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Accreditationand
Certification Process for ISO
14001 EMSChris Spire
NAP EMS Council
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Agenda
• National Accreditation Program (NAP) Organization
• Accreditation/Certification/ Registration Process
• Continual Improvement in NAP
• What Does the Future Hold?
• Why Register?
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National Accreditation
Program (NAP) Organization
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Relationships
ANSI RAB
Accreditationand Certification
Board
National AccreditationProgram (NAP)
QMS Council
EMS Council
QMSand EMSAuditors
QMS andEMS CourseProviders
QMSRegistrars
EMSRegistrars
Certifies
Accredits Accredits
RAB
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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
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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
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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
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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
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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
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Accreditation Certification Registration
Process
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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)
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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
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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
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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
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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
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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
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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)
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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
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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
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ISO 14001 Registrations
in the United StatesPUBLIC PRIVATE
NATIONAL 7 ?
LOCAL 17 3917
8/2004
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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
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Continual Improvement
in NAP
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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
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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
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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
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What Doesthe Future
Hold?
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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)
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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
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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
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WhyRegister?
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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
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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
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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)
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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
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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
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Why NAP Accreditation?
• Credibility
• Leadership
• Representation
• Perspective
• Choice
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Questions&
Comments