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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 1
A, B, Cs of Certification for Recyclers
Presented byMike Danielson
Director Business Dev.Orion Registrar, Inc.
7850 Vance Dr. Ste. 210Arvada, CO 80003
Phone: 303-456-6010Fax: 303-456-6681Email: [email protected]
W W W . O R I O N 4 V A L U E . C O M
Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 2
“A,” About Certification Bodies
• The terms “Certification Bodies” (CB) and “Registration Bodies” (RB) are used interchangeably
• Accredited CBs are highly regulated.• Our “regulation” is our accreditation which
is accomplished by ANSI-ASQ National Accreditation Board (ANAB)
• ANAB’s accreditation is achieved through US Government appointment and membership in the International Accreditation Forum (IAF)A
BC
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 3
“A,” About Certification Bodies
• Accredited CB’s are required to meet the requirements of:• ISO 17021• IAF Mandatory Documents
• Transfer of Certification
• Audit time
• Multiple Site Sampling
• ANAB additional requirements: • Accreditation Rules
• Heads Ups
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 4
“A,” About Certification Bodies
To the end user, an accredited “CB” provides the confidence that the certification will be conducted in a professional and unbiased process.
ISO 17021 has the following principles:• Impartiality
• Being Impartial• Being perceived to be impartial• Committee to Safeguard Impartiality
• Competence• “Competence is the demonstrated ability to apply knowledge
and skills”• Responsibility
• To assess sufficient evidence upon which to base certification decisionA
BC
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 5
“A,” About Certification Bodies
• ISO 17021 Principles continued:• Openness
• Provide public access to or disclosure of appropriate and timely information about
• Audit process• Certification process• Certification status
• Confidentiality• In order to gain access• Essential that CB keep confidential proprietary information
about a client
• Responsiveness to Complaints• “Effective responsiveness to complaints is an important
means of protection for the CB, its client and other users of certification against errors, omissions or unreasonable behavior.”
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 6
“A,” About Certification BodiesR2 Accredited CBs:
• AQA International• Orion Registrar, Inc.• Perry Johnson Registrars, Inc• SGS
e-Stewards Accredited CBs:• AQA International• Orion Registrar, Inc.• SAI Global Certification Services
Source: ANAB Website (www.anab.org)AB
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 7
“B,” Basics of CertificationA
BC
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Certification Process• Pre Assessment (Optional)
• Stage 1 Audit-determine readiness for Stage 2 Audit
• Stage 2 Audit-determine certification to e-Stewards
• Nonconformities-did not meet e-Stewards requirements
• Certification-accomplished when Stage 2 completed and nonconformities are completed
• Surveillances-samples the implementation of e-Stewards, every 6 months or once a year
• Recertification-3 years after Stage 2
Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 8
“B,” Basics of Certification
• Pre Assessment/Gap Analysis• Not Mandatory• Client determines the scope• Teaches personnel how to be audited• Does not result in audit findings• CB can not provide consulting
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 9
“B,” Basics of Certification
Stage 1• Overall goal is to determine if Client
Management System and Preparation is ready for Stage 2
• Normally conducted on-site• May consist of the following activities:
• Document review • Review aspect analysis• Review Audit scope• Audit Management Review/Internal Audits• Audit Corrective Actions• Interview top management including ISO Rep to
determine• Adequate Resources/Commitments/Preparations
• Review Program implementations if on site • Plan the Stage 2 Audit Activities & schedule with the
ClientAB
Cs
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 10
“B,” Basics of CertificationHow do we Audit?
• Audit for Compliance by:• Observation of the process or specific
activity or action• Interview of personnel• Review of procedures, documentation
and records• Comparison of the above to the
requirement of the Recycling Standard• Determine effectiveness of system• Determine if company should be certified
AB
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 11
“B,” Basics of Certification
Noncompliance:• Major nonconformity is:
• If one or more elements of the standard have not been documented or implemented;
• When several elements of the standard show similar nonconformities (a trend);
• A situation that raises significant doubt about the ability of the client's management system to achieve its intended outputs;
• Minor nonconformity is:• Noncompliance that judgment and experience indicate the
situation is not likely to result in the failure of the Environmental/Recycling System or reduce its ability to assure controlled processes. It may be either:
• A failure in some part of the documented System relative to recycling standard,
• An observed lapse in following one item of a company’s recycling system. A single instance may or may not rise to the level of a nonconformity, depending on circumstances.
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 12
“B,” Basics of Certification
Stage 2• Audit to
• Compliance• Determine effectiveness of system• Determine if company should be certified
• Normally conducted 30 days after the Stage1
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 13
“B,” Basics of Certification
Certification:• Achieved when:
• Stage 2 Completed• Major nonconformities closed-out• Acceptable corrective action plan for
minor nonconformities• Certificate wording approved by client
• Certification period normally 3 years• Certification based on maintenance of
Management System and performance of Surveillances by Certification BodyA
BC
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 14
“B,” Basics of Certification
Surveillances• Mini Audits that sample the continued
implementation of the requirements for the Recycling Standard
• Normally about 1/3 the audit time of Stage 1 and Stage 2
• First Surveillance is required to be conducted within 12 months of the last day of the Stage 2 Audit
• Surveillances may be conducted at the 6 month or 12 month interval
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 15
“B,” Basics of Certification
Recertification• Review the complete Management System
to the Recycling Standard requirements• Should be conducted before the Certificate
Expires (3 years from the Stage 2)
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“C,” Costs“It is going to cost $80,000 to $90,000”
EPA employee during a discussion with a small non profit recycler
What are typical Costs?• The price for Certification is a
combination of audit time plus any other charges the CB may charge
• Principles:• R2 does not have rules for audit time
• e-Stewards does have rules for audit time
• R2 does not have fees for use
• e-Stewards have fees paid to BANAB
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 17
“C,” Costs, R2
Since there are no specific rules for R2-how is time determined?• Probably less audit time than e-Stewards
because there are less requirements• Probably more time ISO 14001 which has
rules for audit time• Probably audit time will vary between
CB’s because of lack of rules• For this presentation we will review e-
Steward audit days/costs and realize that R2 Certification is probably less
AB
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 18
“C,” Costs, e-Stewards
“Recyclers will pay a fee to the auditor (CB) and a licensing fee to BAN — roughly $15,000 for a midsize company”
Jim Puckett
What are typical Costs?
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 19
“C,” Costs, e-Stewards
• Cost for Certification is based upon the amount of audit time or audit day
• Some CBs may have additional charges or fees for certification or continued certification
• Appendix B of e-Stewards Standard provides requirements for audit time:
• Amount of time for ISO 14001
• Plus at least additional 30% for e-Stewards
• Unless already ISO 14001 Certified-reduce time by 50%
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 20
“C,” Costs, e-StewardsISO 14001 Audit TimeIAF Mandatory Document 5, has risk levels for
different types of company (www.iaf.nu)Examples of levels are:
• Disassemble electronic equipment?• Harvest working parts or components?• Repair or refurbish electronic equipment?• Sell original or refurbished electronic
equipment?• Shred computer hard drives/circuit boards?• Shred other electronic components (plastic,
etc.)?• Process any of the electronic components?• Process glass/batteries• Metals reprocessing (furnaces)? A
BC
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 21
“C,” Costs, e-StewardsISO 14001 Time-Continued:Other factors (for example):
• Number of Employees• Maturity of systems• Complexity of documentation• Amount of Environmental Regulations or
other regulations• Multi-site
Audit time may be added or reducedThe more information you provide to the CB,
the better the quotation for the service.
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 22
“C,” Costs
Examples of Cost:• Based on a $1,300 audit day-this may or
may not be an average audit day cost• Based upon no additional fees-many CBs
have additional fees• Does not include travel costs for the
auditors• Certification is competitive
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 23
“C,” Costs, e-StewardsExample #1
Scenario:• Small recycler, non-profit, primarily
disassembly and sales• Less than 1 million sales
Costs-First year ($4,150)• CB-$3,900• e-Stewards Fee-$250
• Cost-Second year ($1,550)• CB-$1,300• e-Stewards Fee-$250A
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 24
“C,” Costs, e-StewardsExample #2Scenario:
• Small recycler, primarily disassembly and sales
• Approximately 1.5 million salesCost-First Year ($6,500)
• CB-$5,200• e-Stewards Fee-$1,300
Cost-Second Year ($3,250)• CB-$1,950• e-Stewards Fee-$1,300
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 25
“C,” Costs, e-StewardsExample #3Scenario:
• Primarily disassembly, repair, and sales• Two locations• Approximately 10 million sales
Cost-First Year ($16,750)• CB-$8,450• e-Stewards Fee-$8,300
Cost-Second Year ($12,200)• CB-$3,900• e-Stewards Fee-$8,300A
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 26
“C,” Costs, e-StewardsExample #4Scenario:
• Primarily disassembly and sales• ISO 14001 Certified• Approximately 7.5 million sales
Cost-First Year-($10,600)• CB-$5,200• e-Stewards Fee-$5,400
Cost-Second Year ($8,000)• CB-$2,600• e-Stewards Fee-$5,400A
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Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 27
Conclusion
• Thank you for the opportunity• If you have any questions contact:
• Mike Danielson• [email protected]• 716-485-1736
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