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What to Expect From the ISO 19011 Revision

By Elisabeth Thaller This year…

By Elisabeth Thaller

This year the International Organization for Standardization (ISO) approved a project to revise ISO 19011:2011—Guidelines for auditing management systems. ISO Project Committee PC 302 was established with experts from numerous countries to revise the standard. The first of four plenary meetings was held during the second week of November in Orlando, Florida.

While it is too soon to say exactly what the new revision of ISO 19011 will look like, here is a brief overview of the most relevant topics that were discussed at the first meeting.

Terms and definitions: ISO 19011 isn’t a management system standard, therefore it’s not required to use the same terminology as other standards. However, it was decided that it’s in the interest of users of the standard that the terms and definitions be aligned with the high-level structure in Annex SL of the ISO directives. One example is the use of the term “documented information,” which will be integrated in ISO 19011 whenever possible.

Risk and risk-based thinking: The committee decided that it’s not necessary to include a new section about risk. However, the concepts of risk and opportunities will be included throughout the standard as applicable.

Remote auditing: The main idea and argument to justify the need to include remote auditing in the revision was that some companies only exist virtually, or that some or all information may not be stored in a physical location. The committee decided that an audit is an audit, no matter where it’s completed. Therefore, there are different tools and methods that can be used—remote auditing being one of them.

Small and medium enterprises (SME): It was determined that it’s not necessary to include a specific section regarding SMEs because the language used in the standard should be generic enough to apply to any type of organization and audit. If any specific guidance is needed for SMEs, it may be included within an annex or notes.

Audit team competence: ISO 19011 and ISO 17021 are compatible and will remain this way. There will be some changes to reflect current challenges regarding auditor and audit team competence—in particular in relation to risk, combined audits, and auditing clauses 4.1, 4.2, and 4.3 of the high-level structure, along with remote auditing.

In summary, we can expect the revision of ISO 19011 to be better aligned with the terminology, business practices, and audit needs of current times. The revision will incorporate concepts such as risk-based thinking and remote auditing, and will also include updated terminology and auditor competence requirements. This will provide a contemporary approach to complex organizational structures and audits.

About the author

Elisabeth Thaller has provided management system consulting, auditing, and training for the past 20 years. During this time, Thaller has coached private and government organizations on the implementation of diverse management system and conformity assessment standards, including ISO 17024 and ISO 17021.

As a contracted evaluator with Exemplar Global, Thaller has performed training provider and course certification audits in the US, Europe, Mexico, and South America.

Thaller is a member of the US TAG to ISO/PC 302 Guidelines for auditing management systems and is actively involved in the current review of ISO 19011. Thaller previously participated in the ISO/TC 176 STTG (ISO 9001:2015), ISO/TC 207 STTF (ISO 14001:2015), and ISO/CASCO/STTF (ISO 17021:2015).

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Awards Program to Promote ISO 50001

An awards program has been…

An awards program has been created to recognize organizations that are transforming their businesses through ISO 50001, which applies to energy management systems certification.

The Energy Management Leadership Awards program was established by The Clean Energy Ministerial (CEM)—a global forum consisting of 24 countries and the European Commission.

The awards aim to raise global awareness of the benefits of energy management and accelerate uptake of the management system to support corporate, national, and global climate goals.

Industrial, commercial, and public-sector companies or facilities that hold a valid, third-party-verified ISO 50001 certificate are eligible to enter. To enter, organizations are required to submit a case study that describes their energy management experience and the benefits of doing so. The entries will be evaluated by an independent panel of international experts.

The winning organizations will be recognized in 2017 during the Clean Energy Ministerial meeting in China, which will host energy ministers and corporate leaders from around the world.

Each organization to submit a qualifying entry will receive an Energy Management Insight Award for helping to build global insight on the benefits of energy management systems. The top-ranking submissions from each country will also be shared with the appropriate governments.

Click here to learn more about the CEM Energy Management Leadership Awards. The deadline for submissions is January 24, 2017.

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Security Expert Expects Rise in Security Certifications

Jeff Slotnick has been thinking…

Jeff Slotnick has been thinking about, analyzing, and predicting the future of the security industry for more than 30 years. In that time, he’s seen the industry shift into a significantly more important role; a change he saw coming while working as a senior enlisted person in the United States Army Engineer Corp.

“I’ve always been an evangelist for this community,” Slotnick observes. “The more people know about how risk assessment can help them, can help us run companies better and do things more safely, the more they become believers themselves.”

Slotnick, certified protection professional (CPP) and physical security professional (PSP), is the president of Setracon Inc. and chief security officer at OR3M, based in Washington state. He’s traveled the world consulting with organizations about their risk security profiles, and the predictions he made decades ago about the evolution of standardization in the risk assessment profession are fast becoming a reality. Compliance with ISO 31000 and ISO/PAS 28000 have become much more sought after in recent years. According to Slotnick, this is a change he saw coming years ago.

“It’s the influence of technology,” he says. “ISO 31000 and similar standards help organizations grasp an understanding of their culture, not just their data. It enables them to use all the data they collect and all the devices they have—which produce an immense amount of data—to protect themselves, their employees, customers, and businesses. It’s a very exciting time.”

The ISO 31000 family of standards includes ISO 3100:2009—Principles and Guidelines on Implementation, ISO/IEC 31010:2009—Risk Management—Risk Assessment Techniques, and ISO Guide 73:2009—Risk Management—Vocabulary. Although the standards weren’t developed with the intention for certification, Slotnick expects their popularity will increase significantly in coming years as more organizations recognize the potential of the standards to make them more secure.

“I find 60 percent of this job is education,” he says. “People don’t know what they don’t know. Simply capturing data in an audit, you’re creating a very clear value statement. I can show a company how identifying and managing risk helps them avoid problems in the future. Knowing what those dangers are and being able to create a plan to prevent or eliminate them is a very valuable skill and one that more people should learn.”

Teaching that skill is something that Slotnick is very familiar with. He serves as a faculty advisor with the University of Phoenix, where he also takes classes to continue his learning. In his roles as consultant, teacher, and student, he sees the risk assessment profession moving toward full enterprise security risk management (ESRM) and ultimately enterprise risk management (ERM). This is a shift that could have dramatic consequences to the way organizations staff their executive boards.

“This is an industry in transition,” he observes. “Traditionally, we’ve seen risk as a physical thing, something to address with physical means. Now, we’re seeing organizations meld their risk profile with their OHSAS, environmental, financial, customer and employee health, cyber, and physical risk efforts. All risk is shared. When there is risk to one part of an organization, there is going to be risk exposure to many other parts. That’s an exciting thing, and it’s been a long time coming.”

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New ISO Technical Specification to Improve Animal Welfare

New ISO technical specification ISO/TS 34700:2016, Animal welfare…

New ISO technical specification ISO/TS 34700:2016, Animal welfare management – General requirements and guidance for organizations in the food supply chain aims to ensure the welfare of farm animals across the supply chain.

ISO/TS 34700 will help the food and feed industry develop an animal welfare plan that aligns with the principles of the World Organization of Animal Health (OIE) Terrestrial Animal Health Code (TAHC). The standard is the culmination of a joint effort between ISO and the OIE following the signing of a cooperation agreement in 2011.

The technical specification intends to support the implementation of relevant practices to ensure animal welfare in livestock production systems, and will allow business operators in the food supply chain to demonstrate their commitment to animal welfare management.

The working group in charge of developing ISO/TS 34700, ISO/TC 34 WG 16, comprised more than 130 experts representing all regions of the world. The group included strong participation from developing countries and a range of stakeholders including private sectors, competent authorities, and nongovernmental organizations.

Dr. François Gary, convenor of ISO/TC 34 WG 16,  said the first beneficiaries of ISO/TS 34700 will be business operators in the animal production food chain including farmers, livestock transport companies, and slaughterhouses.

“By creating a common vocabulary and a common approach to animal welfare management, this ISO technical specification will improve the needed dialogue between suppliers and customers within the food supply chain, especially between primary production and processing operators,” Gary said. “This will be a business-to-business tool.”

ISO/TS 34700 will serve as a helpful tool for the private sector and competent authorities alike to clear up discrepancies in the regulatory framework. Retailers, consumers, and NGOs with an interest in animal welfare protection will be indirect beneficiaries of ISO/TS 34700 as business operators demonstrate their animal welfare commitment.

OIE Director General Dr. Monique Eloit said ISO/TS 34700 will provide an important framework to support the implementation of the OIE’s international standards for animal welfare around the world.

“Consistent implementation of humane and ethical rearing conditions for animals provides certainty for farmers and producers, and confidence for consumers,” Eloit said.

ISO/TS 34700 will undergo systematic review in three years.

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ISO 45001 Release Could Extend to March 2018

Based on the latest information…

Based on the latest information on the revision of occupational health and safety standard ISO 45001, the publication date could be extended to March 2018.

ISO/PC 283/WG1, the working group responsible for developing ISO 45001, met three weeks ago in Lithuania to work on text for DIS2 for clauses four to 10. The working group plans to reconvene in February in Vienna to complete the review of the comments received.

Based on current progress and the latest information from the working group, the expected timeline for the publication of ISO 45001 is as follows:

  • February 2017–WG1 meeting to complete a review of comments
  • March 2017–DIS2 to be edited and prepared
  • April/May 2017–DIS2 released for translation
  • June/July 2017–DIS2 ballot held
  • September 2017–PC283 and WG1 meeting to review DIS2 ballot results

If DIS2 is approved and a final draft international standard (FDIS) is not required, ISO 45001 could be published as early as October/November 2017. In the case that an FDIS is required, publication is likely to occur in March 2018.

“Given that work on ISO 45001 first began in 2013, we are now working on a four-year timeline, and the ISO Central Secretariat has approved a nine-month extension,” said Steve Williams, external liaison member of ISO/PC 283 and LRQA systems and governance manager.

“This reinforces the importance of ISO 45001 and the significance of its applicability to organizations around the world.”

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Revision of Core Aerospace Standards Complete

The International Aerospace Quality Group…

The International Aerospace Quality Group (IAQG) has published AS9110:2016 and AS9120:2016, completing the revision of the core aerospace standards.

AS9110 Aerospace Management System for Maintenance, Repair and Overhaul Stations outlines specific requirements that are significant for the maintenance of commercial, private, and military aircraft. AS9110 certification provides an additional layer of control, but does not replace regulatory oversight or customer monitoring.

AS9120 Aerospace Management Systems for Stockist Distributors addresses the chain of custody, traceability, control, and availability of records. AS9120 is applicable to organizations that resell, distribute, and warehouse aircraft parts and other aerospace components.

To drive effective operations in increasingly complex environments, the revision of these standards incorporates the essential changes made to ISO 9001:2015 and additional aerospace, space, and defense stakeholder requirements.

Updates to the AS9100 standards are designed to:

  • Link to the latest version of ISO 9001.
  • Adapt to a changing world.
  • Enhance the ability of an organization to satisfy its customers.
  • Create a consistent foundation for the future.
  • Reflect the increasingly complex environments in which organizations operate.
  • Ensure the standards reflect the needs of all interested parties.
  • Integrate with other management systems.

Organizations currently certified to AS9100, AS9110, or AS9120 will need to successfully transition to the relevant 2016 revision by September 2018.

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2016 Baldrige Winners Announced

The winners of the 2016…

The winners of the 2016 Malcom Baldrige National Quality Award comprise two small businesses and two health care organizations.
The award—which is the United States’ highest presidential honor for sustainable excellence through visionary leadership, organizational alignment, systemic improvement, and innovation—represents four states. This includes the first award recipient from Idaho and four distinctly different operations, including the first winner from the long-term care and rehabilitation field, and the first award recipient from the textile industry since 1989.
The 2016 Baldrige Award recipients—listed with their category—are:

  • Momentum Group of Irvine, California (small business)
  • Kindred Nursing and Rehabilitation Center- Mountain Valley, of Kellogg, Idaho (health care)
  • Memorial Hermann Sugar Land Hospital of Sugar Land, Texas (health care)
  • Don Chalmers Ford of Rio Rancho, New Mexico (small business)

“This year’s honorees are trailblazers in innovation, small business, health care, and sustainable textiles,” says Penny Pritzker, U.S. Commerce Secretary. “Their visionary leadership is helping to power the economy and increase our ability to compete globally. The Commerce Department proudly supports these four outstanding organizations for their unwavering commitment to performance excellence and their dedication to always reaching higher.”
The Commerce Department’s National Institute of Standards and Technology (NIST) manages the Baldrige Award in cooperation with the private sector. An independent board of examiners recommended this year’s Baldrige Award recipients from a field of 34 applicants after evaluating them in the Baldrige Excellence Framework: leadership; strategy; customers; measurement, analysis, and knowledge management, work force, operations; and results. There are six categories for the award: manufacturing, service, small business, health care, education, and nonprofit (including government agencies).
Achievements by the 2016 Baldrige Award winners include:

  • New employees at Don Chalmers Ford (DCF) are mentored by senior leaders and work with the general manager using the firm’s “How I Connect” guide that aligns each individual’s role to the company’s core values and to delivering the “DCF Experience.” This has helped increase the retention rate of sales consultants from 56.3 percent in 2011 to 71.4 percent in 2015, and increase gross profit by 13 percent for 2012-2015. Both marks are significantly higher than the national averages of 26 percent and 8.4 percent, respectively.
  • In support of its core value of “bettering the world around us,” Momentum Group was the first in its industry to offer a full textile product line of reduced environmental impact fabrics. In just over two decades, Momentum Group’s sales have grown more than 400 percent and have outperformed the industry for 19 years out of the 22 that the firm has been in business.
  • For seven consecutive years, Kindred Nursing and Rehabilitation Center—Mountain Valley has achieved a five-star quality rating—the highest possible—from the Centers for Medicare and Medicaid, a ranking designed to help potential residents, families, and caregivers compare nursing homes. Less than one percent of 15,600 skilled nursing facilities nationwide received the five-star rating over that period of time.
  • Memorial Hermann Sugar Land Hospital ranks among the top 10 percent nationally for a number of performance metrics, including emergency center arrival-to-discharge time, compliance with regulations to reduce medication errors, bed turnaround times, radiology and laboratory result turnaround times, and the use of computerized physician order entry.




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Auditor Profile: From Cabinet Maker to Key Influencer

Starting his career as an…

Starting his career as an apprentice cabinet maker, David Solomon worked his way up to become a key influence in the construction industry. As executive officer safety and risk at the Master Builders Association of New South Wales, Solomon oversees the safety and risk exposure of the association’s assets in NSW. The Auditor Online speaks to Solomon to learn the secrets of his success.

Solomon has received numerous awards throughout his career. For the past two years, Solomon has won the International Safety Quality Environment Management Association Safety Award which recognizes his commitment to develop a safety-conscious culture in the building and construction industry.

Solomon has also developed four management systems across safety, quality, environment, and integrated management systems.

“I have received comments from people that they are the leanest management systems they had ever seen,” Solomon said. “The secret to writing a good management system is to have everything in sequential order.”

Solomon is also active in the standards development process and is Standards Australia’s representative on the SF-001 committee to develop ISO 45001, the new occupational health and safety standard. Solomon is also on the committee to review ISO 19011, which addresses management system guidelines, among others.

While Solomon has always had a strong work ethic and drive to succeed, it wasn’t until recent years that he really started to develop professionally under the direction of a mentor and a coach.

“If you have someone who has already done it—not to give you the answers—but help you trigger your mind how to arrive at those conclusions it is highly beneficial,” Solomon said.

“Often I’d put my answers forward and my mentor would say, ‘That’s right,’ but you can also do it this way, or another way. It’s good to stop you getting ahead of yourself and see there are other pathways to achieve the same result.

“If you can get someone of the same caliber or higher to check your work without affecting impartiality or confidentiality, that’s another form of mentoring. They might be able to bring to your attention things you may have missed.”

It’s approaches such as these that have led Solomon to develop an “outside the box” approach to thinking and a commitment to develop the best solution for an auditee.

“There are ways to do things that still meet the outcomes without giving a non-conformance. There are other ways of achieving results.”

To boost the public perception of the auditing profession, Solomon said awareness and education is the key—whether it be for auditing, safety, or training.

“A lot of people have the experience. We need to tie that experience, time, and effort back to something tangible.

“There is no point in delivering awareness in an authoritarian way. I often relate the delivery of my messages back to life experiences. You can’t hide behind a document that you have put together.

“We need to bring it back to grass roots—mums and dads, and small to medium enterprises—that’s how to get stakeholder engagement.

“You have to make sure they see the value. If they can’t understand the benefits of getting a third-party audit it’s worthless. The message has to be plausible and then it will grow organically.

“[I encourage people to] have a conversation with someone about auditing, safety, quality, just to get the message out there.”

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Third Edition of Safe Food Australia Now Available

The third edition of Safe…

The third edition of Safe Food Australia, a guide to food safety standards in the Australia New Zealand Food Standards Code, has been released by Food Standards Australia New Zealand (FSANZ).

Safe Food Australia is a guide to three mandatory food safety standards: Standard 3.1.1 Interpretation and Application, Standard 3.2.2 Food Safety Practices and General Requirements, and Standard 3.2.3 Food Premises and Equipment.

Safe Food Australia is primarily aimed at government agencies responsible for enforcing food standards, however may also provide useful guidance for businesses seeking information about the standards and food safety issues.

FSANZ reviewed Safe Food Australia to ensure the guide addressed current food safety issues and trends, and contains the latest evidence and references.

“The new edition includes updated evidence and information to address current food safety issues and trends,” says FSANZ Chief Executive Officer Steve McCutcheon. “It also provides new guidance for mobile, temporary, and home-based vendors.”

It’s now available as a searchable online document to help readers quickly and easily access the information.

McCutcheon also launched FSANZ’s Food Safety Hub which aims to be a one-stop resource for food safety information for food regulators, businesses, and consumers.

“The Food Safety Hub brings together food safety advice, guides, resources, and tools to make it easier for users to find what they’re looking for.”

The Food Safety Hub can be accessed here.

Any queries on how to comply with the Food Standards Code should be directed to local food enforcement agencies.

Click here to download a copy of the updated Safe Food Australia guide.

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Guidance for SMEs Using ISO 9001 for Quality Management Just Released

ISO’s essential guide for small…

ISO’s essential guide for small and medium enterprises (SME) wishing to implement a quality management system (QMS) has just been updated, providing practical advice and concrete examples tailored specifically for small businesses.

ISO 9001:2015 for Small Enterprises  What to do? has just been updated to align with the newly revised version of one of ISO’s most popular standards, ISO 9001, Quality management systems – Requirements, updated in 2015.

The handbook was written by a group of experts from ISO/TC 176/SC 2, the technical subcommittee that developed ISO 9001:2015, and features useful information on everything from how to get started right through to guidance for those who choose to seek certification. It includes practical advice on the different ways of approaching a QMS as well as detailed guidance on each element of ISO 9001:2015.

Click here to preview the handbook.

Nigel Croft, Chairman of ISO/TC 176/SC 2, said: “This handbook recognizes that small businesses have different needs and challenges compared to large organizations, with different ways of working and often with limited resources. This handbook offers tailored advice to help them implement a quality management system that can truly be useful, and help them to improve their overall business performance.”

“It includes a step-by-step guide to implementing a QMS, providing sector-specific examples for different types of small businesses, such as consultancies, manufacturers, and distributors.”

ISO 9001:2015 for Small Enterprises  What to do? also provides a clear explanation of what a QMS is and how it can help organizations improve the quality of the work they do and the products and services they deliver, thereby improving the confidence of their customers and other stakeholders.

ISO 9001 is one of the world’s most widely used QMS standards, with over one million organizations certified to it in over 170 countries around the world.

ISO 9001:2015 and ISO 9001:2015 for Small Businesses  What to do? are available for purchase from your national ISO member and the ISO Store.

This article has been republished in full with permission from ISO.

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