Bsi bip 0140 2014

Und erstand ing th e N ew I SO Man ag em en t System Requ i rem en ts

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David Brewer

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David Brewer

Und erstand ing the N ew I SO

Manag em en t System Requ i rem en ts

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Und erstand ing the N ew I SO Manag em en t System Requ i rem en ts

I n Ap ri l 20 1 2 , I SO u pd a ted i ts d i rect i ve s . I n p a rt i cu l a r, th e re i s a n ew a n n ex - An n ex SL - i n wh i ch App en d i x 3

d efi n e s th e H i g h Leve l S tru ctu re a n d I d en t i ca l Co re Text fo r a l l n ew a n d rev i sed m a n a g em en t system

s ta n d a rd s . Th e con cep t i s th a t som e req u i rem en ts , e . g . m a n a g em en t rev i ew, a re comm on to a l l

m a n a g em en t system sta n d a rd s a n d th e re fo re ou g h t to b e i d en t i ca l l y wo rd ed .

Th e b ook exp l a i n s th e n ew req u i rem en ts a n d h ow th ey a re re l a ted to th ose i n m a n a g em en t system

s ta n d a rd s p u b l i sh ed p ri o r to th e a d ven t o f th e n ew I SO d i rect i ves . I n so d o i n g i t sh ows h ow fam i l i a r

con cep ts h a ve m e tam o rph osed i n to n ew on e s . I t p rov i d es fre sh i n s i g h ts i n to u n d e rsta n d i n g m a n a g em en t

sys tem s ta n d a rd s a n d th e reby g i ves g u i d a n ce on h ow to d eve l op a m a n a g em en t system fo r th e fi rst t im e .

I t g i ves a d v i ce on tra n s i t i on i n g ex i st i n g m a n a g em en t system s to th e n ew req u i rem en ts a n d on th e

con stru ct i on a n d u se o f i n teg ra ted m a n a g em en t system s .

Th e b ook i s a im ed p rim a ri l y a t p eop l e wh o en g a g e i n crea ti n g a n d ru n n i n g m a n a g em en t system s ,

i n c l u d i n g m a n a g em en t sys tem a dm i n i stra to rs , con su l ta n ts , tra i n e rs a n d a u d i to rs .

N o p ri o r kn ow l ed g e o f m a n a g em en t system s i s a ssum ed .

Abou t th e au thor

D r Da v i d B rewe r h a s a l on g h i sto ry o f i n vo l vem en t w i th q u a l i ty sys tem s b eg i n n i n g i n 1 9 80 wh en h e a cted

a s q u a l i ty a ssu ra n ce sect i on l ea d e r on a l a rg e so ftwa re i n ten s i ve p ro j ect. H e b ecam e i n vo l ved w i th

s ta n d a rd s wri ti n g i n th e l a te 1 9 80 s a n d b ecam e a co -a u th o r o f th e o ri g i n a l I SM S sta n d a rd , BS 779 9 Pa rt 2 ,

a n d i s n ow a n a cti ve m em b e r o f th e U K d e l eg a t i on to I SO J TC 1 SC27 WG 1 wh i ch i s resp on s i b l e fo r th e

I SO 2 7000 fam i l y o f sta n d a rd s ; a n d i s co -ed i to r fo r th e rev i s i on o f I SO / I EC 2 7004 (M ea su rem en ts ) .

H e h a s p l a yed a s i g n i fi ca n t ro l e i n th e rev i s i on o f I SO / I EC 2700 1 a n d i ts con fo rm a n ce to th e n ew I SO

d i rect i ve s on H i g h Leve l S tru ctu re a n d I d en t i ca l Co re Text.

H e h a s con d u cted a w i d e va ri e ty o f con su l ta n cy a ss i g nm en ts sp a n n i n g 32 yea rs i n ove r 23 cou n tri e s .

H e i s we l l kn own fo r h i s wo rk i n ro l l i n g ou t I SO / I EC 2 700 1 to th e wh o l e o f th e C i v i l Se rv i ce i n M a u ri t i u s ,

wh i ch i s a n exem p l a r o f h i s I SM S im p l em en ta t i on m e th od o l og y. Dr B rewe r ru n s a n i n teg ra ted m a n a g em en t

sys tem , wh i ch con fo rm s to th e q u a l i ty, bu s i n e ss con t i n u i ty a n d i n fo rm a t i on secu ri ty m a n a g em en t system

s ta n d a rd s . H i s sem i n a l resea rch p a p e rs i n c l u d e 'Measuring the Effectiven ess of an In terna l Con tro l System ',

p u b l i sh ed i n 200 3 a n d 'Exp lo iting an In tegra ted Managem en t System ', pu b l i sh ed i n 200 5 .

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BSI G roup Head qu a rters

389 Ch i sw i ck H i g h Roa d

Lon d on W4 4AL

www. b s i g rou p . com

© BS I cop yri g h t

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BSI ord er ref: B IP 0 1 40

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Pebb les B IP 01 40 A-W:Layou t 1 08/1 0/201 3 1 2 : 1 7 Page 1

U n d erstan d i n g th e N ew I SO M an ag em en t

System Req u i rem en ts

U nderstand ing the N ew ISO

M anagemen t System Requ i remen ts

David Brewer

F i rst pu b l i sh ed i n th e UK i n 201 4

by

B S I Stan d a rd s Lim i ted

389 Ch i swi ck H i g h Road

Lon don W4 4AL

©Th e B r i t i sh Stan d a rd s I n st i tu t ion 201 4

Al l r i g h ts reserved . E xcep t a s perm i tted u n d er th e Copyri g h t , Des i g n s an d Pa ten ts

Act 1 988 , n o pa rt of th i s pu b l i ca t ion m a y be reprod u ced , sto red i n a retri eva l

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reco rd i n g o r o th erwi se – wi th ou t pr ior perm i ss ion i n wr i t i n g from th e pu b l i sh er.

Wh i l st every ca re h a s been taken i n d eve l op i n g an d com p i l i n g th i s pu b l i ca t ion , B S I

a ccepts no l i ab i l i ty fo r an y l oss o r d am ag e cau sed , a r i s i n g d i rect l y or i n d i rect l y i n

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m a y no t be exc l u d ed i n l aw.

Wh i l e every effort h a s been m ad e to tra ce a l l copyri g h t ho l d ers , an yon e c l a im i n g

copyri g h t sh ou l d g et i n tou ch wi th th e B S I a t th e above ad d ress .

B S I h a s n o respon s ib i l i ty for th e pers i sten ce o r a ccu ra cy of U RLs for extern a l o r

th i rd -pa rty i n tern et web s i tes referred to i n th i s book, an d d oes n ot g u a ran tee th a t

an y con ten t on su ch webs i tes i s , o r wi l l rem a i n , a ccu ra te o r approp ri a te .

Th e ri g h t of D r Da vi d B rewer to be i d en t i fi ed a s th e au tho r of th i s Wo rk h a s been

a sserted by h im i n a cco rd an ce wi th sect ion s 77 an d 78 of th e Copyri g h t , Des ig n s

an d Pa ten ts Act 1 988 .

Typeset i n G rea t B r i ta i n by Letterpa rt Lim i ted , www. l etterpa rt . com

Pri n ted i n G rea t B r i ta i n by B erfo rts G rou p , www.berfo rts . co . uk

British L ibra ry Ca ta loguing in Pub lica tion Da ta

A ca ta l og u e reco rd fo r th i s book i s a va i l ab l e from th e B r i t i sh Lib ra ry

I SBN 978-0 -580 -82 1 66 -0

Con ten ts

Foreword vi i

Acknowl ed g em en ts i x

Chapter 1 – The new ISO m anagemen t system requ i remen ts 1

I n trodu ct i on 1

M o t i va t ion 1

H i g h l eve l stru ctu re 3

I d en t i ca l core text 4

Devi a t i on s 4

D i sc i p l i n e -spec i fi c text 4

Chapter 2 – M anagemen t system con cepts 6

I n trodu ct i on 6

Defi n i t ion s 6

Wh a t i s a m an ag em en t system ? 1 0

H ow m an ag em en t system s work 1 1

U nd erstand i ng m an ag em en t system stan d a rd s 1 5

E vo l u t i on of m an ag em en t system con cep ts 1 8

I n teg ra ted m an ag em en t system s 20

Chapter 3 – U nderstand ing the new requ i remen ts 23

I n trodu ct i on 23

Wh a tever h appen ed to PDCA? 23

D i sc i p l i n e -spec i fi c req u i rem en ts 25

Scope of th e m an ag em en t system 25

Po l i cy an d ob j ect i ves 32

R i sks an d opportu n i t i es 35

Opera t ion 36

M on i tori n g , m ea su rem en t , an a l ys i s an d eva l u a t i on 38

Aud i ts an d revi ews 45

M an ag em en t an d support 5 1

Im p l em en ta t i on g u i d an ce 62

Chapter 4 – Tran s i tion ing to the new m anagemen t system

standa rd s 69

I n trodu ct i on 69

Tran s i t i on stra teg i es 69

I n teg ra ted m an ag em en t system con s i d era t ion s 70

Area s requ i ri n g l i tt l e or no ch an g e 73

Understanding the New ISO Management System Requirements v

Area s th a t po ten t i a l l y req u i re a reth i nk 75

N ew req u i rem en ts l i ke l y to be sa t i sfi ed a l read y 76

N ew req u i rem en ts th a t m a y presen t a ch a l l en g e 77

Area s wh ere an org an i za t ion m a y take th e opportu n i ty to im prove 78

Summ a ry 79

B ib l iog raphy 83

Stan d a rd s pub l i ca t i on s 83

O th er pub l i ca t i on s 84

vi Understanding the New ISO Management System Requirements

Foreword

I n Apri l 201 2 , I SO upd a ted i ts d i rect i ves . I n pa rt i cu l a r, th ere i s a n ew

an n ex – An n ex SL – i n wh i ch Appen d i x 3 d efi n es th e h i g h l eve l stru ctu re

an d i d en t i ca l core text for a l l n ew and revi sed m an ag em en t system

stand a rd s 1

. Th e con cep t i s th a t som e requ i rem en ts , e .g . m an ag em en t

revi ew, a re comm on to a l l m an ag em en t system stan d a rd s an d th erefore

ou gh t to be i d en t i ca l l y word ed .

Severa l m an ag em en t system stan d a rd s h a ve now been pub l i sh ed i n

con form an ce wi th th ese n ew d i rect i ves (e . g . I SO 22301 : 201 2 on bu s i n ess

con t i n u i ty an d I SO /I EC 27001 : 201 3 on i n form a t ion secu r i ty) wh i l e o th ers

a re be i n g revi sed (e .g . I SO 9001 on q u a l i ty) .

Th e i d en t i ca l core text i s very g ood a t d efi n i n g th e essen t i a l fea tu res of a

m an ag em en t system an d does so wi thou t con stra i n i ng org an i za t ion s to

do th i n g s in a pa rt i cu l a r wa y, wh i ch som e org an i za t i on s m a y h a ve fe l t to

be i n appropri a te or bu reau cra t i c . M oreover, fam i l i a r con cep ts su ch a s

PLAN -DO -CH ECK-ACT an d preven t i ve a ct ion h a ve d i sappea red and h a ve

been rep l a ced by n ew on es . Th e overa l l goa l i s to m ake i t ea s i er to crea te

i n teg ra ted m an ag em en t system s an d to ad ap t m an ag em en t system

stand a rd s to th e n a tu re an d cu l tu re of org an i za t ion s .

Th e a im of th i s book i s to exp l a i n th e n ew req u i rem en ts an d how th ey

a re re l a ted to tho se i n m an ag em en t system stand a rd s pub l i sh ed prior to

th e ad ven t of th e n ew I SO d i rect i ves ; to show how fam i l i a r con cepts h a ve

m etam orpho sed i n to n ew on es ; and to g i ve fresh i n s i g h ts i n to

u n d erstan d i n g m an ag em en t system stan d a rd s . Th e book g i ves gu i d an ce

on how to d eve l op a m an ag em en t system for th e fi rst t im e . I t g i ves

ad vi ce on tran s i t ion i n g exi st i n g m an ag em en t system s to th e n ew

i d en t i ca l core req u i rem en ts an d on i n teg ra ted m an ag em en t system s .

Th i s book h a s been d es i g n ed so th a t you can read i t from cover to cover

to g a i n a com preh en s i ve un d erstan d i n g of th e n ew stand a rd , an d th en

l a ter u se i t a s a referen ce book.

I h a ve over 30 yea rs ’ worl dwi d e experi en ce i n worki n g wi th m an ag em en t

system s a s a stan d a rd s m aker, con su l tan t , au d i tor, tu tor an d m an ag em en t

system adm i n i stra tor, th e pa st severa l yea rs ru n n i n g a n um ber of

i n teg ra ted m an ag em en t system s . M an y of th e i n s i gh ts th a t I sh a re wi th

1 Th i s i s correct fo r th e 3 rd ed i t ion . H owever, i n J u l y 201 3 , I SO pub l i sh ed th e 4th Ed i t ion , i n

wh i ch Appen d i x 3 h a s becom e Appen d i x 2 .

Understanding the New ISO Management System Requirements vi i

you i n th i s book a re d eri ved from th i s pra ct i ca l experi en ce , supp l em en ted

by th e i n s i g h ts a fford ed by be i n g a m em ber of th e i n tern a t i on a l

I SO /I EC 27001 : 201 3 d eve l opm en t team , wh ere on e of th e ta sks wa s to

a ch i eve con sen su s an d con form i ty wi th An n ex SL.

Th i s book i s a ‘m u st-h a ve ’ for org an i za t ion s an d i nd i vi d u a l s keen on

en su r i n g a sm oo th tran s i t ion an d obta i n i n g m a xim um ben efi t from th e i r

i n vestm en t i n h a vi ng a m an ag em en t system .

Da vi d B rewer

Foreword

vi i i Understanding the New ISO Management System Requirements