Accreditationand

Certification Process for ISO

14001 EMSChris Spire

NAP EMS Council

Agenda

• National Accreditation Program (NAP) Organization

• Accreditation/Certification/ Registration Process

• Continual Improvement in NAP

• What Does the Future Hold?

• Why Register?

Slide 2

National Accreditation

Program (NAP) Organization

Relationships

ANSI RAB

Accreditationand Certification

Board

National AccreditationProgram (NAP)

QMS Council

EMS Council

QMSand EMSAuditors

QMS andEMS CourseProviders

QMSRegistrars

EMSRegistrars

Certifies

Accredits Accredits

RAB

American NationalStandards Institute

(ANSI)• Promotes the National

Accreditation Program (NAP)• Provides due process and public

review of program criteria and procedures

• Offers public notice of applicants for accreditation

• Represents NAP in international activities

Slide 5

Registrar AccreditationBoard (RAB)

• Operating partner for the National Accreditation Program (NAP)

• Accepts and processes applications for accreditation and certification

• Forms accreditation audit teams and reviews their findings

• Coordinates initial accreditation audits and ongoing surveillance audits of registrars

• Manages auditor certification program• Manages course provider accreditation

Slide 6

NAP EMS CouncilBroad volunteer stakeholder

representation:• Industry: 3• Government: 3• NGO: 3• Consultant: 2• Standards: 1• Registrar: 2• Accreditation auditor: 1Three-year term and mandatory

participation Slide 7

NAP EMS CouncilOfficial liaison members:

• U.S. TAG to TC 207 Chair

• Standards Council of Canada

• Multi-State Working Group on EMS

• U.S. Environmental Protection Agency

o Participate in all discussions, except

votes

o Formal interactivity linkSlide 8

NAP EMS Council• Evaluates and makes final decision

on EMS accreditations of registrars• Develops and promulgates U.S.

EMS conformity assessment policy initiatives – to other CA bodies, governments, industry, NGOs

• Ensures consistency of performance with national and international peers

• Accomplishes continual improvement through robust complaints and appeals processSlide 9

Accreditation Certification Registration

Process

Registrar Accreditation

• Evaluate registrar’s team at Stage 1 and Stage 2 audits (witness audit)

• Perform office audit of procedures, records, practices

• One per year/full system every 4 years

• Use ISO 19011, ISO/IEC Guide 66, IAF Guidance on ISO/IEC Guide 66 and NAP Procedures and Advisories

• Submit to EMS Council for approval (initial and 4 year reaccreditations)

Slide 11

EMS & QMS Re-accreditation Audits

4547

57

34

28

0 0 0 0

6

0 0 0

13

45

57

34

9

0

47

0

10

20

30

40

50

60

2001 2002 2003 2004 2005

Required Unscheduled Confirmed CompletedSlide 12

Registrars per Program(RAB web site:

www.rabnet.com) 74

31

3 5

38

2025

1

41

40

37

2 2 2 36

15 6

2

0

10

20

30

40

50

60

70

80

QMS AS9100 AS9003 AS9120 QS-9000 TE Supp. TL 9000 ISO 13485 EMS RC 14001 RCMS

Accredited ApplicantsSlide 13

Course ProviderAccreditation

• Initial approval of course content,

examination, and instructors

• Evaluation of course provider’s

administrative system

• Evaluation of at least one

complete offering of course

Slide 14

Accredited EMSCourse Providers

• 18 total accredited

• 0 applicants

• 0 on suspension

• List on RAB web site:

www.rabnet.com

As of August 2004 Slide 15

Auditor Certification

• List of RAB-certified auditors on Web site

• Certified in grades EMS-LA, EMS-A, E-A, E-PA

• Maintenance includes continuing education and auditing experience

• RAB-certified auditors play vital role in preparing organizations for and conducting ISO 14001 audits

Slide 16

Auditor Certification

Requirements:• Education (degree/diploma)• Work experience (4 years/10 years)• Auditor training (RAB LA course)• Personal attributes (communication

skills, objectivity, ability to reach sound judgments based on objective evidence, sensitivity)

• Audit experience (except PA) (20 days/4 audits supervised by LA)

Slide 17

ISO 14001 Registration

• Includes series of document reviews, plus site visits and audits by registrar

• Registrar’s auditors review organization’s procedures, processes, and operations

• Registrar audits full EMS to determine conformance to ISO 14001 and its effective implementation

• Registration report prepared• Registrar’s independent certification

board evaluates report and votes• Registration granted or denied

Slide 18

ISO 14001 Registration

• To maintain highest credibility, NAP accredited registrar may not engage in advice-giving or consulting with organization it’s registering

• Surveillance audits conducted at six-, nine-, or 12-month intervals

• Complete reassessment of EMS required at least every three years

Slide 19

ISO 14001 Registrations

in the United StatesPUBLIC PRIVATE

NATIONAL 7 ?

LOCAL 17 3917

8/2004

EMS Driversin the United States

PUBLIC PRIVATE

NATIONAL EO 13148SELF-DECLARE

CEOMULTI-NATIONALTARGET SECTORS

COMPANY CERTIFY

LOCAL PEER CENTER

PILOTS

INDUSTRY RQMTSCONSENT ORDERSPERFORM. TRACKINDUSTRY ASSNS

Continual Improvement

in NAP

NAPA Study & Response• NAPA Study

“Concept appears to be sound” Recommendations to strengthen U.S.

registration practices

• Response to Study by ANSI-RAB NAP - New guidance and procedures to enhance public confidence in the system Closer attention to audit planning and bidding More guidance on auditor independence More attention to pre-audit planning Increased transparency in handling complaints Continuity from audit to audit for accreditation

of registrars Slide 23

Customer Satisfaction Survey

Results from 1st IssuanceOverall Satisfaction

Rating # of CRB’s %

Completely satisfied

1 2.8%

Very Satisfied 10 27.8%

Somewhat satisfied

19 52.8%

Dissatisfied 6 16.7%

Very Dissatisfied 0 0.00%

Average Score 3.2 – Somewhat Satisfied

2004 Complaints

• Complaints against CRB’s and ANSI-RAB by type and source can be found at www.rabnet.com.

• 25 complaints against CRB’s• 7 complaints against registered

organizations• 5 complaints against ANSI-RAB

NAPSlide 25

What Doesthe Future

Hold?

Multilateral Cooperative Accreditation Arrangement

(MCAA)• ANSI-RAB NAP (US) and JAB (Japan) in 9/2003

• Added JASANZ (Australia/New Zealand) in 12/2003• Accredited Registrar SAIGCS for

QMS and EMS under MCAA based primarily on JAS-ANZ audit reports

• Negotiating with SCC (Canada)• Interest by UKAS (United Kingdom)

Slide 27

Global Certification Authority

• Letter of Intent Forming New Certification Organization

• Registrar Accreditation Board (RAB)

• Quality Society of Australasia Limited (QSA International)

• Auditor Certification and Training Course Accreditation

Slide 28

New and Revised Guidance Documents and Standards

• ISO/IEC 17011:2004 Conformity Assessment – Accreditation Bodies (AB)

• ISO/IEC 17021:2004 Conformity Assessment – Certification/Registration Bodies (CRB)

• ISO 14001:2003 EMS Specification with Guidance for Use

• ISO 19011:2002 QMS/EMS Auditing

Slide 29

WhyRegister?

Why Organizations are Registering to

ISO 4001Customers requiring / recommending itDemonstrates environmental

responsibility to StakeholdersExecutive Order 13148 requires EMSBuilt into the Corporate cultureInstills discipline into environmental

management processAssurance to management that

environmental matters are handled responsibly

Slide 31

Benefits ofISO 14001 EMS

• Improved environmental performance (utility use, emissions, waste)

• Reduction in potential liabilities (emissions, waste)

• Positive corporate image (regulators, environmental groups, financial institutions, community)

• Identified opportunities for waste reduction and cost savings (higher operating efficiencies, lower disposal costs) Slide 32

Benefits ofISO 14001 EMS

• Heightened employee environmental awareness (employees significant part of system)

• Reliable management process (ISO 14001 proven effective)

• Improved competitive edge in global marketplace (Asia and Europe)

Slide 33

Environmental Agency

Incentives• Reduction of penalties

• Special public recognition

• Fewer scheduled routine inspections

• Faster permitting procedures

• Reduced or streamlined reporting

• Supplier requirements by governmental agencies

Slide 34

EMS Environmental Performance Improvement

• Parameters Established objectives and targets from EMS EMS in existence greater than 2 years One objective of the EMS was environmental

performance improvement 3rd Party certification of EMS

• Database Clients of RAB Accredited Registrars Performance Track Participants Association Multi-State Work Group on EMS Michigan EMS Database NAEM & GEMI Corporate MembersSlide 35

Why NAP Accreditation?

• Credibility

• Leadership

• Representation

• Perspective

• Choice

Slide 36

Questions&

Comments