ISO14001 Registration - Should we register

How to select a registrar

What to expect

How to prepare

Suzanne W. Sessoms, PE

Excel Partnership

(910) 686-1475

Registration Process• Decide to Register• Select Registrar• Agree on Scope of Registration• Select Audit Team/Leader• Schedule Pre-assessment/Phase 1/ Phase 2 activities• Pre-assessment (optional)• Phase I - Document Review• Phase II - Interviews/Documentation-Records Review• Registration Decision• Follow-up• Surveillance• Re-registration

Decision to Register

• Internal Motivators– Better Compliance

Assurance

– Reduced Costs/Liabilities

– Pollution Prevention

• External Motivators– Customers

– Competitors

– Regulatory Flexibility

– Environmental Activist Groups

– Community

– Insurance/Banking

Criteria for Registrar Selection

• Accreditation Status/Industry Experience• Auditor Selection/Training Protocol• EMS/Registration Approach• Potential Conflicts of Interest/Integration Potential• Total Cost

Accreditation Status/Industry Experience

• Accreditation Status– US

– International

– Quality/Environmental

• Industry Experience– Customers

– Competitors

– Credibility

– Understand

Auditor Selection/Training Protocol

• Quality or Environmental Background• Formal Training• OJT• Audit Team Make-up• Audit Team Leader Selection

EMS/Registration Approach

• EMS Approach Consideration– Interpretation of

standard

– Non-prescriptive

– Focus on business needs

• Registration Approach Considerations– Well-defined system

– Customer/supplier relationship with registrar

– Total value

– Process to grant or withdraw registration

Potential Conflicts of Interest/Integration Potential

• Potential Conflicts of Interest– Training

– Consulting

– Competitors

– Customers

– Suppliers

• Integration Opportunities– Integrated audits

Total Cost

• Application fee• Preparation fees• Initial visit• Manual or document review• Pre-assessment audit• Registration assessment• Partial or full re-assessment• Surveillance audits

Prepare to be audited

• Agree on scope/timing

• Complete pre-audit questionnaire

• Phase I - Documentation Review/Site Tour– Prepare site/location/organization statistics

– Share EMS Description

– Summarize significant aspects

– Summarize regulatory requirements

• Phase II - Interviews/Document-Records Review– Prepare management team

– Ensure personnel are available

– Ensure documentation and records are readily available

Registration Decision/Options for Follow-up

• Recommend registration (after correcting minor non-conformances)

• Partial re-audit required (within 3 mos.)• Full re-audit required

Registration Maintenance

• Surveillance audits• Sampling plan for multiple sites• Use of internal auditors as part of

registration/surveillance audit team• Re-registration