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Management Systems Beyond Today’s Horizon

Management Systems Beyond Today’s Horizon. Robert H. King Sept. 13, 2004. Today’s Agenda. RAB value statement How RAB must change and stay true to the mission New ways of doing business Issues in today’s world. RAB Vision and Mission. RAB Vision. RAB will be an acknowledged leader:

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Management Systems Beyond Today’s Horizon

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  1. ManagementSystems BeyondToday’s Horizon Robert H. King Sept. 13, 2004

  2. Today’s Agenda • RAB value statement • How RAB must change and stay true to the mission • New ways of doing business • Issues in today’s world

  3. RAB Visionand Mission

  4. RAB Vision RAB will be an acknowledged leader: • Guiding the international development and implementation of accreditation and certification processes that build confidence and value for stakeholders worldwide • Providing the most professional, value-added services for its customers

  5. RAB Mission • Value-added, cost-effective provider of CA services • Advance credibility of CA • Establish mutual recognition agreements that advance acceptance of CA activities • Recognized leader in continually improving CA processes

  6. RAB Background • Financially self-supporting non-profit organization in Milwaukee • Governed by 17-member board representing EMS and QMS • Exists to serve conformity assessment needs of business, registrars, course providers, and individual auditors

  7. Organizational Relationships ANSI Conformity Assessment Policy Committee RAB Board of Directors ANSI-RAB National Accreditation Program Joint Oversight Board Accreditation and Certification Board QMS Council EMS Council Accreditation Services (Administered by ANSI and RAB Staff) Certification Services (Administered by RAB Staff) Accredit QMS Registrars Accredit EMS Registrars Certify QMS and EMS Auditors Accredit QMS and EMS Course Providers

  8. RAB Operating partner for programs Coordinates initial accreditation audits and ongoing surveillance audits of registrars ANSI Provides due process and public review of program criteria and procedures Promotes NAP and represents it internationally ANSI-RAB NationalAccreditation Program

  9. IAF Concerns • ANSI-RAB agreement does not meet the “legal entity” requirement • Both accreditation (CRBs) and certification (auditors) in the same organization

  10. How This Will Change • ANSI-RAB NAP will change identity • New businesses of accreditation will emerge • Former partnership with ANSI will become legal entity

  11. Options for Future ofAuditor Business Find cooperative partner • Possible Buy competitor • Expensive Inch forward with core business and expand by new business introduction • Impractical

  12. QSA International • Quality Society of Australasia Ltd. • Established in 1989 as professional society • Not-for-profit company limited by guarantee • Based in Sydney with JV offices in Hanoi, Kuala Lampur, and Auckland, with representation Hong Kong, China, and India

  13. First Step to Merger Agreed objective: To exploit, develop, and profit from the international personnel certification and training accreditation markets, achieving the status of “company of first choice” for persons seeking recognition and professional development.

  14. RABQSA International • Incorporated in U.S. as 501(c)(6) • Principal centers USA and Australia with international joint venture offices • Single board, business plan, market • ASQ will be only member • ISO/IEC 17024 accredited • Priority markets: core and developing economies

  15. RABQSA International • QSA and RAB boards approved • Agreement signed in June • Interim board established • Bylaws drafted • Business case complete • Plan in place for reorganization under tax exempt status

  16. New Business Processes • MCAA • Value-added assessments • Auditing post-Enron • Trends in auditor competence and RAB’s direction

  17. MultilateralCooperativeAccreditationArrangement

  18. Multilateral CooperativeAccreditation Agreement IAF Guidance on Cross Frontier Accreditation: “Defined arrangements between IAF MLA signatory ABs are also necessary to meet the requirements of clause 2.1.3 of ISO/IEC Guide 61, e.g., through subcontracting arrangements and arrangements for joint assessment activity.”

  19. MCAA Purpose • To provide for the recognition of the acceptability of the results of each party’s assessment and accreditation program based upon the determination of equivalence

  20. MCAA Scope • Covers accreditation programs for certification bodies of management systems for QMS, EMS, QS-9000, AS9100, TL 9000, and RC 14001, and does not include any other accreditation program administered by any of the parties

  21. MCAA Implementation • Initially signed by JAB (Japan) and ANSI-RAB NAP (United States) in September 2003 • JAS-ANZ (Australia and New Zealand) subsequently signed in December 2003 • SAI Global jointly accredited by NAP, JAB, and JAS-ANZ in June

  22. MCAA and Cross-Frontier Guidance • Method by which ABs can meet requirements of cross-frontier guidance • MCAA formalizes network of ABs required by cross-frontier guidance • Method of ensuring that ABs in developing countries are engaged

  23. MCAA ManagementSystem Highlights Initial accreditation audits • In lieu of full system office or witness audit, AB may consider reviewing previous audit reports of CRB’s AB AND • Conduct abbreviated audits with emphasis on Advisories (where applicable) and results of off-site document review

  24. MCAA ManagementSystem Highlights Re-accreditation and surveillance audits • ABs cooperate with other signatories to agree upon a surveillance and re-accreditation program for each mutually accredited CRB • Eliminating redundant audits takes cost out of the system

  25. Advantages for CRBs • CRBs that are mutually accredited by MCAA ABs would immediately realize reduced audits and dollar savings • CRBs will find that reclassification to avoid the critical office clause is unnecessary

  26. Advantages for CRBs Three CRBs mutually accredited by NAP, JAB, and JAS-ANZ • This could immediately assist the three CRBs by reducing audits • Savings to CRBs Five more CRB offices accredited by NAP, JAB, and JAS-ANZ • This could assist CRBs under cross-frontier policy

  27. MCAA Advantages • Provides for harmonization of processes • Provides for AB member auditor training • Requires member ABs to be signatories of IAF MLA • Requires participating CRBs to agree to shared information • Increases oversight information to member ABs

  28. Improving Integrityof AB Programs Language barriers eliminated • International audits conducted by auditors who speak and read the language Confidence in other ABs’ work • Annual audits of ABs will ensure AB network’s confidence in each other’s processes

  29. Improving Integrityof AB Programs Plethora of info on accredited CRBs • CRBs must sign release to allow ABs to share information on audit results, complaints, appeals, issues, etc. Flexibility to not work with AB even though it’s MLA signatory • If initial audit of AB is unsuccessful, AB network could decline to sign MCAA with that AB

  30. Value-Added Assessments

  31. Value-Added Assessments Elements that add value: • Effectiveness • Efficiency • Cost reduction • Waste elimination • Risk management • Control

  32. Skills to Enhance Trust How to enhance confidence people put in auditing and CA scheme • Be open and honest • Communicate clearly • Provide outstanding service • Do better understanding and addressing needs • Demonstrate industry leadership

  33. Leadership Skills Most important leadership qualities: • Assume personal responsibility • Show care and concern for customers • Stick to code of ethics • Communicate openly • Handle crises better

  34. AuditingPost-Enron

  35. Auditing in thePost-Enron Age • Reaffirms importance of avoiding conflict between auditing and consulting • Illustrates how quickly trust can be replaced by skepticism • Need to see increased attention as upside of Enron collapse

  36. Auditing vs. Consulting • Perception of risk to auditor’s independence can damage company • Enron dramatizes need to focus on auditor independence, potential for conflict of interest • Shareholders more inclined to apply pressure

  37. Auditing Post-Enron • Need more than checklist audit • Value a function of professional independence and impartiality • Well-crafted nonconformity statements indicate value of work performed

  38. Trends InAuditor Competence

  39. ISO/IEC 17024 • Management systems standard for personnel certification bodies • Competency-based requirements will replace current qualification-based approach • RABQSA International will offer truly global option for accredited certification

  40. International Market • Our product • Target market • Sales strategy • Market delivery strategy • Service strategy • Product R&D

  41. International Market Our product • Accredited personnel certification • Training provider accreditation • Professional development • International registers

  42. Current DriversExample: MS Auditing purpose audit management system identity auditor values and behavior inspection and compliance capabilities technical auditing skills service environment (market) compliance auditing

  43. New (Competency)Drivers purpose improve business performance identity improver and facilitator values and behavior value and relevance capabilities business improvement skills service environment (market) business improvement

  44. International Market Target market - industry segments • Conformity, risk assessment – MS auditor certification • Professional certification – consultant, BI specialists, managers • Trade certification • Industry specific certification

  45. International Market Market "engagement of persons independently certified by RABQSA provides you with the confidence and assurance that the person is recognized as competent to internationally accepted standards of performance"

  46. International Market Market delivery strategy • Need for rationalization of service providers (PCB) • Virtual e-based - anywhere, anytime! • Centralized control of certification and data management systems, marketing, and business/product development • Decentralized service centers via in-country joint venture • Promotion to industry

  47. International Market Market delivery • Decentralized service centers • Low risk, minimum capital investment • Local service – face, culture, and currency • Maintain control of certification • Consistency of competencies

  48. International Market Service • Virtual e-based “plug and go!” • Tailored personnel certification • Training provider accreditation • Tailored professional development • International registers

  49. Market Satisfiers • Competent people – value and relevance to bottom line • Market (industry) recognition • International (common) examination and recognition of competence • Tailored industry certification schemes

  50. Roadmap to Certification PCB Scheme Committee Stakeholder engagement Scheme design Definition of competencies PCB Certification Examination of evidence of skills, knowledge, experience, attributes Evaluation process Training Examination of knowledge Industry Examination of evidence of skills, attributes

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