iso 37001: to invest in the accredited certification · 2019-05-14 · rina: first accredited...

ISO 37001: TO INVEST IN THE ACCREDITED CERTIFICATION

ROLF PERCY HERBERG

Business Assurance Manager

GLOBAL COMPLIANCE & ANTI-CORRUPTION SUMMIT

15th and 16th November 2017, Brussels, Belgium

HAVING THE CUSTOMER IN OUR MIND

ENERGY

SERVING ALL TYPE OF INDUSTRIES

BUSINESS

ASSURANCE MARINE

TRANSPORT &

INFRASTRUCTURES IFIs &

INVESTORS

OUR SERVICES

Project management

Consulting Engineering

Operation&Maintenance

Special studies

Design

Operation&Maintenance

Training

Classification

Certification

Testing

Inspection

T.I.C.* C.E.**

* Testing, Inspection, Certification

**Consulting Engineering

RINA TODAY

170+

Offices

65+

Countries

3700

Colleagues

LEVEL OF RINA PRESENCE

BUSINESS ASSURANCE: Accreditation and Authorization

BUSINESS ASSURANCE: Testing, Inspection, Certification

SYSTEM, PRODUCT and PERSONNEL

140+ certification schemes in

portfolio

28,000+ Management System

certificates

72,000+ Personnel & Processes

certificates

36,000+ Product certificates

About 30,000 inspections of

equipment and plants

1800+ auditors worldwide

3rd WW player for number of SA8000

certificates

1st International Certification Body

accredited for ISO 37001

Certification

ACHIEVEMENTS

TOP MARKET SERVICES

Quality, Environment, Health & Safety,

Security and Energy Certification

Corporate Social Accountability

Certification/auditing in the field of

governance

Product Certification, CE Marking

Periodical Inspections: Lifts and elevators,

Electrical plants/equipment, Pressure

Vessels

Personnel & Processes Certification

SECOND PARTY AUDIT

ISO 37001: ANTI-BRIBERY MANAGEMENT SYSTEM

The standard [ ISO 37001:2016 ]…

Specifies the implementation by the organization of

reasonable and proportionate policies, procedures and

control tools, in accordance to the bribery risks faced by the

organization

Applies only to bribery

Provides requirements and guidance for a management

system designed to help organizations to:

Prevent, detect and respond to bribery

Comply with anti-bribery laws and voluntary commitments

applicable to their activities

“

”

ISO 37001: ANTI-BRIBERY MANAGEMENT SYSTEM

The standard…

is designed for a wide range of organizations:

Large organizations

Small & medium enterprises

Public and private sector organizations

Non-governmental organizations

Can be applied by the organizations of any country

“

”

ISO 37001: MEASURES AND CONTROLS TO BE IMPLEMENTED

A policy for the prevention of bribery, procedures and

controls

Communication of the policy and its program to all

interested parties and/or associates

Leadership, commitment and responsibility

A monitoring procedure

Corruption prevention training

Risk assessment

1/2

ISO 37001: MEASURES AND CONTROLS TO BE IMPLEMENTED

Due diligence on projects and business partners of the

organizations

Reporting, monitoring, investigation and review of senior

management and, if any, of the body of governance

The requirement to sign a commitment to the prevention

of corruption to their members

Implementation of financial controls to reduce the risk of

corruption

Corrective actions and ongoing improvement

2/2

CERTIFICATION PROCESS: OVERVIEW

ISO 37001 certification may be requested by any type of organization, of

any size and/or nature

There is no possibility of exclusion for any site or process within the

same Country

The certification is issued to a Legal subject as a whole, and to all its

departments/branches, processes and activities actually performed

In the case the organization has operational sites in more than one

country, it is possible to restrain the application of the Anti-bribery

Management System only to some of them

In this last case, it may however be necessary to evaluate some aspects

related to the Head Office, despite this last not being included in the scope

of the certificate

CERTIFICATION PROCESS: STEPS

DEFINITION OF CERTIFICATION SCOPE

Pre-audit (optional): gap analysis and

diagnosis of current position company

against standard

Certification audit performed in 2 stages:

Stage 1 - readiness review performed to

verify that the organization is ready for

certification

Stage 2 - evaluation of implementation,

including the effectiveness, of the

management system of the organization

1/2

CERTIFICATION PROCESS: STEPS

Surveillance audits to verify that the management system

continues to fulfil the requirements of the standard and

monitor the continual improvement

Re-certification after 3 years to confirm the continued

compliance and effectiveness of the management system as

a whole

2/2

THE IMPORTANCE OF CERTIFICATION ISSUED UNDER ACCREDITATION

Accreditation is the formal recognition of the technical and

organizational competence of a conformity assessment body

to carry out specific services in accordance with the standards

(ISO, IEC, etc.) or technical regulations as described in its

scope of accreditation

Accreditation is the independent evaluation of certification

bodies against the specific standards ISO to ensure their

competence, independence and impartiality

1/4


COMPETENCE The experience and technical skills of the staff in the accredited body are

verified by qualified assessors with relevant expertise and specialized

knowledge

INDEPENDENCE Accredited bodies that grant certification shall show independence from

the organization to which their services are provided

IMPARTIALITY Accredited bodies shall show absence or proper management of

conflicts of interest with the client to whom they provide services

2/4


In the European Union, ACCREDITATION is performed by

National Accreditation Bodies (NABs) appointed by

governments as required by Regulation (EC) 765/2008

In all EU member states, governments are responsible for

accreditation

ACCREDITATION supports both regulated and voluntary

areas

ACCREDITATION facilitates trade and benefits the market

and society

3/4


The activities performed by European accreditation bodies are

recognized both within the EU and worldwide through their

signatory status to the EA Multilateral Agreement (EA MLA)

The EA MLA is recognized at the international level by the

International Accreditation Forum (IAF) and the International

Laboratory Accreditation Cooperation (ILAC). It means that EA

MLA signatories benefit from global recognition through the

IAF and ILAC mutual agreements and their consequent

ILAC/IAF MRA/MLA marks

IAF Multilateral Recognition Arrangement (MLA)

4/4

A LOT OF BENEFITS OF OPTING FOR AN ACCREDITED CERTIFICATION BODY

Choosing a certification body that has been

accredited by an accreditation body that is a

signatory to the IAF Multilateral Recognition

Arrangement (MLA) has proved that it complies with

best practice.

1/4

“

” [Source: IAF B3 1/2012]


WIN new business particularly since the use of accredited

conformity assessment services is increasingly a stipulation of

specifiers in both the public and private sector.

GAIN access to overseas markets since certificates issued by

bodies that are accredited by an IAF MLA signatory are

recognized and accepted throughout the world.

CONTROL costs with the help of knowledge transfer since

accredited certification bodies can be a good source of

impartial advice.

2/4

“



DE-RISK your procurement by taking the guesswork out of

choosing a certification body by giving you confidence that you

will get the service that closely meets your requirements.

HELP to identify best practice since the certification body is

required to have appropriate knowledge of your business sector.

OFFER market differentiation and leadership by showing to

others credible evidence of good practice.

DEMONSTRATE due diligence in the event of legal action.

REDUCE paperwork and increase efficiency by reducing the

necessity to re-audit your business.

3/4

“



4/4

”

“ REDUCING controls

Accredited certification conveys presumption of conformity with

official standards and regulations.

This means that businesses do not need to provide additional

evidence, and their activities are simplified subsequent to

reduction or elimination of controls.

SUPPORTING export

The international recognition of conformity assessment reports

covered by accreditation boosts business expansion on foreign

markets without the need to carry out additional verifications.

[EA European Accreditation "ACCREDITATION, A TOOL TO SUPPORT REGULATORS”]

“

”

RINA: FIRST ACCREDITED CERTIFICATION BODY IN THE WORLD FOR ISO 37001

RINA SERVICES S.p.A. have chosen to seek accreditation in

order to be able to demonstrate an independent confirmation

of their competence and independence.

Since April 2017 RINA SERVICES S.p.A. is accredited by

ACCREDIA.

Under accreditation, RINA SERVICES S.p.A. issued

certification according to ISO 37001 to many companies in

different sectors:

Oil & Gas, Construction, Energy, Engineering & Electronics

ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION

CERTIFICATION SCOPE: marketing and after sales service, sales & training,

wireless equipment & instruments trading, computer software trading in the sectors

of automotive, power tool, security systems, drive and control technology for the

middle east market

ROBERT BOSCH MIDDLE EAST FZE the first ISO 37001 for a German organization the first in the Middle East

1/5


CERTIFICATION SCOPE: direct and/or indirect management of activities, in Italy,

through participation in societies, institutions or companies, in the field of

hydrocarbons and natural vapors, such as exploration, construction and

management of hydrocarbon deposits and pipelines, production, processing,

storage, utilization and trade of hydrocarbons and natural vapors

ENI S.p.A.

2/5

CERTIFICATION SCOPE: control and management of participations and

shareholding in companies in Italy and abroad, strategic guidance and coordination

towards controlled companies in their activities and assets in the field of electric

energy including production, import and export distribution and sale

ENEL S.p.A.


CERTIFICATION SCOPE: contractor activities / public services management.

acquisition, even throughout structured finance instruments, of contracts with regard

to the design and / or the realization, by counterparts, of civil, infrastructural, plant

building structures and services provision

CONSORZIO INTEGRA SOCIETÀ COOPERATIVA

CERTIFICATION SCOPE: design, construction, renovation and maintenance, on its

own or on behalf of third parties, of civil, industrial, infrastructural and plant

engineering works

SALINI IMPREGILO S.p.A.

3/5


CERTIFICATION SCOPE: management, design and execution of engineering

projects: civil, electrical and mechanical, focusing on infrastructure buildings,

sanitation, construction and electromechanical assembly with supply and

commissioning

CONSTRUTORA QUEIROZ GALVÃO S.A.

CERTIFICATION SCOPE: surveillance services, private security and monitoring of

electronic security systems

MONITORE SEGURANÇA PATRIMONIAL LTDA

4/5


CERTIFICATION SCOPE: provision of services and maintenance of buildings,

maintenance of buildings, maintenance of green areas, engineering management

and labor supply for technical and administrative support.

HOPE RECURSOS HUMANOS S.A.

CERTIFICATION SCOPE:management and execution of industrial maintenance

services onshore and offshore. provision of monitoring and corrosion control

services of pipelines and outsourcing of manual labor.

ELFE OPERAÇÃO E MANUTENÇÃO S.A.

5/5

RESULTS: WHAT DOES SAY THE EXPERIENCE?

The experience has highlighted that Anti Bribery

Management System certification has been seen in the

market and among organizations as a compliance system

The communication within the audit process and external

is a very sensitive aspect since the internal and external

perception is about legal compliance and all related aspects.

The impression about the complexity of the standard is that

it is more fitting international companies with already

established internal controls for all risks, including bribery.

RESULTS: WHAT IS THE EFFORT FOR A COMPANY INTERESTED TO ISO 37001 CERTIFICATION?

NO BIG EFFORT if the company has already implemented an

anti bribery system according to specific local law/regulations

(e.g. FCPA, UK Bribery Act, “231 Model”,…)

ISO 37001 and such systems have many common points:

risk assessment

due diligence…

The FLEXIBILITY of ISO 37001 allows companies to

incorporate varies national anti-bribery laws into their

management system

RESULTS: WHY INVEST IN ISO 37001?

ISO 37001 complements and builds on leading international

guidance for anti-bribery.

The ISO standards in many ways embody the global guidance

provided by countries on what the regulators expect

organizations to do and implement in order to have an effective

program to prevent corruption and bribery

“

”

Rolf Percy Herberg

Business Assurance Manager

Ph. +49 40 284193545

Mob.+49 173 5134 826

[email protected]

RINA SERVICES S.p.A.

Via Corsica, 12

16128 Genoa - Italy

Ph. +39 010 53851

Fax +39 010 5351000

[email protected]

www.rina.org

iso 37001: to invest in the accredited certification · 2019-05-14 · rina: first accredited...

Documents