Frequently Asked Questions
What is the ANSI-ASQ National
Accreditation Board?
The ANSI-ASQ National Accreditation Board is the U.S.
accreditation body for management systems certification (under the
ANAB brand) and an accreditation body for laboratories, inspection
bodies, reference material producers, and proficiency testing
providers (under the ACLASS brand.
ANAB accreditation for certification bodies (CBs) is available
for ISO 9001 quality management systems (QMS); ISO 14001
environmental management systems (EMS); ISO 27001 information
security management systems (ISMS); ISO 22000 food safety
management systems (FSMS); ANSI/AIHA Z10, CSA Z1000, and BS OHSAS
18001 occupational health and safety management systems (OHSMS);
ISO 28000 supply chain security management systems (SCSMS); ISO/IEC
20000-1 information technology service management systems (ITSMS);
the Recycling Industry Operating Standard (RIOS); and numerous
industry-specific requirements.
ANAB ensures that the CBs it accredits are competent and comply
with the international requirements. Like its counterparts in other
countries, ANAB oversees the competency of those it accredits
through a rigorous system of evaluation and accreditation.
ANAB was formed by the American National Standards Institute (ANSI)
and the American
Society for Quality (ASQ) in 2005, but ANAB's roots go back to
1989. That's when ASQ formed the Registrar Accreditation Board
(RAB) to accredit QMS CBs. When RAB was established, it immediately
sought to strengthen the U.S. system for CB accreditation by
pursuing a formal relationship with ANSI. Within the U.S. voluntary
standards community, ANSI is the primary umbrella organization. In
1991, ANSI and RAB joined forces to establish the American National
Accreditation Program for Registrars of Quality Systems; in 1996
the original joint program was replaced by the ANSI-RAB National
Accreditation Program (NAP), which was began accrediting EMS CBs as
well as those for QMS.
ANAB is headquartered in Milwaukee, WI, and operates in
international and domestic markets. ANAB is an independently
governed and operated legal entity. It is financially
self-supported and has a board of directors that represents its
stakeholders.
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Under what authority does ANAB
operate?
ANAB is a Wisconsin limited liability corporation operating
under an agreement between the American National Standards
Institute (ANSI) and the American Society for Quality (ASQ), both
of which are New York nonprofit corporations.
ANAB operations are in keeping with U.S. government support for
use of standards and conformity assessment solutions developed or
adopted by private, voluntary consensus standards bodies in lieu of
developing government-unique standards or regulations (per the
National Technology Transfer and Advancement Act of 1995, Public
Law 104-113). ANAB operations are also consistent with the
government's endorsement of close interaction and cooperation
between the public and private sectors as critical to developing
and using standards that serve national needs and support
innovation and competitiveness (per the Office of Management and
Budget a-119: Federal Participation in the Development and Use of
Voluntary Consensus Standards in Conformity Assessment
Activities).
ANSI, one of the owners of ANAB, is the U.S. body to the
International Organization for Standardization (ISO). ANAB's board
of directors and Accreditation Council are composed of
representatives of stakeholders of ANAB programs, including
government.
ANAB is a recognized member of the International Accreditation
Forum (IAF) and a signatory of the IAF multilateral recognition
arrangements (MRAs).
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Who oversees ANAB's
work?
ANAB complies with international standards and requirements for
accreditation bodies and is a member of the International
Accreditation Forum (IAF) and the InterAmerican
Accreditation Cooperation (IAAC). ANAB is signatory of the IAF
and IAAC multilateral cooperative arrangements (MLAs) for QMS and
EMS. IAF and IAAC members are admitted to the MLAs after a
stringent assessment of their operations by a peer evaluation team
charged to ensure full compliance with international standards and
IAF and IAAC requirements. MLA signatories are required to
recognize the certificates issued by certification bodies
accredited by all other signatories of the MLAs.
Through the IAF and IAAC MLAs and the Multilateral Cooperative Accreditation
Arrangement, ANAB cooperates with other accreditation bodies
around the world to provide value to its accredited CBs and their
clients, ensuring that accredited certificates are recognized
nationally and internationally. The global conformity assessment
system ensures confidence and reduces risk for customers engaging
in trade worldwide.
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What is the role of the
International Organization for Standardization (ISO)?
ISO is a
standards-writing organization and does not approve or sanction
accreditation bodies such as ANAB. As a private-sector organization
that grew out of the U.S. voluntary standards community, ANAB does
not report to ISO, the U.S. government, or any other specific
organization. ANAB exists to serve the conformity assessment needs
of business and industry.
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How is ANAB financially
supported?
ANAB is supported by fees charged for its accreditation
services. ANAB receives no funding from ASQ, ANSI, or any
government agency.
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What is
certification?
Certification is the act of verifying the conformance to a
standard or other requirements. A certification body audits an
organization and, if appropriate, a certificate of conformance to a
given standard (for example, ISO 9001 for quality management
systems) is issued. With regard to management systems, the terms
certification and registration are used interchangeably.
(Certification also refers to the process of validating and
verifying the credentials of individuals, such as auditors.)
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What is a certification body
(CB)?
A CB (also known as a registrar) is a third-party company
contracted to evaluate the conformance of an organization to the
requirements of the appropriate standard(s) and issue a certificate
of conformance when warranted.
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What are the benefits of
management systems certification?
Benefits of implementing quality management systems include
increased operational efficiency; an opportunity to critically
examine how employees do their work and interact between functions;
establishing the proper processes for future operations; better
documentation of methods and responsibilities; consistency of
process; greater employee awareness about quality; cost savings
from less scrap and rework, as well as fewer warranty claims;
enhanced communication among employees; customer satisfaction;
competitive edge; increased credibility; ease of trade; perceived
higher quality; reduced customer audits; increased market share;
and fulfilling supplier requirements for certification.
Benefits of implementing environmental management systems
include potential reduction in process by-products and wastes ;
greater employee awareness about the environment and the impact of
their jobs on it; potential increased energy efficiency and energy
conservation in design, production, and postproduction processes;
creation of systematic structure for complying with environmental
regulations; customer satisfaction/requirement; competitive
advantage; ease of trade, avoiding non-tariff trade barriers;
potential for improved market share; and improved image with
community and environmental groups.
Implementing other management systems may offer some of the same
benefits, as well as benefits unique to the specified type of
management system.
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What is
accreditation?
Accreditation is the means by which an authoritative body (such
as the ANAB) gives formal recognition that an organization (such as
a CB) is competent to carry out specific tasks. Accreditation
provides assurance to a CB's customers that the CB continues to
operate according to internationally accepted criteria.
Accreditation is used to validate or verify the conformance of a
certification body to the requirements of national and/or
international criteria.
An accreditation body is an organization that grants the
authority to issue certificates to the certification body. An
accredited certification body is an organization assessed and
recognized by an accrediting body for its competence to audit and
issue (and withdraw) certification attesting that an organization,
product, or person meets the requirements of a standard or other
requirements.
An organization considering certification rightfully wants to
know about the reputation and competence of the CB it selects. The
organization wants assurance that the CB is competent to evaluate
its systems and that their customers will value the CB's judgment,
no matter where their customers are located. Each country is
responsible for devising its own system for providing such
assurance through the process of accreditation. In many countries,
the job is vested in a single accreditation body, often a
government agency. In the United States, that body is ANAB for
management systems.
White
Paper on the Value of Accredited Certification
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How can I obtain a list of
ANAB-accredited management systems CBs?
This site contains a searchable directory of accredited management
systems CBs. You can search the directory by CB name, location,
scope category (for QMS), and other qualifications.
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How does ANAB determine
whether a management systems CB meets the ANAB accreditation
criteria?
ANAB accreditation assessors evaluate a prospective CB's written
policies and procedures, including the credentials of its auditors.
If all of these are acceptable, the ANAB assessor team performs a
rigorous on-site examination of the CB's internal operations and
then witnesses the CB conducting a complete client audit.
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How often are accredited
management systems CBs re-examined?
Accreditations are valid for four years. Continuance of
accreditation (surveillance) includes an annual office assessment
and an annual witnessed audit. a complete reassessment is required
every four years. Increased surveillance may required performed if
the CB wishes to extend the scope of accreditation to cover
additional industry sectors or to participate in certain specialty
fields.
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What should I do if I believe
that an ANAB-accredited management systems CB has not done an
adequate job?
Each management systems CB is required to have a system for
handling complaints. ANAB evaluates the operation of the complaint
system during its surveillance. Every CB also has an appeals system
through which clients can appeal adverse decisions. The CB's
appeals system is also evaluated by the ANAB during
surveillance.
If you have a complaint, please go to ANAB's online
complaint center.
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How can my organization
become an ANAB-accredited management systems CB?
There is information about applications here. While ANAB accepts
applications from CBs based outside of North America, ANAB
encourages such CBs to seek accreditation by their local national
accreditation body.
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What is the certification
process for management systems?
Certification is done by a CB through a series of document
reviews and facility visits and audits. The CB's auditors examine
an organization's procedures, processes, and operations to
determine their conformance to the requirements (elements) of the
standard.
The CB evaluates a variety of issues. For QMS certification,
these include but are not limited to the applicant organization's
administrative, design, and production processes; quality system
documentation; personnel training records; management reviews; and
internal audit processes. For EMS certification, these include but
are not limited to the applicant organization's administrative
processes; technical capabilities and operations; training and
experience of personnel; regulatory compliance; environmental
aspects and impacts; and management review and internal audit
processes.
The certification process can take anywhere from several weeks
to more than a year, depending on the readiness of the organization
applying for certification. Other factors that can contribute to
the amount of time certification takes are the size of the
organization, the scope of the certification, and the number of
facilities being certified and their location.
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What is a
pre-assessment?
Pre-assessment is an option offered by most CBs to help an
organization determine its readiness for the certification audit.
Other terms for pre-assessment are pre-audit and trial audit.
Pre-assessments offer the opportunity for a "no-risk-of-failure"
audit and the experience of a third-party audit.
During a pre-assessment, the audit team evaluates all applicable
management systems elements for approach, implementation, and the
amount of evidence available. Audit findings are limited to weak
implementation or failure to address an element or requirement.
These are described in a written pre-assessment report; formal
nonconformance reports may not be issued.
Accredited CBs are not permitted to offer advice on how to
resolve nonconformances, as this would be considered consulting.
Accredited CBs are not allowed to offer certification and
consulting together. ANAB limits the number and frequency of
pre-assessments to prevent the perception of consulting or advice
giving.
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Who does a CB interview
during the course of the certification process?
a CB's audit team can interview anyone from the chief executive
officer to line workers and operators. This interview process is
typically done on a sampling basis and covers a wide range of
personnel from diverse divisions and departments.
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How helpful may a management
systems CB be to the success of an organization's certification
effort?
a management systems CB may not engage in advice-giving or
consulting with the organization it is certifying. One of the
conditions of accreditation is that certification and consulting
may not be marketed together, nor may it be said or implied that
certification may be easier as a result of using the services of a
particular consultant. Persons engaged in both certification
assessment and consulting for the same organization must separate
these activities by at least two years of time. ANAB considers
private or tailored training to be consulting if it is offered by a
CB (or related body) to an organization being certified.
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How much does management
systems certification cost?
The cost depends on a variety of factors including but not
limited to the amount of time that the process takes, which is
based in part on the size of the organization, the scope of the
certification, and the number of facilities being certified and
their location. Other factors may also come into play. For example,
whether an organization seeking ISO 14001 certification already has
an ISO 9001 system in place and whether that system is registered
may have an impact on the cost.
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Must management systems
certification be periodically renewed?
Yes. The process includes annual surveillance audits and a
periodic re-assessment. The two most common processes for
surveillance audits are one surveillance audit annually or two
surveillance audits annually at approximately six-month intervals.
The total number of audits days annually is usually the same in
either case, as this is established by IAF Guidance, and should
total about one-third of the days required for the initial
audit.
a re-assessment audit is also required. Normally this occurs in
the third year of a certification cycle, with an audit duration of
about two-thirds the number of days required for the initial audit;
this is also established by IAF Guidance.
IAF guidance allows flexibility in the frequency of the audits
and audit duration. The CB is responsible for assuring that the
surveillance and re-assessment program is sufficient to verify
continued conformance of a certified organization. ANAB requires
the CB to have documented justification for any variation from the
surveillance and re-assessment audit frequency and duration
specified in the IAF Guidance.
It's important to note that some CBs issue certificates for
three years with an expiration date. Others do not include an
expiration date on the certificate and it is considered valid
unless withdrawn. Both of these are acceptable options. In all
cases with either system, if there is any question about the
validity of a current certificate, one should contact the CB
directly.
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What happens if a CB finds
nonconformances at a facility during the management systems
certification audit?
It's important to note that there are several degrees of
nonconformances, or NCRs. Typically, these are minor and major
nonconformances, and possibly also observations.
An observation is just that: an observation. Not a violation of
the criteria, an observation is typically an identification that
there may be a better way to monitor a process or document a
procedure. It's not a problem, just a potential for improvement - a
way to avoid future problems.
a minor nonconformance by itself doesn't indicate a systemic
problem with the management system. It is typically an isolated or
random incident. An example would be not having the most current
version of a document available at an operator's station; the
updated version exists but a copy of it is not available for the
operator's use and the operator is using an outdated procedure.
Other examples are a form without a document control number on it,
a micrometer that is out of calibration, and an internal audit
finding with an overdue corrective action request pending.
a major nonconformance occurs when one of the criteria of the
standard has not been addressed or has not been addressed
adequately. Typically, major nonconformances occur when an
organization has not addressed all of the requirements of a
specific element or criterion. They also occur when an organization
has put a process or procedure in place but has not implemented it
or cannot yet demonstrate effective implementation.
a major nonconformance can also occur if a significant number of
minor nonconformances in a given activity or against a given
element point to a systemic failure. For example, a minor
nonconformance in document control may not in itself constitute a
significant problem. But if several problems (the audit team leader
judges what constitutes a significant number) are found with
document control, then this points to a larger systemic document
control problem and would constitute a major nonconformance.
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If the CB discovers a
regulatory noncompliance during an EMS certification audit, does
the organization fail the audit?
a regulatory noncompliance won't necessarily result in failing
the certification audit. CBs recognize that all facilities will be
out of regulatory compliance at one time or another. The CB's audit
team will look at how an organization handled the situation. Did
the system identify how to address the noncompliance? Was it
reported quickly and properly? Was a root-cause analysis done to
prevent future violations? How the environmental management system
responded to the noncompliance will determine whether an
organization passes the certification audit.
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What is IAAR?
The Independent
Association of Accredited Registrars (IAAR) is an association
of accredited management systems CBs operating in North America.
IAAR actively promotes the establishment and maintenance of
effective management systems in companies through the use of
accredited certification. ANAB representatives play an active role
in IAAR activities.
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