so they understand their contribution to the management system and what it’s trying to achieve.
You may also notice that some of the elements of this standard are less prescriptive and an example of this is documented information is one of these requirements.
It is the responsibility of the organization to identify what documentation you need to support the operation of your processes and also to have the confidence that these processes are being carried out as planned.
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21. some final thoughts… Copyright © 2018 BSI. All rights reserved
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22. The average cruise liner emits the equivalent of 1 millions cars worth of CO2 per day of travel…
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23. The A380 passenger jet emits the equivalent of 2500 cars worth of CO2 per 8 hours of travel…
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24. 22/11/2018 Now its your turn………………………
Finally we will be running our 3rd ISO Revisions update on the 27th May which will focus on How Training can help your business
and what is going to be the difference for your Leadership team?
We will send you registration details for this shortly.
Thank you for attending this webinar and should you have any further questions or comments then please contact me on
22/11/2018

25. Copyright © 2018 BSI. All rights reserved
22/11/2018