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• ISO 14001 – 15 years of progress?
• New generic structure for ISO 14001 likely
• ISO votes for 14001 revision

At the first meeting of the working group established to revise ISO 14001, the environment management systems standard, it was agreed to structure the new version around ISO’s recently launched high-level structure for management system standards.  The new structure will mean a significant change to the existing standard which was published in 2004.

Martin Baxter, IEMA’s executive director of policy and the UK’s nationally appointed expert to the working group, said:  “The new structure includes some important new elements which will help to elevate the status and importance of environment management in organisations to a more strategic level, whilst retaining the operational strength that ISO 14001 has typically been built around.”

Following a series of workshops with practitioners across the UK and Ireland, IEMA confirms that there is strong support for the new structure.

“It will help organisations to better integrate environment management into the core parts of their business, rather than being treated as an isolated bolt-on,” said Baxter.

“With are more than 250,000 users in 155 countries worldwide, and with the new version of ISO 14001 likely to be in use well into the mid-2020s, it is essential to develop a standard that enables organisations to meet future environmental challenges, rather than simply trying to solve existing problems.”

The decision to use the new structure follows ISO’s long-standing attempts to develop a harmonised, common framework for all its management system standards, which include ISO 9001, on quality management systems, and ISO 27001, for IT security.

Following a ballot in 2011, those developing new, or revising existing standards, have been mandated to use the new structure.

The working group revising 14001 met for the first time in Berlin for a three-day meeting on 22 February and began the process of integrating the existing standard into the new structure, and identifying key issues that will need to be worked through in future sessions.  These include 24 key recommendations from an international study group, which reported in 2010 on the future challenges for environment management systems.

The working group will next meet in Bangkok, Thailand at the end of June 2012.

It has already been decided that ISO 14001 will adopt the new structure so over the next few years it is probable that ISO 9001, and other standards including ISO 13485, will follow suit.

How can one standard structure fit all systems?

The new guidance document can be downloaded here.   The structure is organised as follows:

• Determination of the needs of interested parties
• Leadership
• Planning
• Support/Resources
• Operation
• Performance Evaluation
• Improvement

So although this is very generic, it represents a natural progression from the Plan-Do-Check-Act structure that has been written into standards over the last 10 years.

The roll out of the new structure will take a number of years to complete but if you are planning to integrate a set of management systems or planning a major revision to your system manual, it may be worth adopting the new structure to get a head start on any future revisions.

Responses were made across a representative selection of organisational sizes and from manufacturing, service and other sectors.

One of the key outcomes of the survey was an indication as to how users wanted the standard to develop over the coming years.   We have included the outcome of the response to the main questions on preferred changes as follows:

Question: Which of the following options would you prefer for the future of ISO 9001?

Option A - Leave ISO 9001 unchanged, i.e., re-confirm “as is” for a further five years.

• Positive : 43%
• Negative : 48%
• Neutral : 9%

Option B - Revise ISO 9001 based on the suggestions for change arising from this survey, and produce one revised ISO 9001 standard where all requirements remain equally mandatory.

• Positive : 53%
• Negative : 35%
• Neutral : 12%

Option C - Leave ISO 9001:2008 unchanged, but also develop another standard with an enhanced (higher level) set of QMS requirements for sustained success that could be used for certification.

• Positive : 25%
• Negative : 65%
• Neutral : 10%

Option D - Leave ISO 9001:2008 unchanged, but also develop another standard with a reduced (lighter version) set of requirements that could be used for certification of organizations providing low-risk products.

• Positive : 24%
• Negative : 67%
• Neutral : 9%

Option E - Replace ISO 9001:2008 with a series of three documents (QMS 1, QMS 2, QMS 3) with higher, middle, and lower sets of requirements that could be used for certification depending on the risk and criticality associated with the organization’s products.

• Positive : 26%
• Negative : 66%
• Neutral : 8%

Option F - Replace ISO 9001:2008 with a single standard to include a much broader range of higher and lower sets of requirements, allowing organizations a greater choice depending on risk and criticality associated with the organization’s products.

• Positive : 41%
• Negative : 49%
• Neutral : 10%

Option G - Replace ISO 9001:2008 with a single standard to include a full range of higher, middle, and lower sets of requirements, with points-based maturity assessment.

• Positive : 44%
• Negative : 47%
• Neutral : 9%

Question: How important is it to incorporate the following concepts into ISO 9001?   (Multiple response question)

• Resource management: 75%
• Voice of customers: 74%
• Measures (e.g., performance, satisfaction, return on investment): 72%
• Knowledge management: 72%
• Integration of risk management: 73%
• Systematic problem solving and learning: 73%
• Self-assessment tool: 71%
• Strategic planning: 68%
• Innovation: 65%
• Use of technology to develop and implement requirements: 63%
• Life cycle management: 62%
• Use of technology to run your business: 61%
• Financial resources of the organization: 55%
• Supporting quality tools (e.g., Six Sigma): 55%

Our survey says…

So in summary, users believe ISO 9001 is an effective quality management standard and with enhancements will remain relevant in the future.   Many respondents suggested that, while major changes are not required, improvements could be made to address the ever changing global and business requirements to ensure ISO 9001 remains relevant.

A number of respondents also criticized the way in which ISO 9001 was implemented and recommended better application guidance.

The survey results will provide significant input to the ISO committee’s review process and help determine proposed changes for any revisions of ISO 9001 in the future.

Six Sigma was originally developed by Motorola in the 1980s with the goal of process improvement.    A six sigma process is one in which 99.99966% of the products manufactured are statistically expected to be free of defects (3.4 defects per million).

Today, the methodology is applied in many organizations for all types of process and services in order to:

• Drive process improvement and make statistically based decisions
• Measure business results with a level of reliance
• Prepare for uncertainty
• Combine high returns and benefits in the short, medium, and long-term
• Remove waste, defects, and errors

Six Sigma projects follow a defined sequence of steps with quantified goals and financial targets (cost reduction and/or profit increase), and rely on statistical tools to deal with uncertainty.

The New Standards…

The new standard, ISO 13053:2011, Quantitative methods in process improvement – Six Sigma, deals exclusively with the application of Six Sigma to improve existing processes and is published in the following two parts:

Part 1: DMAIC methodology
This describes the five-phased methodology DMAIC (Define, Measure, Analyze, Improve, and Control), and recommends best practice, including on the roles, expertise, and training of personnel involved in such projects.

Part 2: Tools and techniques
This describes tools and techniques, illustrated by factsheets, to be used at each phase of the DMAIC approach.

Is it safe?

Which is safer: alternating current (AC) or direct current (DC)?

Everyone gets a ‘belt’ from electricity every now and then, don’t they?

How do I know if my electrical equipment is safe?

How do I know if my electrical installation is safe?

Who should I talk to about electrical safety?

What voltages are dangerous?

What should I do if I think I have seen an unsafe electrical installation or equipment?

Working with Electricity

How do I know if someone is competent to do electrical work?

Can I do my own electrical work?

When should I use a residual current device?

When should I report an electrical accident to HSE?

What should I do if I think someone is working unsafely?

What should I do to avoid danger from underground cables or wires?

How do I work safely near overhead lines?

What should I do it I touch an overhead power line?

When is it safe to work on live electrical equipment?

How do I make my electrical equipment safe to work on?

Who has the responsibility to make sure everyone works safely?

I may have a colour vision deficiency which could affect my ability to do electrical work. Is there any guidance available?

There may be asbestos in or near equipment I am working on. Is there any guidance available?

Maintaining it Safely

How often should I test my electrical equipment?

How often should I get my electrical installation tested?

http://www.hse.gov.uk/electricity/faq.htm

What impact will this have on your business?

Two things have changed significantly in the 2011 edition…

1. Initially called a ‘Guideline for Quality and Environmental Management System Auditing’, the number of applicable standards has increased dramatically which is reflected in the revised title and content of ISO 19011 now titled “Guidelines for Auditing Management Systems”.

2. ISO 19011:2002 also provided guidance for all users, including internal company audits, supplier audits and certification body audits. ISO 17021:2011 now identifies the requirements for certification bodies such as BSI and LRQA so the revised ISO 19011:2011 standard focuses on internal (first party) audits and, supplier (second party) audits.

What’s new in ISO 19011:2011?

The standard sets out good practice for Managing an Audit Programme and Performing an Audit which has been updated to reflect current best practice and current trends.

These sections provide flexible guidance according to the size, level of maturity of an organisation’s management system, and the nature and complexity of the organisation to be audited. The concept of risk in auditing is also introduced.

Guidance is also given on combined audits, where two or more management systems of different disciplines are audited together (e.g. QMS & EMS).

The use of technology in remote auditing is discussed and how, for example, remote audit interviews should be conducted and recorded.

Although this may acknowledge current trends in auditing, the basics of how to manage and conduct an audit remain similar to the original ISO 19011:2002 standard.

Competence & evaluation of your audit team…

More significant changes have been introduced in the guidance on competence and evaluation of auditors to cover the audit of multiple systems and integrated systems.

For example, the standard now identifies an understanding of risk management techniques and legal requirements for OHSAS 18001 auditors.

Annex B of ISO 19011 goes a stage further by defining how competency is achieved (e.g. a Risk Assessment Training Course) and how evidence of the competency is shown and evaluated (e.g. training records and interview).

This change recognises that education, work experience, training and audit experience are enablers to competence and effective auditing.

What does this mean in practice?

Although ISO 19011 is, and only ever will be, a set of best practices it provides good guidance to improve the skill base of your audit team when auditing multiple management systems.

Also expect the certification bodies to start to use the standard as a way to define internal auditor competency and to drive improvement in this area.

The biggest change is the loss of the familiar orange boxes.  It was always easy to identify a hazardous material from the conspicuous orange box and black cross.  Now all symbols are diamond-shaped, have a white background with red border and an image to describe the hazard.  There are pictograms for substances that are toxic, under pressure, irritating to the skin, flammable, explosive, harmful to the environment, are oxidising agents, cause respiratory/carcinogenic danger or are corrosive.  There is no longer a ‘generic hazard’ symbol. 

The new images you need to be aware of can be found on the HSE website at http://www.hse.gov.uk/coshh/detail/coshh-clp-reach.htm

How is the way we should report incidents changing?
From 12 September 2011, statutory reporting to HSE of work-related injuries and incidents under RIDDOR (the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995) will move to a predominantly online system.  Revised online forms will make the reporting process quick and easy.  Employers will no longer report indcidens by email, post or fax.

How will I report incidents in the future?
The Incident Contact Centre will still take reports of all fatal and major incidents by telephone, but people reporting all other incidents will be required to submit an online form, availbel on HSE’s website.

The online forms are:
F2508 Report of an injury
F2508 Report of a Dangerous Occurrence
F2508A Report of a Case of Disease
OIR9B Report of an Injury Offshore
OIR9B Report of a Dangerous Ooccurrence Offshore
F2508G1 Report of a Flammable Gas Incident
F2508G2 Report of a Dangerous Gas Fitting

THe revised online reporting forms will be interactive, intuitive and easy for people to use.  An online help facility will also be provided.

Click here for HSE news letter…

• Lack of support from Senior Management
• Not enough time for internal audit preparation
• Difficult auditees
• Time taken to write up the audit results

Let’s deal with each of these….

Management Support.  It is the Audit Manager’s job to ensure that senior management understand the importance of internal auditing and compliance requirements. The following tips might help.

• Communicate the cost of audit observations and the greater cost of not responding to them.
• Explain the regulatory effect of the nonconforming process.
• Have a member of management shadow an audit.
• Communicate savings (in time and money).
• Ensure management know that internal audits lower business risks and help improve systems and processes to find, reduce waste AND SAVE MONEY

Preparation. When the audit is scheduled follow this tried and tested process:

• As soon as the audit date is agreed, schedule time in your calendar (& the auditee’s calendar.)
• Make time in your work schedule for preparation.
• Prepare an audit plan:  how long in each department, who needs to be there.
• Read the procedures and write up checklists – don’t rely on your memory.
• Read the previous audit report and note the nonconformities that were raised.
• DON’T let other tasks interfere – so close your office door  or all your best intensions go out the window.

Remember auditees will spot a lack of preparation especially if you read their procedures during interviews or ask irrelevant questions. PREPARATION and TIME MANGEMENT are they key pre audit steps.

Difficult Auditees. Be positive, be prepared, ask open questions, be appreciative of their time. Communication skills are paramount, and where auditees give ‘yes/n’o answers then frame your questions to start with:

• How do you …..
• Tell me …..
• What does this ….
• Where can I find …..
• Can you show me …..

Never be frightened to stop an internal audit if an auditee is being negative or overly aggressive – report back immediately to your Audit Manager but NEVER RAISE YOUR VOICE OR GET INTO AN ARGUMENT WITH AN AUDITEE!

•  Request training:  Communications and Internal Auditing,
•  Understand cultural differences.
•  Explain to the auditee the benefits to the company.
•  Ask open-ended questions.
• Always stop an internal audit during difficult situations with auditees.
• Don’t pretend you know something when you don’t.
• Be realistic in the time your are auditing – no auditee wants their whole day take up!

Audit Reports. Well done, the audit preparation is complete and a successful audit has now taken place ….now to write it all up. This is one of the least-liked tasks, so try these techniques:

• Complete the internal audit report with 5 days of the audit (ideally within 24 hours if you can!)
• Schedule time in your calendar for report writing
• Use a standard internal audit report format
• Link it to the checklist – but remember the checklist is a stand-alone quality record
• Write clear, audit nonconformities – ensuring the auditee can understand them too!
• Thank the auditee for their time and courtesy
• Identify any improvements and associated cost savings
• Ensure Management have a copy of the audit report

Remember the key to a successful audit is everyone knowing that the internal audit process is designed to help the business find issues before they become a major issue or a client complaint.

ISO14001 already aligns in terms of clause and subject matter with OHSAS 18001:2007 systems on health and safety, much simplifying things for those companies wishing to integrate their documentation, audits, roles and controls.  It is likely that this mechanism of cross-over will continue so that doubling system certification is never going to be double the work.

Given this, it is possible that there will be more common clauses in future standards – i.e. using set clauses on subjects and topics that are universal to all management systems.  A bonus to those considering integrating systems or those about to embark on the development of new systems covering more than one management subject.

ISO 14001 has never been a certification that recognises actual good environmental performance, but does recognise those businesses that have committed to reducing any negative impacts of their activities. This allows businesses that may not have a good record to date to get ‘on-board’ and to claim that they are ‘green’.  On balance, it is likely that identifying
environmental issues and managing these is better than simply awarding a system certificate to only the best around.

Here at QCS International we frequently install ISO 14001 environmental systems, usually finding keen environmental managers with a list of actions and activities from recycling initiatives to energy saving schemes.  Note that such actions are a RESULT of your management system and not a requirement of it.

In fact, if you are very environmentally aware and already exhibit best practice it is likely to be more difficult for you to demonstrate continual improvement – a requirement that is unlikely to go in any revision of the standard.

As we learn more about the updates being considered we will let you know via this blog.  Whatever the outcome, it should make both integration and reporting on continual improvements easier and clearer.