Revision of standards ISO 9001:2015 and ISO 14001:2015

Transcription

1 Swiss Association for Quality and Management Systems (SQS) SQS customer support Revision of standards ISO 9001:2015 and ISO 14001:2015 Transitional arrangement Table of contents 1. Publication of new versions of the ISO standards for quality and environmental management systems 2. Conversion of the certification significant key points 3. Approach and benefit of further development 4. Overview of the most important amendments to ISO 9001: Overview of the most important amendments to ISO 14001: Procedure of conversion of the management system 7. Use of SQS customer support and other options 1

2 1. Publication of new versions of the ISO standards for quality and environmental management systems September 2015 was the publication date for the new standards ISO 9001:2015 for quality management and ISO 14001:2015 for environmental management. These are the most widespread management system standards in the world, with about 1.2 million certified users. ISO 9001 was established in 1987 and is about to be revised for the fifth time. ISO was established in 1996 and is about to be revised for the third time. In Switzerland, the new standards can be obtained from the Swiss Association for Standardization (SNV) They are an important basis for users to further develop their management systems. It is also recommended to obtain the new document ISO 9000:2015 about terminology and definitions. For certified companies and organizations, the question arises: «What next?» (Provided one has not already taken advantage of the SQS information and training opportunities The present document contains the most important information and recommendations on how best to proceed in order to ensure that SQS customers can tailor their management system to the new requirements, further develop it and successfully implement the conversion of the certification in due time. 2. Conversion of the certification significant key points 2.1 Publication of the new standards and issuing of certificates ISO 9001:2015 and ISO 14001:2015 are published and certificates can be issued according to the new standard requirements. 2.2 Transition period for making certified management systems compliant with new standards Three-year transition period starting at the official ISO publication date; i.e. three years after publication of the new standards, the old versions will be withdrawn and will no longer be valid. Until then, all requirements must be checked by the certification body i.e. a corresponding audit must be conducted for the conversion. It should be noted, that from March 15, 2018 onwards certification, surveillance and recertification audits have to be conducted according to the new versions ISO 9001:2015 and ISO 14001:2015. At the end of the transition period on September 15, 2018, all ISO 9001:2008 and ISO 14001:2004 certificates must either expire or be withdrawn. 2.3 Last possible date to audit according to ISO 9001:2008 or ISO 14001:2004 From March 15, 2018 onwards certification, surveillance and recertification audits have to be conducted according to the new versions ISO 9001:2015 and ISO 14001: Registration for SQS certification once the new standards have been published SQS recommends that users applying for certification for the first time (new customers, so far not owner of such a certification) register for certification according to the new standards. 2.5 Recertification audits after publication of the new standards Following publication, SQS will as far as possible conduct the regular recertification audits as agreed with customers according the new standards. In this case, the validity of the renewed certificate will be extended for a further three years period (subsequently to the old expired certificate). In case a company decides after the publication of the new standard to undergo a recertification audit in accordance with the old version of the standard, the validity period of the certificate 2

3 must be limited to the end of the three-year transitional period (i.e. September 2018 for both ISO 9001 and ISO 14001). A planned and executed certification in due time will avoid a limited period of validity of the certificate. It should be noted, that from March 15, 2018 onwards certification, surveillance and recertification audits have to be conducted according to the new versions ISO 9001:2015 and ISO 14001: Surveillance audits after publication of the new standards Surveillance audits are conducted based on the old standard up to the conversion date. However, the date of the last verification prior to the expiry of the three-year transitional period must be used for the conversion at the very latest. It should be noted, that from March 15, 2018 onwards certification, surveillance and recertification audits have to be conducted according to the new versions ISO 9001:2015 and ISO 14001: Surveillance audit following publication of the new standards as a reduced advanced recertification audit A surveillance audit, based on the new standards, which is conducted during the validity period of an existing SQS certificate, may also be conducted as a reduced advanced recertification audit. In this case, the certificate remains valid for the remaining time period of validity (with a new issue date based on the date of the certification decision for the conversion). It should be noted, that from March 15, 2018 onwards certification, surveillance and recertification audits have to be conducted according to the new versions ISO 9001:2015 and ISO 14001: Duration of conversion audits The duration of the regular recertification audits is the same, irrespective of whether they are based on the new or old standard. Additional time and effort is required for a conversion to a new version of a standard as part of regular surveillance audits or as a result of performing the «step 1 check» to determine the readiness for conversion. 3. Approach and benefit of further development The revised standards are covering important topics regarding the improvement, benefits and possible application of the relevant management systems in today s operational environment and competitive conditions. These mainly include process management, risk-based thinking and matching the strategic orientation or the know-how of the organization. It is advisable to approach these topics already at an early stage and to implement them for the organisation in a beneficial way. Therefore, it is now a good time to acquire information and to start with «change» projects (further development and conversion). To wait until the last minute increases the risk of the processes being documented in written form but not actually implemented. Being intro duced merely to meet the formal standards such a process is of little benefits for the company. 3

4 4. Overview of the most important amendments to ISO 9001:2015 application of the new High Level Structure HLS (ISO directives appendix SL) greater emphasis on achieving the results expected of a quality management system (QMS) greater inclusion of the organizational context; relevant topics; interested parties more stringent leadership requirements (employees, context, strategy, process management, results and integration) strengthening of the risk-based thinking, in order to support and to improve QMS planning and process management to state more precisely the requirements regarding the definition of the QMS scope of application fewer descriptive requirements and less emphasis on documents improved applicability for service providers in addition, greater emphasis on the following aspects process management (targets, performance indicators and awareness) knowledge management level of control over external providers (products, services and processes) activities after delivery maintenance of monitoring and measuring resources 5. Overview of the most important amendments to ISO 14001:2015 application of the new High Level Structure HLS (ISO directives appendix SL) more stringent leadership requirements (context, strategy, results and integration) strengthening of the risk-based thinking, in order to support and to improve the management of significant environmental aspects greater involvement of the organizational context (relevant topics and interested parties) greater emphasis on including product use i.e. all levels of the product life cycle to state more precisely the requirements regarding the definition of the environmental management system (EMS) scope of application fewer descriptive requirements and less emphasis on documents greater emphasis on external communication greater emphasis on achieving the results expected of an environmental management system 6. Procedure of conversion of the management system The following eight steps should be taken in order to ensure a successful conversion to the new version of ISO 9001 and ISO 14001: to deal with the requirements of the new ISO 9001 i.e. ISO standards to identify gaps in the system (GAP analysis by the company itself or if required voluntary GAP assessment by SQS) to determine the right time for the conversion to determine the implementation approach (e.g. project plan) to involve the most important stakeholders (management, employees, etc.) to update the existing quality management system to verify a successful implementation by means of internal audits to prepare for recertification 4

5 7. Use of SQS customer support and other options Services in conjunction with the revision of the standards In order to support its customers, SQS has developed a wide range of services to ensure efficient implementation and use of the new requirements and recommendations (SQS training services are available at Beforehand, we recommend to attend the one-day customer information seminars or the one-day advanced seminars on the revision of standards. The conversion process might be coordinated with the assigned SQS Lead Auditor and account manager, who will be happy to offer expert advice on the assessment. The SQS head office is responsible for answering general questions, whereas SQS Lead Auditors will gladly provide professional information. Certification of integrated management systems SQS is a leading service provider in the field of integrated management systems such as quality, environmental, occupational health and safety and energy management. SQS achieves this thanks to its multi-talented auditors who are able to cover several certification standards during one single audit. If and when required, SQS will be happy to make a non-binding offer for certification according to ISO 9001, ISO 14001, OHSAS 18001, ISO or one of its other services. In doing so, SQS supports its customers with training, assessment, certification, validation and verification services on the path to sustainable success. November 2017 / Version 1.2 Swiss Association for Quality and Management Systems (SQS) Bernstrasse Zollikofen Switzerland