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1. A, B, Cs of Certification for
Recyclers
Presented by
Mike Danielson
Director Business Dev.
W W W . O R I O N 4 V A L U E . C O M
7850 Vance Dr. Ste. 210
Orion Registrar, Inc. Phone: 303-456-6010
Arvada, CO 80003 Fax: 303-456-6681
Orion Registrar, Inc. - www.orion4value.com - 303-456-6010 Pg. 1
Email: info@orion4value.com
2. “A,” About Certification Bodies
C e r t i fi c a t i o n • The terms “Certification Bodies” (CB) and
“Registration Bodies” (RB) are used
AB C s o f
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)
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3. “A,” About Certification Bodies
C e r t i fi c a t i o n • Accredited CB’s are required to meet the
requirements of:
• ISO 17021
AB C s o f
• IAF Mandatory Documents
• Transfer of Certification
• Audit time
• Multiple Site Sampling
• ANAB additional requirements:
• Accreditation Rules
• Heads Ups
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4. “A,” About Certification Bodies
C e r t i fi c a t i o n To the end user, an accredited “CB” provides
the confidence that the certification will be
conducted in a professional and unbiased
AB C s o f
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 decision
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5. “A,” About Certification Bodies
C e r t i fi c a t i o n • ISO 17021 Principles continued:
• Openness
• Provide public access to or disclosure of appropriate and
AB C s o f
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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6. “A,” About Certification Bodies
R2 Accredited CBs:
C e r t i fi c a t i o n • AQA International
• Orion Registrar, Inc.
AB C s o f
• Perry Johnson Registrars, Inc
• SGS
e-Stewards Accredited CBs:
• AQA International
• Orion Registrar, Inc.
• SAI Global Certification Services
Source: ANAB Website (www.anab.org)
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7. “B,” Basics of Certification
Certification Process
C e r t i fi c a t i o n • Pre Assessment (Optional)
• Stage 1 Audit-determine readiness for Stage 2
AB C s o f
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
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8. “B,” Basics of Certification
C e r t i fi c a t i o n • Pre Assessment/Gap Analysis
• Not Mandatory
AB C s o f
• 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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9. “B,” Basics of Certification
C e r t i fi c a t i o n Stage 1
• Overall goal is to determine if Client
Management System and Preparation is ready
for Stage 2
AB C s o f
• 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
Client
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10. “B,” Basics of Certification
How do we Audit?
C e r t i fi c a t i o n • Audit for Compliance by:
• Observation of the process or specific
AB C s o f
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
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11. “B,” Basics of Certification
Noncompliance:
C e r t i fi c a t i o n • Major nonconformity is:
• If one or more elements of the standard have not been
documented or implemented;
AB C s o f
• 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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12. “B,” Basics of Certification
C e r t i fi c a t i o n Stage 2
• Audit to
AB C s o f
• Compliance
• Determine effectiveness of system
• Determine if company should be certified
• Normally conducted 30 days after the
Stage1
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13. “B,” Basics of Certification
C e r t i fi c a t i o n Certification:
• Achieved when:
AB C s o f
• 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 Body
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14. “B,” Basics of Certification
C e r t i fi c a t i o n Surveillances
• Mini Audits that sample the continued
AB C s o f
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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15. “B,” Basics of Certification
C e r t i fi c a t i o n Recertification
• Review the complete Management System
AB C s o f
to the Recycling Standard requirements
• Should be conducted before the Certificate
Expires (3 years from the Stage 2)
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16. “C,” Costs
“It is going to cost $80,000 to $90,000”
C e r t i fi c a t i o n EPA employee during a discussion with
a small non profit recycler
AB C s o f
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 BAN
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17. “C,” Costs, R2
C e r t i fi c a t i o n Since there are no specific rules for R2-how is
time determined?
• Probably less audit time than e-Stewards
AB C s o f
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
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18. “C,” Costs, e-Stewards
C e r t i fi c a t i o n “Recyclers will pay a fee to the auditor (CB)
and a licensing fee to BAN — roughly
AB C s o f
$15,000 for a midsize company”
Jim Puckett
What are typical Costs?
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19. “C,” Costs, e-Stewards
• Cost for Certification is based upon the
C e r t i fi c a t i o n amount of audit time or audit day
• Some CBs may have additional charges or
AB C s o f
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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20. “C,” Costs, e-Stewards
ISO 14001 Audit Time
IAF Mandatory Document 5, has risk levels for
C e r t i fi c a t i o n different types of company (www.iaf.nu)
Examples of levels are:
AB C s o f
• 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)?
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21. “C,” Costs, e-Stewards
ISO 14001 Time-Continued:
C e r t i fi c a t i o n Other factors (for example):
• Number of Employees
AB C s o f
• Maturity of systems
• Complexity of documentation
• Amount of Environmental Regulations or
other regulations
• Multi-site
Audit time may be added or reduced
The more information you provide to the CB,
the better the quotation for the service.
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22. “C,” Costs
C e r t i fi c a t i o n Examples of Cost:
• Based on a $1,300 audit day-this may or
AB C s o f
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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23. “C,” Costs, e-Stewards
Example #1
C e r t i fi c a t i o n Scenario:
• Small recycler, non-profit, primarily
AB C s o f
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-$250
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24. “C,” Costs, e-Stewards
Example #2
C e r t i fi c a t i o n Scenario:
• Small recycler, primarily disassembly and
AB C s o f
sales
• Approximately 1.5 million sales
Cost-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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25. “C,” Costs, e-Stewards
Example #3
C e r t i fi c a t i o n Scenario:
• Primarily disassembly, repair, and sales
AB C s o f
• 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-$8,300
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26. “C,” Costs, e-Stewards
Example #4
C e r t i fi c a t i o n Scenario:
• Primarily disassembly and sales
AB C s o f
• 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-$5,400
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27. Conclusion
C e r t i fi c a t i o n • Thank you for the opportunity
• If you have any questions contact:
AB C s o f
• Mike Danielson
• mdanielson@orion4value.com
• 716-485-1736
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