How Many Business Management Systems do we Need?

Hunterston A, 26 September 2012

The new ISO standard

Standard Template
Graham Watson
Integre Ltd.

Outline

Background to Annex SL
ISO/IEC directives
TMB and TMB decision
What changes will Annex SL bring about
Other Management System Standards

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ISO/IEC Directives, Part 1

Consolidated ISO Supplement Procedures
specific to ISO
Annex SL (normative)
Proposals for management system standards
Appendix 3 (normative)
High level structure, identical core text, common terms
and core definitions
(Formerly Guide 83)

Background
Management system standards developed by
Technical Committees, Sub-committees or
Project committees
Lack of common structure
TMB directs TCs to make them compatible
Little/slow progress
JTCG formed
JTCG expanded and directed to develop high
level structure and core terminology
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Management system models

ISO 9001

ISO 14001

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ISO 14001 clone

Joint Technical Coordination Group (JTCG)

Originally set up to coordinate compatibility

between ISO 9001 and ISO 14001
Comprises chairs and secretaries of
management system Technical Committees
Developed high level structure for all MSS (as
Guide 83)

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ISO TMB Terms of Reference (extract)

To examine proposals for new fields of ISO technical activity,
and to decide on all matters concerning the establishment
and dissolution of technical committees.
To keep the ISO/IEC Directives for the technical work under
review, to examine and coordinate all proposals for
amendments and to approve appropriate revisions.
To act on the following matters:
monitoring of the work of technical committees and project
management requirements;
approval of titles, scopes and programmes of work of individual
technical committees;

They must be obeyed!

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TMB decisions (February 2012)

TECHNICAL MANAGEMENT BOARD RESOLUTION 18/2012
Final draft High Level Structure and identical text for MSS and common MS terms and core
definitions
The Technical Management Board,
Notes the recommendations contained in the Joint Technical Coordination Group (JTCG)
report and the proposed revised draft of the High Level Structure and identical text for MSS
and common MS terms and core definitions (JTCG N316),
Further notes that the proposed document includes proposals on the applicability and
flexibility of its implementation,
Decides that any future MSS (new and revisions) shall, in principle, follow the structure and
guidance included in this document (JTCG N316) but decides to permit deviations on the
condition that these are reported to the TMB, with detailed rationale,
Further decides that this will be reviewed by the TMB after one year,
Requests the DMT to incorporate the above document in the revised Annex SL (including the
revised Guide 72 and the current JTCG N316 "High Level Structure and identical text for MSS
and common MS terms and core definitions"),
Thanks the JTCG for its work, and
Decides to revise the mandate of the JTCG to: provide the TMB and technical committees
with information on the development of ISO MSS.

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Aims of Annex SL
To enhance the consistency and alignment of ISO management
system standards by providing
a unifying and agreed high level structure,
identical core text and common terms and core definitions.

All ISO management system requirements standards are aligned

and the compatibility of these standards is enhanced.
Individual management systems standard will add additional
discipline-specific requirements as required.
This common approach to new management system standards and
future revisions of existing standards will increase the value of such
standards to users.
It will be particularly useful for those organizations that choose to
operate a single (sometimes called integrated) management
system that can meet the requirements of two or more
management system standards simultaneously.
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Annex SL High Level Structure

Introduction
1. Scope
2. Normative references
3. Terms and definition
4. Context of the organization
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 management
system
4.4 XXX management system
5. Leadership
5.1 Leadership and commitment
5.2 Policy
5.3 Organization roles, responsibilities and
authorities
6. Planning
6.1 Actions to address risks and opportunities
6.2 XXX objectives and planning to achieve them

7. Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of documented information

8. Operation
8.1 Operational planning and control
9. Performance evaluation
9.1 Monitoring, measurement, analysis and
evaluation
9.2 Internal audit
9.3 Management review
10. Improvement
10.1 Nonconformity and corrective action
10.2 Continual improvement

All new or revised ISO management system standards will look like this
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Annex SL Common Terms

organization
interested party (preferred term)
stakeholder (admitted term)
requirement
management system
top management
effectiveness
policy
objective
risk
competence
documented information

process
performance
outsource (verb)
monitoring
measurement
audit
conformity
nonconformity
correction
corrective action
continual improvement

All new or revised ISO management system standards will use these defined terms
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Rules - Use
ISO management system standards include the high
level structure and identical core text as found in
Appendix 3 to this Annex SL.
The common terms and core definitions are either
included or normatively reference an international
standard where they are included.
The high level structure includes the main clauses
(1 to 10) and their titles, in a fixed sequence.
The identical core text includes numbered subclauses (and their titles) as well as text within the
sub-clauses.
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Rules Non applicability

If due to exceptional circumstances the high level
structure or any of the identical core text, common
terms and core definitions cannot be applied in a
discipline-specific management system standard
then the TC/PC/SC needs to notify ISO/TMB through
the ISO/TMB Secretary at tmb@iso.org of the
rationale for this and make it available for review by
ISO/TMB.
TC/PC/SC strive to avoid any non-applicability of the
high level structure or any of the identical core text,
common terms and core definitions.
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Rules Discipline-specific management

system standards

Discipline-specific text does not affect harmonization or contradict or undermine the intent
of the high level structure, identical core text, common terms and core definitions.
Insert additional sub-clauses, or sub-sub-clauses (etc.) either ahead of an identical text subclause (or sub-sub-clause etc.), or after such a sub-clause (etc.) and renumbered accordingly.
Examples of additions include:

new bullet points

discipline-specific explanatory text (e.g. Notes or Examples), in order to clarify requirements
discipline-specific new paragraphs to sub-clauses (etc.) within the identical text
adding text that enhances the existing requirements in Appendix 3 to this Annex SL

Avoid repeating requirements between identical core text and discipline-specific text.
Distinguish between discipline-specific text and identical core text from the start of the
drafting process. This aids identification of the different types of text during the development
and balloting stages.
Understanding of the concept of risk may be more specific than that given in the definition
under 3.09 of Appendix 3 to this Annex SL. In this case a discipline-specific definition may be
needed. The discipline-specific terms and definitions are differentiated from the core
definition, e.g. (XXX) risk .
Common terms and core definitions will be integrated into the listing of terms and definitions
in the discipline-specific management system standard consistent with the concept system of
that standard.

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So what will be new?

Some examples
Context of the organization
No preventive action

Documented information
Risk

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Changes (1) - Context of the organization

4. Context of the organization
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant
to its purpose and that affect its ability to achieve the intended outcome(s) of its
XXX management system.

6. Planning
6.1 Actions to address risks and opportunities
When planning for the XXX management system, the organization shall
consider the issues referred to in 4.1 and the requirements referred to in 4.2
and determine the risks and opportunities that need to be addressed to
- assure the XXX management system can achieve its intended outcome(s)
- prevent, or reduce, undesired effects
- achieve continual improvement.

This replaces preventive action

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Changes (2) - Documented information

documented information

information required to be controlled and maintained by an organization

(3.01) 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
the management system (3.04), including related processes (3.12);
information created in order for the organization to operate (documentation);
evidence of results achieved (records).

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Changes (2) - Documented information

7.5 Documented information

7.5.1 General
The organizations XXX management system shall include
- documented information required by this International Standard
- documented information determined by the organization as being necessary for the effectiveness of the XXX
management system.

7.5.2 Creating and updating

When creating and updating documented information the organization shall ensure appropriate
- identification and description (e.g. a title, date, author, or reference number)
- format (e.g. language, software version, graphics) and media (e.g. paper, electronic)
- review and approval for suitability and adequacy.

7.5.3 Control of documented information

Documented information required by the XXX management system and by this International Standard shall be
controlled to ensure
- it is available and suitable for use, where and when it is needed
- it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).
For the control of documented information, the organization shall address the following activities, as applicable
- distribution, access, retrieval and use,
- storage and preservation, including preservation of legibility
- control of changes (e.g. version control)
- retention and disposition
Documented information of external origin determined by the organization to be necessary for the planning and
operation of the XXX management system shall be identified as appropriate, and controlled.
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Changes (3) - Risk

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 (ISO
Guide 73, 3.5.1.3) and consequences (ISO Guide 73, 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 (ISO Guide 73, 3.6.1.1) of occurrence.

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Risk - ISO 31000:2009

risk
effect of uncertainty on objectives
NOTE 1 An effect is a deviation from the expected positive and/or negative.
NOTE 2 Objectives can have different aspects (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 Risk is often characterized by reference to potential events (2.17)
and consequences (2.18), or a combination of these.
NOTE 4 Risk is often expressed in terms of a combination of the
consequences of an event (including changes in circumstances) and the
associated likelihood (2.19) of occurrence.
NOTE 5 Uncertainty is the state, even partial, of deficiency of information
related to, understanding or knowledge of an event, its consequence, or
likelihood.
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Changes (3) - Risk

6. Planning
6.1 Actions to address risks and opportunities
When planning for the XXX management system, the organization shall
consider the issues referred to in 4.1 and the requirements referred to in 4.2
and determine the risks and opportunities that need to be addressed to
- assure the XXX management system can achieve its intended outcome(s)
- prevent, or reduce, undesired effects
- achieve continual improvement.
The organization shall plan:
a) actions to address these risks and opportunities, and
b) how to
- integrate and implement the actions into its XXX management system
processes
- evaluate the effectiveness of these actions.
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Standards using Annex SL

Published
ISO 22301 - Business continuity management
ISO 20121 - Event sustainability management

FDIS
ISO 39001 - Road Traffic Safety management
Work ongoing
ISO 9001 - Quality management
ISO 14001 - Environmental management
ISO 27001 - Information security management
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The new ISO standard

Standard Template
Thank you for your attention

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