ECOMANAGEMENT AND AUDIT SCHEME

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ECO-MANAGEMENT AND AUDIT SCHEME
The Role of Competent Bodies, Accreditation
Bodies and Enforcement Authorities addressing LC
in EMAS

• Performance, credibility, transparency

Paolo Molinas
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EMAS requirements

• Summary
• Registration systems Competent Bodies
  Registration of Organizations
• Accreditation systems Accreditation Bodies and
  Environmental Verifiers
• Enforcement Authorities Legal Compliance
  assessment and role in Registration process
• Conclusions

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Accreditation Bodies are designed by Member
States to ensure independent accreditation of
environmental verifiers
Competent Bodies are designed by Member States to
ensure registration of organizations
Provides information to the Competent Body on the
legal Compliance situation of the organization
Participates to EMAS following requirements of
the Regulation and applies to registration
Verifies the Organizations EMS and validates the
environmental statement
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1rst pillar of credibility in EMAS at National
level
Enforcement Authority
Competent Body
Accreditation
Legal Compliance
Verification validation
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Requirements for Competent Bodies (art.5)

• Member States shall designate the Competent Body
  responsible for Registration of Organizations
• The composition of the Competent Bodies shall
  guarantee independence and neutrality
• Member states shall have procedures for
  considering opinion of interested parties for the
  use of Competent Bodies
• Competent Bodies shall have procedures for
  refusal, suspension and deletion of organizations
  from registration
• Competent bodies shall be responsible for control
  and maintenance of the registry.

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Application for EMAS registration

• A Competent Body shall process applications to
  EMAS registration submitted by organizations
  located in its Country according to national
  based procedures
• The application form with minimum information to
  be sent by the organization to the Competent Body
  (?Annex VIII)
• Name of the organization
• Address of the organization
• Contact person
• NACE code of activity
• Number of employees
• Name of the environmental verifier
• Verifiers accreditation number (i.e. IT-V-0001)
• Scope of accreditation (Sector of activity)
• Date of the next environmental statement
• The validated environmental statement (?Annex
  III)
• Applicable fees

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Registration and follow-up

• The registration decision shall be based on
• Evidence of Legal Compliance of the organization
• Satisfactory results of the Competent Body
  analysis on documents received
• Payment of fees according to national rules
• Following the decision to register, the CB shall
• Include the organization into the national
  register
• Communicate the registration to the EMAS helpdesk
  (monthly)
• After three years provide for renewal of
  registration (following application)
• Suspend from the register if
• no new environmental statement is submitted
  (yearly update or 3 years new ES)
• lack of legal compliance
• Motivated concerns of interested parties
• Delete from the register if no required actions
  follows suspension.

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EMAS EU Register
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Italian EMAS Register
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Italian EMAS Register
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Competent Bodies Tasks
Relationships

• Reviewing quality and consistency of
  environmental statements
• Enquire Enforcement Authorities for Legal
  Compliance
• Register (suspend or delete) organizations
• Participating to Forum of CB
• Keep updated register of EMAS organizations.

Ensure organizations in the register continue to
comply with environmental legislation

• Accreditation bodies (supervision reports)
• Enforcement Authorities (Legal Compliance)
• Member State (communication of updated list of
  verifiers)
• EU Commission (Helpdesk).

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2nd pillar of credibility in EMAS at National
level
Enforcement Authority
Competent Body
Accreditation
Legal Compliance
Verification validation
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Requirements for EMAS accreditation system (art.4)

• Member States shall establish a system for the
  accreditation and supervision of verifiers
• The composition of the accreditation systems
  shall guarantee independence and neutrality
• Member States shall ensure appropriate
  consultation of parties involved, in setting up
  and directing the accreditation systems
• Member States shall ensure that these systems are
  fully operational (within 12 months following the
  date of entry into force of the Regulation).

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EMAS requirements for Accreditation Systems

• What kind of institution can be used?
• existing accreditation institutions may be used
  (all MS except Germany, Austria Italy)
• EMAS competent bodies (Italy Ireland)
• any other body with an appropriate status.

Which are the requirements for accreditation
supervision of environmental verifiers? Rules
listed in Annex V of the EMAS Regulation.
Environmental verifiers shall be organizations or
individuals? The Accreditation Body may decide
for accreditation of individuals, organizations
or both.
Can Environmental verifiers perform their
activities in any EU country? Yes, any
accredited verifier in one Member State may
perform verification activities in any other
Member State. The only condition is that he shall
notify to the latter's accreditation system for
supervision.
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Accreditation supervision of Verifiers
Which are the basic principles for accreditation?

• Accreditation Body shall assess
• Competence through evidence of the applicants
  (both individuals and organizations) knowledge,
  relevant experience and technical capacities in
  the requested fields (NACE codes)
• Independence and impartiality of the applicant
  from consultancy and internal audit
• freedom from any commercial, financial or other
  pressures which might influence judgment,
  endanger trust and that they comply with any
  rules applicable in this respect (if organization
  through organisational chart detailing structures
  and responsibilities, statement of legal status,
  ownership and funding sources)
• documented methodologies and procedures,
  including quality control mechanisms and
  confidentiality provisions, for the verification
  requirements of this Regulation.

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Requirements for accreditation of verifiers
COMPETENCE
(a) knowledge and understanding of the
Regulation, the general functioning of
environmental management systems, relevant
standards and guidance issued by the Commission,
under Article 4 and 14(2), for the use of the
Regulation (b) knowledge and understanding of
the legislative, regulatory and administrative
requirements relevant to the activity subject to
verification (c) knowledge and understanding of
environmental issues, including the environmental
dimension of sustainable development (d)
knowledge and understanding of the technical
aspects, relevant to environmental issues, of the
activity subject to verification (e)
understanding of the general functioning of the
activity subject to verification in order to
assess the appropriateness of the management
system (f) knowledge and understanding of
environmental auditing requirements and
methodology (g) knowledge of information audit
(Environmental Statement).
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Scope of accreditation

• Defined according to the classification of
  economic activities - NACE codes
• limited by the competence of the environmental
  verifier
• take into account the size and complexity of the
  activity.

• NACE "Nomenclature générale des activités
  économiques dans les Communautés Européennes
  Regulation No 3037/90 of 9/10/1999 now revision
  2 Regulation N. 1893/2006
• NACE codes are represented as follows
• "Sections" by a letter (i.e. Section A -
  Agriculture, forestry fishing)
• Sections include several "Divisions" represented
  by numbers (i.e. Division 01 - Agriculture,
  products from animals, hunting and related
  service activities)
• Each Division includes Groups" represented by
  numbers (i. e. Group 01.4 Farming of animals)
• Each Group is represented by further detail in
  "Classes (i.e. 01.47 Farming of poultry)

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Supervision of environmental verifiers (ANNEX
5.3.1)

• Supervision is carried out by the accreditation
  body which granted their accreditation
• Environmental verifier shall inform the
  accreditation body of all relevant changes
  (related to accreditation or scope)
• Supervision shall be done at intervals not
  exceeding 24 months to ensure that the
  environmental verifier continues to comply with
  the accreditation requirements ( monitor the
  quality of the verifications)
• Supervision may be performed by office audit,
  witnessing, questionnaires, of validated
  environmental statements review and verification
  report review
• Any decision by the accreditation body
  (terminate, suspend accreditation or curtail the
  scope shall) be taken only after the
  environmental verifier has had the possibility of
  a hearing.

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Supervision of environmental verifiers from other
member state (ANNEX 5.3.2)

• Notification shall be submitted to the AB at
  least four weeks in advance (accreditation
  details, competences, team composition and
  when/where the verification will occur, measures
  to deal with legal and language knowledge)
• The accreditation body may request further
  clarification
• Notification shall be communicated before each
  new verification (and validation)
• The accreditation body shall not require other
  conditions (discriminatory fees, delays, etc.)
• Costs for supervision activity can be charged by
  the accreditation body
• If the accreditation body is not satisfied with
  the quality of the work done by the environmental
  verifier, a supervision report shall be sent to
• the environmental verifier concerned
• the accreditation body which granted the
  accreditation
• the competent body where the organisation being
  verified is located
• in case of dispute, to the forum of accreditation
  body.

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Example of Verifiers List (Italy)
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Accreditation Bodies Tasks
Relationships

• Accreditation of verifiers
• Supervision of verifiers (also notified)
• Participating to FAB
• Be subject to peer review
• Keep updated list of accredited verifiers.

• Ensuring verifiers work quality through
  supervision (this includes LC issues)
• Ensuring quality consistency of environmental
  statements (through review of validated
  statements).

• Competent Body (supervision reports)
• Enforcement Authorities (Legal Compliance)
• Member state (communication of updated list of
  verifiers)
• EU Commission (Helpdesk).

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3rd pillar of credibility in EMAS at National
level
Enforcement Authority
Competent Body
Accreditation
Legal Compliance
Verification validation
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Legal Compliance in the EMAS registration process

• Article 6 - Registration of organisations - If a
  competent body
• is satisfied through inquiries at the competent
  enforcement authority regarding LC with the
  relevant environmental legislation .. it shall
  register
• receives a supervision report from the
  accreditation body which gives evidence that the
  activities of the environmental verifier were not
  performed adequately . registration shall be
  refused or suspended as appropriate .
• is informed by the competent enforcement
  authority of a breach by the organisation of
  relevant regulatory requirements regarding
  environmental protection, it shall refuse
  registration or suspend as appropriate.
• Refusal of registration, suspension or deletion
  .. shall require the consultation of the
  appropriate interested parties The Competent
  Body shall inform the organisation and of the
  process of discussion with the competent
  enforcement authority.
• Refusal or suspension shall be lifted if the
  Competent Body has received satisfactory
  information that the organisation is in
  compliance . or if it has received satisfactory
  information from the competent enforcement
  authority that the breach has been rectified

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EMAS registration and involvement of Enforcement
Authorities

• Enforcement Authorities are involved in
• the registration process since Competent Bodys
  decision is taken following evidence received
  through enquiry that the organization is in Legal
  Compliance
• the follow-up after registration through
  information to the Competent Body if any relevant
  breach to Legal Compliance is reported concerning
  the organization
• the suspension and deletion processes since
  Enforcement Authorities are interested parties to
  be consulted before that decision is taken
• removal of suspension of an organization since it
  shall ensure that Competent Body that the reasons
  for suspensions have been rectified in a
  satisfactory way
• avoiding unnecessary duplication of efforts while
  inspecting the organization (according to
  national legislation implementing the principle
  in article 10).

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Some weak point in the EMAS text

• Enforcement Authorities are not directly involved
  in the registration process
• Member States are not obliged (specifically for
  EMAS) to ensure that enforcement authorities
  reply to requests from the Competent Bodies
  concerning Legal Compliance of an organization
• There is no obligation in EMAS on a deadline for
  Enforcement Authorities to answer to Competent
  Bodies enquires
• The role of Enforcement Authorities seems to be
  passive (acting under request) rather than
  active (completely integrated in the process)
  in the actual EMAS text
• Legal Compliance is required but not defined the
  national systems may give not homogeneous
  interpretation of this concept within the EU.

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Some weak points in the EMAS text

• National systems implementing EMAS show wide
  spread of procedures within the EU for enquiring
  the Enforcement Authorities such as
• Most Competent Bodies enquire Enforcement
  Authorities by writing but some only by
  hearing
• Some Competent Bodies have procedures for sending
  the request and for processing Enforcement
  Authorities opinion
• Some Competent Bodies will need written response,
  other Competent Bodies opinion is based on a no
  answer positive report principle
• Some Competent Bodies relay only on the verifiers
  activity (i.e. environmental statement) or
  require the organization itself to provide a
  statement of LC

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Conclusions

• 3 main pillars of credibility in EMAS Competent
  Bodies, Accreditation Bodies and Enforcement
  Authorities
• Transparency of the whole system is ensured by
  the public nature of the scheme
• Competent bodies are subject to peer review
  through questionnaires (reports sent to the
  Commission)
• Accreditation Bodies are subject to peer reviews
  by means of direct audits (reports sent to the
  Commission)
• Continuous monitoring of LC from Enforcement
  Authorities ensure that organizations in the
  register are legal compliant
• Member States rely on the scheme, therefore
  supports organizations by means of regulatory
  benefits by national and local legislation
• Harmonization among national systems is ensured
  by the supervisory role of the Commission.

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Thank you for your attention
Paolo MolinasAPATAgency for the Protection of
the Environment and for Technical
services www.apat.it/certificazioni Paolo.molinas_at_
apat.it