Certification Criteria for Environmental Management Systems Auditors and Environmental Auditors Initial Certification

Transcription

1 Certification Criteria for Environmental Management Systems Auditors and Environmental Auditors Initial Certification This handbook is for individuals applying for initial certification to the RAB environmental auditor program.

2 Dear Auditor: Thank you for your interest in RAB s certification program for Environmental Management Systems (EMS) and Environmental Auditors. This program is intentionally designed to be rigorous, thorough, and fair and to offer assurance to all that RAB-certified auditors have attained specific qualifications. It is far from a rubber stamp process, as our certified auditors tell us that the rigor of the RAB program creates its credibility and value. To earn RAB certification, you ll be asked to provide verifiable evidence (just like an audit) of your: Education EMS auditor training course Work experience in environmentally related activities Personal character attributes Demonstrated EMS or environmental audit experience (for three of four certification grades) Aside from your personal satisfaction in knowing that you meet the stringent requirements of an internationally respected program, certification through RAB provides recognition and acceptance. RAB certification is an independent verification and attestation to your professional auditing credentials. Once you attain RAB certification, you can benefit from enhanced recognition in your workplace from your supervisor, other management, and from your peers. Beyond your workplace, RAB certification is seen as an important acknowledgment of the credibility of your work and a formal recognition of your auditing experience. When you are performing audits, your acceptance and credibility are enhanced when you are certified by a respected and proven auditor certification body such as RAB. Additionally, if your organization is audited, your responses carry more weight and acceptance when the visiting auditor knows that you are an RAB-certified auditor. Not only is RAB auditor certification an important investment in your current job, it can enhance your professional future as well. RAB certification can help you maximize your career potential and attain your professional goals. Again, thank you for your interest in RAB s auditor certification program. Should you have any questions about the process, please contact a member of our auditor certification department at or or send an to rab@rabnet.com. Sincerely, Joseph R. Dunbeck Chief Executive Officer

3 Contents It is strongly recommended that you read the entire contents of this handbook before completing the forms. 1.0 References Definitions RAB Evaluation of Applications Evaluation Personnel Evaluation Process Certification Basic Requirements for Each Grade Environmental Provisional Auditor (E-PA) Environmental Auditor (E-A) Environmental Management Systems Auditor (EMS-A) Environmental Management Systems Lead Auditor (EMS-LA) Required Documentation E-PA E-A EMS-A EMS-LA Education Auditor Training Work Experience Environmental Degrees Non-Environmental Degrees Personal Declaration Application Sponsor Audit Logs E-A Grade Audit Experience Requirements Eligible Audit Activity Eligible Audit Criteria (E-A grade only) Number of Required Audits (E-A grade only) Environmental Auditor (E-A) EMS-A and EMS-LA Grade Audit Experience Requirements Eligible Audit Criteria Number of Required Audits EMS-A EMS-LA Witnessing Auditors Alternative EMS Standards Personal Attributes Audit Management Capabilities Complaints and Appeals Complaints Against Auditors Complaints Against RAB Appeals Cancellation, Suspension, and Reduction in Certification Grade Directory of Certified Auditors Appendix A Code of Conduct for RAB Auditors Registrar Accreditation Board 1

4 This program for certification of EMS and Environmental Auditors has been developed and is administered by the Registrar Accreditation Board (RAB). Initial certification under this program is available without discrimination to all that meet the requirements described herein. 1.0 References The following standards are to be used as references in the RAB certification program for EMS and Environmental Auditors. The most current revisions of the editions indicated shall be used at all times. Changes incorporated into future editions of these standards will be evaluated for their effect on the program. ISO 14001, Environmental management systems - Specification with guidance for use ISO 14010, Guidelines for environmental auditing - General principles ISO 14011, Guidelines for environmental auditing - Audit procedures - Auditing of environmental management systems ISO 14012, Guidelines for environmental auditing - Qualification criteria for environmental auditors This handbook is for individuals applying for initial certification to the RAB EMS and Environmental Auditor programs. The program requirements specific to advancement of grade or maintaining certification are described in the following handbooks: EAC3, Certification Criteria for Environmental Management Systems Auditors and Environmental Auditors Advancement of Grade Supplement EAC0, Certification Criteria for Environmental Management Systems Auditors and Environmental Auditors Maintenance Supplement 2

5 2.0 Definitions For the purpose of the RAB certification criteria for EMS and Environmental Auditors, the following definitions are used throughout this document, including its appendices: Auditor: Any or all grades of RAB-certified auditors. EMS Audit: Systematic, documented verification process of objectively obtaining and evaluating audit evidence to determine whether specified environmental activities, events, conditions, management systems, or information about these matters conform with audit criteria. The audit also includes communicating the results of this process to the client. Environmental Compliance Audit: An audit that provides an affirmative indication or judgment that an organization has met the environmental requirements of the relevant specifications, contract, or regulation. These environmental requirements are typically identified in federal, state, or local statues, laws, or regulations. Environmental Audit: An environmental audit may include environmental compliance audits, environmental site assessments, environmental risk assessments, EMS gap assessments, EMS audits, and/or internal EMS audits. Environmental Management System (EMS): That part of the overall management system that includes organizational structure, planning activities, responsibilities, practices, procedures, processes, and resources for developing, implementing, achieving, reviewing, and maintaining the environmental policy. On-site activity: The auditing activities that include the opening and closing meetings and the conformance auditing phase. Off-site activity: The auditing activities that include planning, document review, and preparation of the audit report, even if these functions are performed on the premises of the auditee. Total time (of the audit): The total amount of time engaged in audit activity, including on-site and off-site time. Technical Review: The verification by RAB of an auditor s credentials and qualifications; in essence, performing an audit on each applicant. 3

6 The following references indicate the grades of auditors certified in the RAB program: Environmental Provisional Auditor (E-PA): Recognizes that a candidate has satisfied the basic requirements, but has not necessarily performed environmental audits. Environmental Auditor (E-A): Recognizes that a candidate has satisfied the basic requirements AND has demonstrated the ability to perform environmental audits alone or as a member of a team. Environmental Management Systems Auditor (EMS-A): Recognizes that a candidate has satisfied the basic requirements AND has demonstrated the ability to perform all or any part of an environmental management system audit according to ISO 14011; alone or as a member of a team. Environmental Management Systems Lead Auditor (EMS-LA): Recognizes that a candidate has satisfied the basic requirements, has demonstrated the ability to perform all or any part of an environmental management system audit according to ISO 14011; alone or as a member of a team, AND has demonstrated the ability to manage an audit team and coordinate all aspects of a complete environmental management system audit according to ISO

7 3.0 RAB Evaluation of Applications RAB maintains documented procedures that are used in the evaluation of all applications. These procedures cover all aspects of the evaluation from the receipt of the application through the notification of the certification decision and if necessary the appeals process. Evaluation Personnel RAB maintains a pool of personnel to evaluate certification applications. These personnel include in-house administrative staff and volunteers from U.S. business and commerce. All personnel are selected and trained using documented procedures. Reviews are conducted to ensure that the work of all personnel is competently performed. Evaluation Process When an application is received at RAB headquarters, it is initially reviewed for completeness of information. Applications with complete information are forwarded to technical review**. If additional information is required, the applicant is contacted. This extends the processing time. The technical review is a critical step in the evaluation process. The technical review is intended to verify and confirm data included with the application. The review process includes contacting several of the references listed on the application. These references may include: employers, sponsors, and auditees. The RAB technical reviewer then makes a recommendation to grant or deny certification. Processing time is largely dependent on the applicant providing complete and accurate information on all forms. The technical review may conclude in one of two manners. If there are no issues revealed during the review of an application, the review is complete and the applicant is granted certification. If there are issues revealed or the RAB technical reviewer is unable to make a recommendation based on the information provided, the nonconformance to the RAB criteria are recorded and the applicant is notified. The applicant is requested to provide the required objective evidence to demonstrate that the requirements have been met. The applicant is notified by letter of the certification decision. If an applicant is unable to satisfy the requirements, he or she has the option to accept a lower certification grade. 3.3 Certification A certified auditor receives a certificate, lapel pin, and wallet card. He or she is also sent information on maintaining certification including an audit log (EAC5) and a continuing professional development form (AC10). Audit experience and continuing professional development should be recorded at the time each activity is completed. **Refer to definitions found in Section 2.0 5

8 4.0 Basic Requirements for Each Grade To best accommodate each applicant and distinguish his or her credentials, grades of certification have been developed based on the level of professional experience attained. Each grade has been designed to reflect an individual s experience. The specific sections, associated with each auditor grade, are depicted in the chart below. This chart is a guide and should be used only as a reference to the basic requirements. Section E-PA E-A EMS-A EMS-LA 6.0 Education X X X X 7.0 Auditor Training X X X X 8.0 Work Experience X X X X 12.0 E-A Grade Audit Experience X Requirements 13.0 EMS-A and EMS-LA Grade Audit X X Experience Requirements 15.0 Personal Attributes X X X X 16.0 Audit Management Capabilities X 4.1 Environmental Provisional Auditor (E-PA) The E-PA grade is designed for persons seeking environmental auditing** experience. Therefore, the E-PA grade level requires no prior auditing experience. An applicant for E-PA certification shall satisfy the following basic requirements: Education (Refer to Section 6.0) Training (Refer to Section 7.0) Work experience (Refer to Section 8.0) Personal attributes (Refer to Section 15.0) Although audit experience is not required for initial E-PA certification, it is required to maintain certification. Consequently, it is important to consider the maintenance requirements when applying for initial certification. **Refer to definitions found in Section 2.0 6

9 4.2 Environmental Auditor (E-A) The E-A grade is designed for persons who have gained environmental auditing experience (not necessarily EMS auditing experience) and have demonstrated the ability to perform any or all parts of an environmental audit; alone or as a member of a team. An applicant for E-A certification shall satisfy the following basic requirements: Education (Refer to Section 6.0) Training (Refer to Section 7.0) Work experience (Refer to Section 8.0) Audit experience (Refer to Section 12.0) Personal attributes (Refer to Section 15.0) In addition to the audit experience required for initial E-A certification, additional experience is required on a continual basis to maintain certification. Consequently, it is important to consider the maintenance requirements when applying for initial certification. 4.3 Environmental Management Systems Auditor (EMS-A) The EMS-A grade is designed for persons who have gained EMS auditing** experience and have demonstrated the ability to perform all or any part of an EMS audit; alone or as a member of a team. An applicant for EMS-A certification shall satisfy the following basic requirements: Education (Refer to Section 6.0) Training (Refer to Section 7.0) Work experience (Refer to Section 8.0) Audit experience (Refer to Section 13.0) Personal attributes (Refer to Section 15.0) In addition to the audit experience required for initial EMS-A certification, additional experience is required on a continual basis to maintain certification. Consequently, it is important to consider the maintenance requirements when applying for initial certification. **Refer to definitions found in Section 2.0 7

10 4.4 Environmental Management Systems Lead Auditor (EMS-LA) The EMS-LA grade is designed for persons who have gained EMS auditing experience and have demonstrated the ability to perform all or any part of an EMS audit; alone or as a member of a team, including the ability to manage an audit team and coordinate all aspects of a complete EMS audit. An applicant for EMS-LA certification shall satisfy the following basic requirements: Education (Refer to Section 6.0) Training (Refer to Section 7.0) Work experience (Refer to Section 8.0) Audit experience (Refer to Section 13.0) Personal attributes (Refer to Section 15.0) Audit management capabilities (Refer to Section 16.0) In addition to the audit experience required for initial EMS-LA certification, additional experience is required on a continual basis to maintain certification. Consequently, it is important to consider the maintenance requirements when applying for initial certification. 8

11 5.0 Required Documentation 5.1 E-PA applicants need to submit: Application for initial certification (Form EAC2) Copy of educational credentials Copy of training course successful completion certificate Resume or similar documentation E-A applicants need to submit: Application for initial certification (Form EAC2) Copy of educational credentials Copy of training course successful completion certificate Resume or similar documentation RAB audit logs (Form EAC5) EMS-A applicants need to submit: Application for initial certification (Form EAC2) Copy of educational credentials Copy of training course successful completion certificate Resume or similar documentation RAB audit logs (Form EAC5) EMS-LA applicants need to submit: Application for initial certification (Form EAC2) Copy of educational credentials Copy of training course successful completion certificate Resume or similar documentation RAB audit logs (Form EAC5) Note: Beginning January 1, 2001, a review of auditor performance form (EAC8) is required for audits witnessed by an RAB certified EMS-LA to fulfill the audit experience requirements for EMS-LA. This form is to be completed by the witnessing EMS-LA. Forms may be revised at any time. Use of current forms is required. All required forms, as referenced throughout this supplement, are available upon request through the RAB auditor certification department. All communications, correspondence, and documentation submitted shall be in English or accompanied by a certified translation of the originals. Submit only the documentation specified. RAB reserves the right to destroy all documentation that is not used in the certification process. 9

12 6.0 Education (Complete Form EAC2) Applicants shall have, at a minimum, completed a secondary school education (12 years full-time schooling that may lead to admittance into a program of higher education) or equivalent. Higher education credentials must be obtained from an institution that has been accredited by a nationally or regionally recognized accrediting body.* Documentary evidence of educational credentials is required for all levels of education. Documentary evidence shall demonstrate the degree granted, as well as the date of issuance. Examples of acceptable documentary evidence include, but are not limited to: Copy of diploma Copy of certificate School transcript Letter from the institution verifying the degree granted School transcripts are required if the degree is to be considered as an environmental degree (see Section 8.1). *A degree from an educational system outside of the United States, Canada, or the United Kingdom is acceptable if shown by the applicant to be equivalent to a U.S. degree. Applicants who have attained foreign degrees may contact RAB for suggestions on how to get such a degree evaluated

13 7.0 Auditor Training (Complete Form EAC2) The training requirement can be satisfied in one of the following ways: 1. Successful completion of an ANSI-RAB NAP accredited 36-hour Environmental Management Systems Lead Auditor training course. *A list of accredited course providers is enclosed and is available on our Web site at An applicant must demonstrate that he or she has successfully completed the training course by passing both the continuous evaluation and the course provider s examination. Only certificates that demonstrate successful completion shall be considered. Certificates of attendance are not acceptable. Training should have been completed in the three years immediately prior to application. Training that is more than three years old must be supported with additional ISO related experience. There may be no more than 18 months between successive activities. 2. An alternative to the training course requirement is an environmental management certification by a certification body other than RAB. To receive training credit by this means, the certification must be pre-approved by RAB and must be current at the time of application. The certifications that have been pre-approved are: EARA Principal Auditor EARA EMS Lead Auditor 11

14 8.0 Work Experience (Complete Form EAC2) All applicants, including consultants, trainers, and retirees, are required to demonstrate relevant work experience. Relevant work experience is considered verifiable experience gained in the 10 years immediately prior to application. It is defined as experience that develops skills and understanding in at least two of the areas described below. a. Environmental science and technology b. Technical and environmental aspects of facility operations c. Relevant requirements of environmental laws, regulations, and related documents d. Environmental management systems and standards e. Audit procedures, processes, and techniques. Work experience may not be satisfied by experience solely in management systems auditing (items d and e). Clear evidence of work experience that provides an understanding of environmental issues is required. A resume or similar documentation giving information on work actually performed, positions held, reporting levels, and areas of responsibility is required as objective evidence to satisfy the work requirement. The documentation provided, which shall include employer/client contacts, must clearly demonstrate how the applicant s work experience meets the relevant work experience requirements. 8.1 Work Experience for Applicants with Environmental Degrees To have a degree in an environmental science or environmental technology related field considered, the applicant must submit a copy of his or her transcripts to support the degree. The degree and transcript must be approved by the RAB. An applicant with a master s degree or higher in an environmental science or environmental technology related field must have a minimum of two years of relevant work experience. An applicant with a bachelor s degree in an environmental science or environmental technology related field must have a minimum of three years of relevant work experience. An applicant with an associate s degree in an environmental science or environmental technology related field must have a minimum of four years of relevant work experience. 12

15 8.2 Work Experience for Applicants with Non- Environmental Degrees A degree that is not in an environmental science or environmental technology related field or is not supported with a copy of a transcript will be considered as a nonspecific degree. An applicant with a bachelor s degree or higher, but NOT in an environmental science or environmental technology related field, must have a minimum of four years of relevant work experience. An applicant with an associate s degree, but NOT in an environmental science or environmental technology related field, must have a minimum of five years of relevant work experience. An applicant with a secondary school diploma or equivalent must have a minimum of six years of relevant work experience. 13

16 9.0 Personal Declaration (Complete Form EAC2) Each applicant must sign the personal declaration to indicate that the information contained in the application and all attachments is verifiable and accurate to the best of his or her knowledge. In addition, the personal declaration indicates that the applicant currently complies with and will continue to comply with, the Auditor s Code of Conduct (Refer to Appendix A). Falsification of information shall prevent certification Application Sponsor (Complete Form EAC2) An application sponsor is intended to be a supporter of the applicant and of the RAB program. It is the responsibility of the sponsor, to the best of his or her ability, to review the application and all attachments for completeness and accuracy of the information. The sponsor shall have a close working relationship with the applicant and have evidence and/or personal knowledge of the information that he or she is confirming. The sponsor may be contacted to confirm personal attributes and audit management capabilities. 14

17 11.0 Audit Logs (Complete Form EAC5) Record eligible audit experience on an RAB audit log to demonstrate auditing experience. A copy of the RAB audit log is enclosed and may be downloaded from our Web site at Alternative audit logs may be accepted if they provide all information as required on the RAB audit log. Refer to the back of the audit log for specific details on completing the log accurately. Each audit submitted must include complete information that can be verified by RAB. Audits with incomplete information result in a delay in processing. The following list summarizes the required information to be recorded on the audit log: Applicant information First date of site visit The on-site time** and the total time** (which includes the off-site time**) of the audit recorded in calendar days Auditee information including the full company name, address, contact person s name, fax, and telephone numbers Applicant s role in the audit Number of auditors on the audit team, including the lead auditor Environmental standard(s) audited against (e.g., ISO or acceptable alternative EMS normative document*, or environmental compliance/regulatory documents). * A list of acceptable alternative audit experience standards is enclosed and is available on our Web site at Type of audit (e.g. complete EMS, partial EMS, compliance, etc) Name and contact details for the company that employed the auditor Name, telephone, and fax numbers for the audit team leader (if different from the applicant) Audit verification including a signature, printed name, telephone, and fax numbers **Refer to definitions found in Section

18 12.0 E-A Grade Audit Experience Requirements 12.1 Eligible Audit Activity (E-A grade only) Audits for the E-A grade may include any of the following; but is not limited to: 1. Environmental regulatory/compliance audits**, for example: CAA (Clean Air Act) CWA (Clean Water Act) CERCLA (Comprehensive Environmental Response Compensation and Liability Act) EPCRA (Emergency Planning Community Right-to-Know Act) RCRA (Resource Conservation and Recovery Act) SDWA (Safe Drinking Water Act) TSCA (Toxic Substance Control Act) 2. State and/or local regulatory/compliance standards. 3. Environmental site assessment audits, for example: Phase I ESA Phase II ESA 4. Risk management/due Diligence assessment including Superfund liability 4. assessments. 5. EMS audits, including partial EMS audits, gap assessments and internal audits. 4 If you are performing environmental audits that are not described above, you may submit the environmental audit document for consideration. This evaluation will add additional time to the review of the application Eligible Audit Criteria (E-A grade only) Only eligible audit experience completed in the three years immediately prior to application is considered. Submit the required number of audits, and if possible a small number of extra audits, in case one or more audits are not eligible. Each audit submitted must include complete information that can be verified by RAB. Audits with incomplete information result in a delay in processing. RAB reserves the right to destroy all documentation that is not used in the certification process. **Refer to definitions found in Section

19 1. Only independent audits satisfy the auditing experience requirements. The auditor shall be independent from the audited department or organization. Examples of relationships that may be acceptable are: A head office audit of a plant or division, One division or plant auditing another division or plant, One department auditing another department, A consultant contracted to provide an independent conformance/compliance audit 2. All audits must be for the primary purpose of determining conformity/compliance to the environmental standard as opposed to consulting. The auditor should have no part in set up of, ongoing development of, or maintenance of the system being audited. It is the auditor s responsibility to assure that an auditee understands that the purpose for an audit is the audit and not consulting. 3. The audit must include a report covering the evaluation of conformance/compliance. 4. Audits of the same organization and using the same criteria must be performed a minimum of six months apart. 5. Audits must be recorded in calendar days. To be considered a full day, on-site activity shall not be less than six hours per day. 6. Off-site time is limited to one day for each day of on-site activity, plus one day. A maximum of six days of off-site time is allowed, no matter how much time is spent engaged in on-site activity. 7. All elements of the system or regulation must have been audited in a short enough period (not to exceed two months) so that the interaction of system or regulation elements can be evaluated. 8. The applicant shall be conversant in the language used at all audits that are submitted for certification. 9. Audit experience gained outside the United States, Canada, and the United Kingdom can be accepted if an RAB affidavit (form AC15) signed by the auditee is submitted for each audit or if the auditee provides his/her printed name, signature, and fax number in the verification section of the audit log. This documentation provides additional verification that may not otherwise be accessible because of time zone and language differences. 17

20 10. Audits must be verifiable through the auditee. If a contact person s name and telephone and fax numbers at the company audited cannot be provided, that audit will not be considered for certification. Additionally, if the auditee cannot accurately verify the details of an audit, the audit experience cannot be considered. If the audit is conducted under attorney client privilege and an attorney is listed as the contact, the audit will only be eligible if the attorney is independent from the auditor and the audit team. The attorney must have knowledge of the audit process and the auditor s performance. The attorney must be able to verify the information provided on the audit log. If there is any cost for the attorney to provide verification, it will be the responsibility of the applicant Number of Required Audits (E-A grade) To calculate the number of eligible audit days, include time spent auditing on site as well as time spent off site engaged in documentation review, audit planning, and report writing. Only days in which on-site audit activity totals at least six hours may be counted as audit days. Off-site time must be recorded even if the total time engaged in preparation, documentation, report writing, etc., is less than six hours Environmental Auditor (E-A) Application may be made directly for E-A. Prior certification is not a requirement. All applicants for initial certification shall meet all basic requirements (Refer to Section 4.0) in addition to specific requirements for the E-A grade. The specific audit experience required for initial certification as an E-A is as follows: An applicant must have participated in at least 20 days of audit activity. This must have been accomplished in no less than four audits. At least two of these audits must each include at least two days of on-site audit activity. Only environmental audits that meet the criteria described in sections 12.1 and 12.2 shall be considered. The chart below shows the audit experience required for the E-A grade. Minimum Minimum Minimum number of number of number of audits audits total audit that require at days least two days of on-site activity Total

21 13.0 EMS-A and EMS-LA Grade Audit Experience Requirements 13.1 Eligible Audit Criteria (EMS-A and EMS-LA grades only) Only eligible audit experience completed in the three years immediately prior to application is considered. Submit the required number of audits, and if possible a small number of extra audits, in case one or more audits are not eligible. Each audit submitted must include complete information that can be verified by RAB. Audits with incomplete information result in a delay in processing. RAB reserves the right to destroy all documentation that is not used in the certification process. 1. Only independent audits satisfy the auditing experience requirements. The auditor and the auditor s organization shall have a management and operating structure independent from the audited organization. Examples of relationships that may be acceptable are: A head office audit of a plant or division, One division or plant auditing another division or plant, A third-party registration audit, A consultant contracted to provide an independent conformance audit. 2. All audits must be for determining conformity to the EMS standard. The auditor may have no part in set up of, ongoing development of, or maintenance of the EMS being audited. Audits that are combined with consulting activities cannot be used to meet the audit experience requirement for initial certification, advancement of grade, or maintaining certification. Examples of consultancy audits include: Audits where advice was given on an action plan for developing/improving the system, Audits where the auditor had a part in setting up the system, Audits where the auditor was involved in the ongoing development of the system. Contracts or protocols that require that consulting advice be given shall be structured so that the conformance audit (opening meeting, audit, issuance of nonconformance closing meeting, and audit report) is conducted independent of any consulting activities. 19

22 3. Only complete EMS audits to of the entire enterprise covered by the EMS is acceptable for initial certification. Audits of individual departments or other units within the enterprise, or audits that do not cover all elements of the EMS, are not acceptable. Partial EMS audits (e.g., surveillance) are not acceptable for initial certification or advancement of grade, since only a portion of the EMS is audited or the audit may not include all activities covered in ISO When auditor certification has been achieved, surveillance audits may be used in satisfying a portion of the auditing requirements to maintain certification. Note: EMS standards other than ISO may also be acceptable. A list of acceptable alternative audit experience standards is enclosed and available on our Web site at If the standard is not referenced on the list, refer to section The audit must include all activities covered in ISO 14011, including a report covering the evaluation of the conformance of the complete EMS to the EMS standard. 5. Audits of the same EMS must be performed a minimum of six months apart Audits must be recorded in calendar days. To be considered a full day, on-site activity shall not be less than six hours per day. 7. Off-site time is limited to one day for each day of on-site activity, plus one day. A maximum of six days of off-site time is allowed, no matter how much time is spent engaged in on-site activity. 8. All elements of the EMS must have been audited in a short enough period (not to exceed two months) so that the interaction of system elements can be evaluated. 9. The applicant shall be conversant in the language used at all audits that are submitted for certification. 10. Audit experience gained outside the United States, Canada, and the United Kingdom can be accepted if an RAB affidavit (form AC15) signed by the auditee is submitted for each audit or if the auditee provides his/her printed name, signature, and fax number in the verification section of the audit log. This documentation provides additional verification that may not otherwise be accessible because of time zone and language differences. 11. Audits must be verifiable through the auditee. If a contact person s name and telephone and fax numbers at the company audited cannot be provided, that audit will not be considered for certification. Additionally, if the auditee cannot accurately verify the details of an audit, the audit experience cannot be considered. If the audit is conducted under attorney client privilege and an attorney is listed as the contact, the audit will only be eligible if the attorney is independent from the auditor and the audit team. The attorney must have knowledge of the audit process and the auditor s performance. The attorney must be able to verify the information provided on the audit log. If there is any cost for the attorney to provide verification, it will be the responsibility of the applicant. 20

23 13.2 Number of Required Audits (EMS-A and EMS-LA grades) To calculate the number of eligible audit days, include time spent auditing on site as well as time spent off site engaged in documentation review, audit planning, and report writing. Only days in which on-site audit activity totals at least six hours may be counted as audit days. Off-site time must be recorded even if the total time engaged in preparation, documentation, report writing, etc., is less than six hours Environmental Management Systems Auditor (EMS-A) Application may be made directly for EMS-A. Prior certification is not a requirement. All applicants for initial certification shall meet all basic requirements (Refer to Section 4.0) in addition to specific requirements for the EMS-A grade. The specific audit experience required for initial certification as an EMS-A is as follows: An applicant must have participated in at least 20 days of audit activity. This may be accomplished in no less than four audits. At least two of these audits must each include at least two days of on-site audit activity. Only EMS audits that meet the eligible audit criteria described in 13.1 shall be considered. The chart below shows the audit experience required for the EMS-A grade. Minimum Minimum Minimum number of audits number of number of total that require at least two days audits audit days of on-site activity Total

24 Environmental Management Systems Lead Auditor (EMS-LA) Prior certification is not a requirement. All applicants for certification shall meet all basic requirements (Refer to Section 4.0) in addition to specific requirements for the EMS-A (Refer to Section ) and EMS-LA grades. The same audit experience cannot be used to meet the requirements for both grades. The specific audit experience required for initial certification as an EMS-LA is as follows: The applicant must have participated in at least 15 days of audit activity. This may be accomplished in no less than three audits. At least two of these audits shall have been of two days minimum duration on-site. All of these audits must have been in the role of the team leader conducting and managing audits involving at least one other auditor. Only EMS audits that meet the eligible audit criteria described in 13.1 shall be considered. The chart below shows the audit experience required for the EMS-LA grade. Minimum Minimum Minimum Number of audits number of number of number of audits in the role audits total audit that require at of the lead days least two days of involving at least on-site activity one other auditor Total All (Note: Beginning January 1, 2001, all audit experience used for EMS-LA certification must have been witnessed; audit experience that has not been witnessed may not be used. See Witnessing Auditors Section 13.3.) 22

25 13.3 Witnessing Auditors Beginning January 1, 2001, all audits must be witnessed by an RAB-certified EMS-LA. After this date only audits supported on a Review of Auditor Performance form (EAC8) shall be considered a witnessed audit for the purposes of certification for the grade of EMS-LA. Witnessing auditors are required to guide the development of candidates for RAB auditor certification. The witnessing auditor shall: Be an RAB-certified EMS-LA at the time each witnessed audit occurred. Assess the applicant s competence for the grade sought, independent of any other consideration. Decide on the type and level of guidance needed during each phase of the audit process (from preparation to reporting). Be available on site for the audit duration. Be in a position to evaluate the auditor candidate. When satisfied with an auditor s performance, complete a Review of Auditor Performance form (EAC8) attesting to the competence of the candidate to perform and/or lead audit teams. 23

26 14.0 Alternative EMS Standards ISO is the acceptable EMS standard for the purpose of determining auditing experience to attain and maintain certification. Other standards or normative documents will be considered that address environmental management systems and are rigorous enough that experience in auditing to them can be readily transferred to auditing to ISO When an audit has been conducted to an EMS standard other than ISO 14001, the applicant shall provide documentation that clearly shows the transferability of audit experience. The documentation required is a copy of the candidate standard, plus a cross-reference between each element of section 4.0, Environmental Management System Requirements of ISO The cross-reference must be from each element of the ISO standard to the candidate standard, not from the candidate standard to the ISO standard. It is to the applicant s benefit to carefully make the comparison between ISO and the candidate standard, and to present this on the enclosed form (EAC17) provided by RAB. A straightforward comparison that is easily understood by the RAB reviewer can be quickly evaluated. A comparison that does not directly address each individual requirement within each clause of ISO 14001, or is otherwise confusing to the RAB reviewer, may be rejected for equivalence. Each requirement of ISO must be listed. The applicant shall cross-reference all relevant clauses of his or her standard in the Applicant Standard column. If any one clause is not referenced in the applicant standard, this should be noted. (See example on page 25.) A comments column can be included for applicant notes regarding his or her standard. 24

27 EXAMPLE ISO Applicant Standard Relevant Clause/Reference 4.1 General Requirements ABC std XYZ Clause xxx (insert specific location of the applicable wording from the candidate standard. Clause No., Page No., and Line No.) 4.2 Environmental Policy ABC std XYZ Clause 123 Page 10 Line Planning ABC std XYZ Clause 234 Page 20 Line Environmental Aspects Not Covered Legal and Other Requirements ABC std XYZ Clause 345 Page 30 Line Objectives and Targets ABC std XYZ Clause 456 Page 40 Line Environmental Management ABC std XYZ Clause 567 Page 50 Line 5 Program The candidate standard must show the revision date. Only requirements documents will be accepted; surveys, checklists, award criteria, and similar documents are not acceptable. Each standard submitted with the appropriate documentation is reviewed for acceptance using documented procedures. 25

28 15.0 Personal Attributes Each RAB-certified EMS and Environmental Auditor shall possess the following personal attributes: Competence in clearly expressing concepts and ideas, orally and in writing. Interpersonal skills conducive to the effective and efficient performance of the audit; such as diplomacy, tact and the ability to listen. The ability to maintain independence and objectivity sufficient to permit the accomplishment of auditor responsibilities. Skills of personal organization necessary for the effective and efficient performance of the audit. The ability to reach sound judgements based on objective evidence. The ability to react with sensitivity to the conventions and culture of the country or region in which the audit is performed. The auditor shall be able to apply these attributes in order to: Clearly express concepts and ideas, orally and in writing. Obtain and assess objective evidence fairly. Remain true to the purpose of the audit without fear or favor. Constantly evaluate the effects of audit observations and personal interactions during an audit. Treat participating personnel in a way that will best achieve the audit purpose. React with sensitivity to conventions and culture of the country or region in which the audit is performed. Perform the audit process without deviating due to distractions. Commit full attention and support to the audit process. React effectively in stressful situations. Arrive at generally acceptable conclusions based on audit observations. Remain true to a conclusion despite pressure to change that is not based on evidence. These attributes may be confirmed through auditee contacts and application sponsor(s). 26

29 16.0 Audit Management Capabilities Each RAB-certified EMS-LA shall possess the following audit management capabilities. The EMS-LA shall have: The ability to coordinate and manage a team of auditors. The ability to conduct and control meetings of the audit team, and between the audit team and auditee. The ability to plan, organize, schedule, and conduct an audit, and to delegate responsibility to the audit team members to effectively and efficiently conduct the audit. The ability to manage an audit, keep the audit team within the scope of the audit, and be observant to determine when changes are required. The ability to control conflict between others and within the audit team. The ability to make decisions in an intelligent, decisive, and authoritative manner. The ability to assess situations related to potential problems or conflicts and take appropriate actions. The ability to evaluate in an unbiased manner the performance of audit team members, and to report on that performance. Although it is always necessary to demonstrate audit management capabilities when acting as the team leader, these capabilities will only be confirmed for applicants for EMS-LA. These attributes may be confirmed through auditee contacts and application sponsor(s). 27

30 17.0 Complaints and Appeals Complaints Against Auditors Complaints against the actions or conduct of a certified auditor will be reviewed and investigated by RAB using documented procedures. A valid substantiated complaint may result in cancellation of certification. Complaints Against RAB Complaints against RAB may be submitted in writing to the RAB Auditor Certification Board in care of the RAB Auditor Certification Department. Each complaint will be reviewed, investigated, and resolved in a timely manner through a formal documented process. Appeals An appeal against adverse certification or recertification decisions or cancellation of certification must be submitted in writing. The written appeal will be reviewed, investigated, and resolved in a timely manner through a formal documented process. Appeals may be made on the following decisions: Refusal to grant initial certification, Refusal to grant the continuation of certification, Refusal to grant an upgrade of certification, Reduction in certification grade, Cancellation, or Suspension. Applicants who have been determined as not meeting the program requirements listed in this handbook during any stage of the review process are not subject to appeal. All appeals shall be submitted in writing to the RAB Auditor Certification Board in care of the RAB Auditor Certification Department. The applicant shall submit his or her appeal to RAB no later than 30 days after notification of the decision. The letter shall include appropriate substantiation for the appellant s position and it must contain additional or updated information. 28

31 18.0 Cancellation, Suspension, or Reduction in Certification Grade Certification as an RAB auditor entails the responsibility to continually comply with the requirements of this certification program, including the Auditor Code of Conduct. Failure to do so may result in the cancellation, suspension, or reduction in grade of certification Directory of Certified Auditors Certified auditors are listed in a directory found on RAB s Web site at This directory is updated weekly. Unless an auditor specifically requests to be omitted from the directory, each entry includes: Auditor s name, Company affiliation (if desired), Address, Telephone and/or fax number(s), address, Certification grade, Date of certification, Availability for hire, Language skills (if applicable). A printed directory is also available upon request through the RAB Auditor Certification Department. 29

32 Appendix A Code of Conduct for RAB Auditors As a Registrar Accreditation Board (RAB)-certified auditor, I pledge to uphold professional principles in the fulfillment of my responsibilities. In promoting a high standard of ethical conduct, I shall: 1. Act professionally, accurately, and in an unbiased manner. 2. Strive to increase the competence and prestige of the auditing profession. 3. Assist those in my employ or under my supervision in developing their management and auditing skills specific to his or her chosen profession. 4. Not represent conflicting or competing interests and shall disclose to any client or employer any relationships that may influence my judgment. 5. Not discuss or disclose any information relating to an audit unless authorized in writing by the auditee and the auditing organization. 6. Not accept any inducement, commission, gift, or any other benefit from auditee organizations, their employees, or any interested party or knowingly allow colleagues to do so. 7. Not intentionally communicate false or misleading information that may compromise the integrity of any audit or the auditor certification process. 8. Not act in any way that would prejudice the reputation of the auditor certification body or the auditor certification process, and shall cooperate fully with an inquiry in the event of any alleged breach of this code. 9. Conduct myself professionally, with truth, accuracy, fairness, and responsibility to my publics. 10. Preface any public statements that I may issue by clearly indicating on whose behalf they are made. 11. Take care that credit for the work of others is given to those to whom it is due. 12. Act in professional matters as a faithful agent or trustee for each employer or client. 13. Not misrepresent my own or any other individual s qualifications, competence, or experience, nor undertake auditing work beyond my qualifications. 30

33 14. Not accept compensation from more than one party for the same service without the consent of all parties. If employed, I will engage in supplementary auditing or consulting employment only with the consent of my employer. 15. Not accept retainers, commissions, or valuable considerations from companies audited, unless employed by such companies to undertake such auditing on their behalf. 16. Not accept retainers, commissions, or valuable considerations from any interested parties in exchange for offering confidential information or disclosures that in any way relate to registrars, clients, employers, auditees, or the RAB accreditation system or auditor certification system. 17. Not serve any private or special interest in fulfillment of the duties of auditor, thereby excluding, by definition, the auditing for registration purposes of any company, division, or business unit by which I am employed, with which I have a consulting arrangement, or in which I have a significant interest, including financial, familiar, or personal. * 18. Not serve as an auditor of a primary competitor of any company, division, or business units by which I am employed or with which I have a consulting arrangement in effect unless I have written approval from both parties. * 19. Ensure that my employer or I formally log all complaints regarding my performance and have addressed all logged complaints in a manner to prevent recurrence. *These restrictions continue to apply for two years after the termination of the relationship. 31