EMS Today: Emerging Issues Energy & Environmental Division National Conference San Antonio, Texas September 20, 2005
Agenda • Auditor Competence for OHSMS • Possible revision to QE 19011S-2004 • IAF/ISO Task Force on Auditor Competence • IAF Task Force on Guidance for Certification and Accreditation Audits • ISO/CASCO requirements for Certification and Accreditation Audits
Agenda contd. • IAF Task Force on Auditing Regulatory Compliance • Scope of task vs. current status • Issues of concern • Recommendations from U.S. TAG 207
Auditor Competence for OHSMS • Several OHSMS standards exist: • ANSI Z10-2005 • BS 8800 • BSI document OHSAS 18001 used as standard. • More than 11,000 certificates issued world wide.
Auditor Competence for OHSMS • No criteria for OHMS audits exist. • No auditor competence criteria exists. • How “good” are the audits? • No one knows. • No process, no comparability, no confidence.
Auditor Competence for OHSMS • Need for criteria for auditor competence criteria exists. • Possible solution: • Revise ANSI/ASQ QE 19011S-2004. • Add knowledge, skills, & experience unique to OHSMS. • Guidance would be independent of OHMS standard.
Auditor Competence for OHSMS • Approach: • Propose New Work Item for ANSI Z1 Committee. • Revision governed by EMSC and QMSC. • Focus on auditing process. • Form Joint Task Group with OHMS experts included. • Revision could be completed in 12-15 months.
IAF/ISO Task Force on Auditor Competence • Members included ISO/CASCO, TC 176, TC 207, and IAF • Scope: • Define competence issue • How should issue be addressed • Recommend approach to ISO/ILAC/IAF Joint Coordination Group • Needed to complete by June 2005.
IAF/ISO Task Force on Auditor Competence • Results: • Revised interpretation of competence in ISO 19011:2002. • Competence of individual auditor • Specific competencies needed for a particular audit team • Management of auditor competence by CB and AB managers • Acknowledged early U.S. concerns on competence being based on type of audit program. • Accepted key elements of U.S. Supplement to ISO 19011. • Proposed new IAF Guidance on Applying ISO 19011:2002 to Certification and Accreditation Audits
IAF/ISO Task Force on Auditor Competence • Results contd.: • IAF Task Force is continuing development of draft guidance with TC 176 and TC 207 participation. • CASCO has revised ISO 17021 to authorize use of the new IAF Guidance for CB audits as a requirement. • CASCO will need to amend ISO 17011 to authorize use of the new IAF Guidance for AB audits as a requirement.
IAF Task Force on Guidance on Applying ISO 19011 • Modify ISO 19011:2002 to provide explicit guidance on Certification and Accreditation auditing. • Use verbatim ISO text when applicable • Add new guidance to clarify for CB and AB audits. • Will include some text from U.S. Supplement to ISO 19011 (ANSI/ISO/ASQ QE 19011S-2004). • Draft should be presented to IAF this fall.
IAF Task Force on Auditing Regulatory Compliance • Background: • IAF Task Force formed in November 2003. • Membership included regulators and national conformity assessment experts, including one representative from TC 207. • Conceived as 1-3 page guide to auditors on relationship between regulatory compliance and ISO 14001. • Document has grown in size and changed in scope.
IAF Task Force on Auditing Regulatory Compliance • Weaknesses in Current Draft: • Does not clearly define “compliance.” • Deviates from original scope. • Appears to add requirements to ISO 14001. • Multiple interpretations of “regulatory compliance” internationally. • No input solicited from Industry or Registrars. • Appears to expect auditors to be expert in regulations. • Has not considered potential liability issues.
IAF Task Force on Auditing Regulatory Compliance • Current 2nd draft was discussed with IAF Technical Committee last week in Auckland, New Zealand. • U.S. TAG 207 suggested that Task Force: • Start over with original scope • Include input from regulated community • Include input from Registrars
IAF Task Force on Auditing Regulatory Compliance • IAF Technical Committee determined that: • Work on the document is suspended indefinitely. • Flaws in process and document raised major questions about its usefulness. • Lack of user input was a key deficiency.
IAF Task Force on Auditing Regulatory Compliance • IAF could resume this project in the future. • TAG 207 hopes that it will remain closed.
Questions Thank you!