Certification Criteria for Environmental Management ... · November 1999 RAB Initial Handbook...

November 1999 RAB Initial Handbook EAC1.2

Certification Criteria for EnvironmentalManagement Systems Auditors and

Environmental Auditors –Initial Certification

This handbook is for individuals applying for initialcertification to the RAB environmental auditor program.

Dear Auditor:

Thank you for your interest in RAB’s certification program for EnvironmentalManagement Systems (EMS) and Environmental Auditors. This program isintentionally designed to be rigorous, thorough, and fair and to offer assurance to allthat 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 RABprogram creates its credibility and value.

To earn RAB certification, you’ll be asked to provide verifiable evidence (just like anaudit) 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 requirementsof an internationally respected program, certification through RAB providesrecognition and acceptance. RAB certification is an independent verification andattestation to your professional auditing credentials.

Once you attain RAB certification, you can benefit from enhanced recognition in yourworkplace from your supervisor, other management, and from your peers. Beyond yourworkplace, RAB certification is seen as an important acknowledgment of thecredibility of your work and a formal recognition of your auditing experience.

When you are performing audits, your acceptance and credibility are enhanced whenyou are certified by a respected and proven auditor certification body such as RAB.Additionally, if your organization is audited, your responses carry more weight andacceptance 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, itcan enhance your professional future as well. RAB certification can help youmaximize your career potential and attain your professional goals.

Again, thank you for your interest in RAB’s auditor certification program. Should youhave any questions about the process, please contact a member of our auditorcertification department at 888-722-2440 or 414-272-3937 or send an e-mail [email protected] .

Sincerely,

Joseph R. DunbeckChief Executive Officer


1November 1999 RAB Initial Handbook EAC1.2

It is strongly recommended that you read the entirecontents of this handbook before completing the forms.

1.0 References................................................................................................................................... 22.0 Definitions .................................................................................................................................. 33.0 RAB Evaluation of Applications ............................................................................................... 5

3.1 Evaluation Personnel....................................................................................................... 53.2 Evaluation Process........................................................................................................... 53.3 Certification..................................................................................................................... 5

4.0 Basic Requirements for Each Grade .......................................................................................... 64.1 Environmental Provisional Auditor (E-PA)..................................................................... 64.2 Environmental Auditor (E-A) ......................................................................................... 74.3 Environmental Management Systems Auditor (EMS-A) ................................................ 74.4 Environmental Management Systems Lead Auditor (EMS-LA) ......................................8

5.0 Required Documentation ........................................................................................................... 95.1 E-PA ................................................................................................................................ 95.2 E-A................................................................................................................................... 95.3 EMS-A ............................................................................................................................. 95.4 EMS-LA .......................................................................................................................... 9

6.0 Education ................................................................................................................................. 107.0 Auditor Training ...................................................................................................................... 118.0 Work Experience ...................................................................................................................... 12

8.1 Environmental Degrees ................................................................................................ 128.2 Non-Environmental Degrees ........................................................................................ 13

9.0 Personal Declaration ................................................................................................................ 1410.0 Application Sponsor................................................................................................................. 1411.0 Audit Logs ............................................................................................................................... 1512.0 E-A Grade Audit Experience Requirements ........................................................................... 16

12.1 Eligible Audit Activity .................................................................................................. 1612.2 Eligible Audit Criteria (E-A grade only) ...................................................................... 1612.3 Number of Required Audits (E-A grade only) .............................................................. 18

12.3.1 Environmental Auditor (E-A) ....................................................................... 1813.0 EMS-A and EMS-LA Grade Audit Experience Requirements ................................................ 19

13.1 Eligible Audit Criteria .................................................................................................. 1913.2 Number of Required Audits ......................................................................................... 21

13.2.1 EMS-A ............................................................................................................ 2113.2.2 EMS-LA ......................................................................................................... 22

13.3 Witnessing Auditors ..................................................................................................... 2314.0 Alternative EMS Standards ..................................................................................................... 2415.0 Personal Attributes .................................................................................................................. 2616.0 Audit Management Capabilities .............................................................................................. 2717.0 Complaints and Appeals ......................................................................................................... 28

17.1 Complaints Against Auditors ....................................................................................... 2817.2 Complaints Against RAB .............................................................................................. 2817.3 Appeals ......................................................................................................................... 28

18.0 Cancellation, Suspension, and Reduction in Certification Grade ........................................ 2919.0 Directory of Certified Auditors .............................................................................................. 29Appendix A Code of Conduct for RAB Auditors ............................................................................... 30

© 1999 Registrar Accreditation Board

Contents

2

This program for certification of EMS and Environmental Auditors has been developedand is administered by the Registrar Accreditation Board (RAB). Initial certificationunder this program is available without discrimination to all that meet therequirements described herein.

The following standards are to be used as references in the RAB certification programfor EMS and Environmental Auditors. The most current revisions of the editionsindicated shall be used at all times. Changes incorporated into future editions of thesestandards will be evaluated for their effect on the program.

ISO 14001, Environmental management systems - Specification with guidance foruse

ISO 14010, Guidelines for environmental auditing - General principles

ISO 14011, Guidelines for environmental auditing - Audit procedures - Auditingof environmental management systems

ISO 14012, Guidelines for environmental auditing - Qualification criteria forenvironmental auditors

This handbook is for individuals applying for initial certification to the RAB EMSand Environmental Auditor programs. The program requirements specific toadvancement of grade or maintaining certification are described in the followinghandbooks:

EAC3, Certification Criteria for Environmental Management Systems Auditorsand Environmental Auditors–Advancement of Grade Supplement

EAC0, Certification Criteria for Environmental Management Systems Auditorsand Environmental Auditors–Maintenance Supplement

1.0 References


November 1999 RAB Initial Handbook EAC1.2 3

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 obtainingand evaluating audit evidence to determine whether specified environmental activities,events, conditions, management systems, or information about these matters conformwith audit criteria. The audit also includes communicating the results of this processto the client.

Environmental Compliance Audit: An audit that provides an affirmativeindication or judgment that an organization has met the environmental requirements ofthe relevant specifications, contract, or regulation. These environmental requirementsare typically identified in federal, state, or local statues, laws, or regulations.

Environmental Audit: An environmental audit may include environmentalcompliance 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 overallmanagement 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 closingmeetings 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 thepremises 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 andqualifications; in essence, performing an audit on each applicant.

2.0 Definitions


The following references indicate the grades of auditors certified in the RAB program:

Environmental Provisional Auditor (E-PA): Recognizes that a candidate hassatisfied the basic requirements, but has not necessarily performed environmental audits.

Environmental Auditor (E-A): Recognizes that a candidate has satisfied thebasic requirements AND has demonstrated the ability to perform environmental auditsalone or as a member of a team.

Environmental Management Systems Auditor (EMS-A): Recognizesthat a candidate has satisfied the basic requirements AND has demonstrated the abilityto perform all or any part of an environmental management system audit according toISO 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 theability to perform all or any part of an environmental management system auditaccording to ISO 14011; alone or as a member of a team, AND has demonstrated theability to manage an audit team and coordinate all aspects of a completeenvironmental management system audit according to ISO 14011.


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 applicationthrough the notification of the certification decision and if necessary the appeals process.

Evaluation PersonnelRAB maintains a pool of personnel to evaluate certification applications. These personnelinclude in-house administrative staff and volunteers from U.S. business and commerce.All personnel are selected and trained using documented procedures. Reviews areconducted to ensure that the work of all personnel is competently performed.

Evaluation ProcessWhen an application is received at RAB headquarters, it is initially reviewed forcompleteness of information. Applications with complete information are forwardedto 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 isintended to verify and confirm data included with the application. The review processincludes contacting several of the references listed on the application. These referencesmay include: employers, sponsors, and auditees. The RAB technical reviewer thenmakes a recommendation to grant or deny certification.

Processing time is largely dependent on the applicant providingcomplete and accurate information on all forms.

The technical review may conclude in one of two manners. If there are no issues revealedduring the review of an application, the review is complete and the applicant is grantedcertification. If there are issues revealed or the RAB technical reviewer is unable to make arecommendation based on the information provided, the nonconformance to the RABcriteria are recorded and the applicant is notified. The applicant is requested to providethe 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 tosatisfy the requirements, he or she has the option to accept a lower certification grade.

CertificationA certified auditor receives a certificate, lapel pin, and wallet card. He or she is alsosent information on maintaining certification including an audit log (EAC5) and acontinuing professional development form (AC10).

Audit experience and continuing professional development shouldbe recorded at the time each activity is completed.

**Refer to definitions found in Section 2.0

3.2

3.1

3.0 RAB Evaluation of Applications

3.3


To best accommodate each applicant and distinguish his or her credentials, grades ofcertification have been developed based on the level of professional experienceattained. Each grade has been designed to reflect an individual’s experience.

The specific sections, associated with each auditor grade, are depicted in the chartbelow. This chart is a guide and should be used only as a reference to the basicrequirements.

Section E-PA E-A EMS-A EMS-LA6.0 Education X X X X7.0 Auditor Training X X X X8.0 Work Experience X X X X

12.0 E-A Grade Audit Experience XRequirements

13.0 EMS-A and EMS-LA Grade Audit X XExperience Requirements

15.0 Personal Attributes X X X X16.0 Audit Management Capabilities X

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-PAcertification, it is required to maintain certification.Consequently, it is important to consider the maintenancerequirements when applying for initial certification.


4.0 Basic Requirements for Each Grade

4.1


4.2

4.3

Environmental Auditor (E-A)The E-A grade is designed for persons who have gained environmental auditingexperience (not necessarily EMS auditing experience) and have demonstrated theability to perform any or all parts of an environmental audit; alone or as a member of ateam.

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-Acertification, additional experience is required on a continualbasis to maintain certification. Consequently, it is important toconsider the maintenance requirements when applying for initialcertification.

Environmental Management Systems Auditor(EMS-A)The EMS-A grade is designed for persons who have gained EMS auditing** experienceand have demonstrated the ability to perform all or any part of an EMS audit; alone oras 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-Acertification, additional experience is required on a continualbasis to maintain certification. Consequently, it is important toconsider the maintenance requirements when applying for initialcertification.


8 November 1999 RAB Initial Handbook EAC1.2

4.4 Environmental Management Systems LeadAuditor (EMS-LA)The EMS-LA grade is designed for persons who have gained EMS auditing experienceand have demonstrated the ability to perform all or any part of an EMS audit; alone oras a member of a team, including the ability to manage an audit team and coordinateall 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-LAcertification, additional experience is required on a continualbasis to maintain certification. Consequently, it is important toconsider the maintenance requirements when applying for initialcertification.


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:


EMS-LA applicants need to submit:


Note: Beginning January 1, 2001, a review of auditor performance form (EAC8) isrequired for audits witnessed by an RAB certified EMS-LA to fulfill the auditexperience requirements for EMS-LA. This form is to be completed by the witnessingEMS-LA.

Forms may be revised at any time. Use of current forms is required. All requiredforms, as referenced throughout this supplement, are available upon request throughthe RAB auditor certification department.

All communications, correspondence, and documentation submitted shall be inEnglish or accompanied by a certified translation of the originals.

Submit only the documentation specified. RAB reserves the right to destroy alldocumentation that is not used in the certification process.

5.0 Required Documentation

5.2

5.1

5.3

5.4

10

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 highereducation) or equivalent.

Higher education credentials must be obtained from an institution that has beenaccredited by a nationally or regionally recognized accrediting body.*

Documentary evidence of educational credentials is required for all levels ofeducation. Documentary evidence shall demonstrate the degree granted, as well as thedate of issuance. Examples of acceptable documentary evidence include, but are notlimited 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 environmentaldegree (see Section 8.1).

*A degree from an educational system outside of the United States, Canada, or theUnited 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 forsuggestions on how to get such a degree evaluated.

8.1


6.0 Education (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 ourWeb site at www.rabnet.com.

An applicant must demonstrate that he or she has successfully completedthe training course by passing both the continuous evaluation and thecourse provider’s examination. Only certificates that demonstratesuccessful completion shall be considered. Certificates of attendance arenot acceptable.

Training should have been completed in the three years immediately priorto application. Training that is more than three years old must besupported with additional ISO 14001 related experience. There may beno more than 18 months between successive activities.

2. An alternative to the training course requirement is an environmentalmanagement certification by a certification body other than RAB. To receivetraining credit by this means, the certification must be pre-approved by RABand must be current at the time of application.

The certifications that have been pre-approved are:

• EARA Principal Auditor• EARA EMS Lead Auditor

7.0 Auditor Training (Complete Form EAC2)


All applicants, including consultants, trainers, and retirees, are required todemonstrate relevant work experience. Relevant work experience is consideredverifiable experience gained in the 10 years immediately prior to application. It isdefined as experience that develops skills and understanding in at least two of theareas described below.

a. Environmental science and technologyb. Technical and environmental aspects of facility operationsc. Relevant requirements of environmental laws, regulations, and related

documentsd. Environmental management systems and standardse. Audit procedures, processes, and techniques.

Work experience may not be satisfied by experience solely in management systemsauditing (items d and e). Clear evidence of work experience that provides anunderstanding 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 objectiveevidence to satisfy the work requirement.

The documentation provided, which shall include employer/client contacts, mustclearly demonstrate how the applicant’s work experience meets the relevant workexperience requirements.

Work Experience for Applicants withEnvironmental Degrees

To have a degree in an environmental science or environmental technology relatedfield considered, the applicant must submit a copy of his or her transcripts to supportthe degree. The degree and transcript must be approved by the RAB.

• An applicant with a master’s degree or higher in an environmental science orenvironmental technology related field must have a minimum of two yearsof relevant work experience.

• An applicant with a bachelor’s degree in an environmental science orenvironmental technology related field must have a minimum of three yearsof relevant work experience.

• An applicant with an associate’s degree in an environmental science orenvironmental technology related field must have a minimum of four yearsof relevant work experience.

8.1

8.0 Work Experience (Complete Form EAC2)

13

Work Experience for Applicants with Non-Environmental Degrees

A degree that is not in an environmental science or environmental technology relatedfield or is not supported with a copy of a transcript will be considered as a non-specific degree.

• An applicant with a bachelor’s degree or higher, but NOT in anenvironmental science or environmental technology related field, must havea minimum of four years of relevant work experience.

• An applicant with an associate’s degree, but NOT in an environmentalscience or environmental technology related field, must have a minimum offive years of relevant work experience.

• An applicant with a secondary school diploma or equivalent must have aminimum of six years of relevant work experience.


8.2

14

Each applicant must sign the personal declaration to indicate that the informationcontained in the application and all attachments is verifiable and accurate to the bestof his or her knowledge. In addition, the personal declaration indicates that theapplicant currently complies with and will continue to comply with, the Auditor’sCode of Conduct (Refer to Appendix A).

Falsification of information shall prevent certification.


9.0 Personal Declaration (Complete Form EAC2)

An application sponsor is intended to be a supporter of the applicant and of the RABprogram. It is the responsibility of the sponsor, to the best of his or her ability, toreview the application and all attachments for completeness and accuracy of theinformation. The sponsor shall have a close working relationship with the applicantand have evidence and/or personal knowledge of the information that he or she isconfirming.

The sponsor may be contacted to confirm personal attributes and audit managementcapabilities.

10.0 Application Sponsor (Complete Form EAC2)


11.0 Audit Logs (Complete Form EAC5)

Record eligible audit experience on an RAB audit log to demonstrate auditingexperience. A copy of the RAB audit log is enclosed and may be downloaded from ourWeb site at www.rabnet.com.

Alternative audit logs may be accepted if they provide all information as required onthe RAB audit log.

Refer to the back of the audit log for specific details oncompleting the log accurately. Each audit submitted mustinclude complete information that can be verified by RAB.Audits with incomplete information result in a delay inprocessing.

The following list summarizes the required information to be recorded on the auditlog:

• 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 14001 or acceptable

alternative EMS normative document*, or environmentalcompliance/regulatory documents). * A list of acceptable alternative audit experience standards is enclosed and is

available on our Web site at www.rabnet.com.• 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



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.4If you are performing environmental audits that are not described above, you maysubmit the environmental audit document for consideration. This evaluation willadd 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 toapplication is considered.

Submit the required number of audits, and if possible a smallnumber of extra audits, in case one or more audits are noteligible. Each audit submitted must include complete informationthat can be verified by RAB. Audits with incomplete informationresult in a delay in processing. RAB reserves the right to destroyall documentation that is not used in the certification process.


12.1

12.2

12.0 E-A Grade Audit Experience Requirements


1. Only independent audits satisfy the auditing experience requirements. The auditorshall be independent from the audited department or organization. Examples ofrelationships 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/complianceto the environmental standard as opposed to consulting. The auditor should haveno part in set up of, ongoing development of, or maintenance of the system beingaudited.

It is the auditor’s responsibility to assure that an auditee understandsthat 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 aminimum of six months apart.

5. Audits must be recorded in calendar days. To be considered a full day, on-siteactivity 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. Amaximum of six days of off-site time is allowed, no matter how much time is spentengaged in on-site activity.

7. All elements of the system or regulation must have been audited in a short enoughperiod (not to exceed two months) so that the interaction of system or regulationelements can be evaluated.

8. The applicant shall be conversant in the language used at all audits that aresubmitted for certification.

9. Audit experience gained outside the United States, Canada, and the UnitedKingdom can be accepted if an RAB affidavit (form AC15) signed by the auditee issubmitted 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 documentationprovides additional verification that may not otherwise be accessible because oftime zone and language differences.

17


10. Audits must be verifiable through the auditee. If a contact person’s name andtelephone and fax numbers at the company audited cannot be provided, that auditwill not be considered for certification. Additionally, if the auditee cannotaccurately 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 thecontact, the audit will only be eligible if the attorney is independent from the auditorand the audit team. The attorney must have knowledge of the audit process and theauditor’s performance. The attorney must be able to verify the information provided onthe audit log. If there is any cost for the attorney to provide verification, it will be theresponsibility of the applicant.

Number of Required Audits (E-A grade)To calculate the number of eligible audit days, include time spent auditing on site aswell as time spent off site engaged in documentation review, audit planning, andreport writing. Only days in which on-site audit activity totals at least six hours maybe counted as audit days. Off-site time must be recorded even if the total time engagedin preparation, documentation, report writing, etc., is less than six hours.

12.3.1 Environmental Auditor (E-A)Application may be made directly for E-A. Prior certification is not arequirement. All applicants for initial certification shall meet all basicrequirements (Refer to Section 4.0) in addition to specific requirementsfor the E-A grade.

The specific audit experience required for initial certification as an E-Ais as follows:

• An applicant must have participated in at least 20 days of auditactivity.

• 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 sections12.1 and 12.2 shall be considered.

The chart below shows the audit experience required for the E-A grade.

Minimum Minimum Minimumnumber of number of number of audits

audits total audit that require atdays least two days of

on-site activity

Total 4 20 2

12.3


Eligible Audit Criteria (EMS-A and EMS-LA grades only)Only eligible audit experience completed in the three years immediately prior toapplication is considered.

Submit the required number of audits, and if possible a smallnumber of extra audits, in case one or more audits are not eligible.Each audit submitted must include complete information that canbe verified by RAB. Audits with incomplete information result ina delay in processing. RAB reserves the right to destroy alldocumentation that is not used in the certification process.

1. Only independent audits satisfy the auditing experience requirements. Theauditor and the auditor’s organization shall have a management and operatingstructure independent from the audited organization. Examples ofrelationships 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. Theauditor may have no part in set up of, ongoing development of, or maintenanceof the EMS being audited.

Audits that are combined with consulting activities cannot be used to meet the auditexperience requirement for initial certification, advancement of grade, ormaintaining 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 bestructured so that the conformance audit (opening meeting, audit, issuance ofnonconformance closing meeting, and audit report) is conducted independent of anyconsulting activities.

13.0 EMS-A and EMS-LA Grade Audit Experience Requirements

13.1


3. Only complete EMS audits to 14001 of the entire enterprise covered by theEMS is acceptable for initial certification. Audits of individual departments orother units within the enterprise, or audits that do not cover all elements of theEMS, are not acceptable.

Partial EMS audits (e.g., surveillance) are not acceptable for initial certificationor advancement of grade, since only a portion of the EMS is audited or theaudit may not include all activities covered in ISO 14001. When auditorcertification has been achieved, surveillance audits may be used in satisfying aportion of the auditing requirements to maintain certification.

Note: EMS standards other than ISO 14001 may also be acceptable. A list of acceptablealternative audit experience standards is enclosed and available on our Web site atwww.rabnet.com. If the standard is not referenced on the list, refer to section 14.0.

4. The audit must include all activities covered in ISO 14011, including a reportcovering the evaluation of the conformance of the complete EMS to the EMSstandard.

5. Audits of the same EMS must be performed a minimum of six months apart.

6. Audits must be recorded in calendar days. To be considered a full day, on-siteactivity 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 isspent engaged in on-site activity.

8. All elements of the EMS must have been audited in a short enough period (not toexceed 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 aresubmitted for certification.

10. Audit experience gained outside the United States, Canada, and the UnitedKingdom can be accepted if an RAB affidavit (form AC15) signed by the auditeeis 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. Thisdocumentation provides additional verification that may not otherwise beaccessible because of time zone and language differences.

11. Audits must be verifiable through the auditee. If a contact person’s name andtelephone and fax numbers at the company audited cannot be provided, that auditwill not be considered for certification. Additionally, if the auditee cannotaccurately 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 asthe contact, the audit will only be eligible if the attorney is independent from theauditor and the audit team. The attorney must have knowledge of the audit processand the auditor’s performance. The attorney must be able to verify the informationprovided on the audit log. If there is any cost for the attorney to provideverification, it will be the responsibility of the applicant.

7.7


Number of Required Audits (EMS-A and EMS-LAgrades)To calculate the number of eligible audit days, include time spent auditing on site aswell as time spent off site engaged in documentation review, audit planning, andreport writing. Only days in which on-site audit activity totals at least six hours maybe counted as audit days. Off-site time must be recorded even if the total time engagedin preparation, documentation, report writing, etc., is less than six hours.

13.2.1 Environmental Management Systems Auditor (EMS-A)Application may be made directly for EMS-A. Prior certification is not arequirement. All applicants for initial certification shall meet all basicrequirements (Refer to Section 4.0) in addition to specific requirementsfor the EMS-A grade.

The specific audit experience required for initial certification as anEMS-A is as follows:

• An applicant must have participated in at least 20 days of auditactivity.

• 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 13.1shall be considered.

The chart below shows the audit experience required for the EMS-Agrade.

Minimum Minimum Minimum number of auditsnumber of number of total that require at least two days

audits audit days of on-site activity

Total 4 20 2

13.2


13.2.2 Environmental Management SystemsLead Auditor (EMS-LA)Prior certification is not a requirement. All applicants for certificationshall meet all basic requirements (Refer to Section 4.0) in addition tospecific requirements for the EMS-A (Refer to Section 13.2.1) andEMS-LA grades. The same audit experience cannot be used to meetthe requirements for both grades.

The specific audit experience required for initial certification as anEMS-LA is as follows:

• The applicant must have participated in at least 15 days of auditactivity.

• 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 otherauditor.

Only EMS audits that meet the eligible audit criteria described in 13.1shall be considered.

The chart below shows the audit experience required for the EMS-LAgrade.

Minimum Minimum Minimum Number of auditsnumber of number of number of audits in the role

audits total audit that require at of the leaddays least two days of involving at least

on-site activity one other auditor

Total 3 15 2 All

(Note: Beginning January 1, 2001, all audit experience used for EMS-LAcertification must have been witnessed; audit experience that has not beenwitnessed may not be used. See Witnessing Auditors Section 13.3.)


Witnessing AuditorsBeginning 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 thegrade of EMS-LA.

Witnessing auditors are required to guide the development of candidates for RABauditor 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 toperform and/or lead audit teams.

13.3


ISO 14001 is the acceptable EMS standard for the purpose of determining auditingexperience to attain and maintain certification. Other standards or normativedocuments will be considered that address environmental management systems andare rigorous enough that experience in auditing to them can be readily transferred toauditing to ISO 14001.

When an audit has been conducted to an EMS standard other than ISO 14001, theapplicant shall provide documentation that clearly shows the transferability of auditexperience.

The documentation required is a copy of the candidate standard, plus a cross-referencebetween each element of section 4.0, Environmental Management SystemRequirements of ISO 14001. The cross-reference must be from each element of theISO 14001 standard to the candidate standard, not from the candidate standard to theISO 14001 standard.

It is to the applicant’s benefit to carefully make the comparisonbetween ISO 14001 and the candidate standard, and to presentthis on the enclosed form (EAC17) provided by RAB. Astraightforward comparison that is easily understood by the RABreviewer can be quickly evaluated. A comparison that does notdirectly address each individual requirement within each clauseof ISO 14001, or is otherwise confusing to the RAB reviewer, maybe rejected for equivalence.

Each requirement of ISO 14001 must be listed. The applicant shall cross-reference allrelevant clauses of his or her standard in the “Applicant Standard” column. If any oneclause is not referenced in the applicant standard, this should be noted. (See exampleon page 25.) A “comments” column can be included for applicant notes regarding hisor her standard.

14.0 Alternative EMS Standards

25

EXAMPLE

ISO 14001 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 14.3 Planning ABC std XYZ Clause 234 Page 20 Line 24.3.1 Environmental Aspects Not Covered4.3.2 Legal and Other Requirements ABC std XYZ Clause 345 Page 30 Line 34.3.3 Objectives and Targets ABC std XYZ Clause 456 Page 40 Line 44.3.4 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, awardcriteria, and similar documents are not acceptable.

• Each standard submitted with the appropriate documentation is reviewed foracceptance using documented procedures.



Each RAB-certified EMS and Environmental Auditor shall possess the followingpersonal 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 applicationsponsor(s).

15.0 Personal Attributes


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 conductthe audit.

• The ability to manage an audit, keep the audit team within the scope of theaudit, 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 whenacting as the team leader, these capabilities will only be confirmed for applicants forEMS-LA. These attributes may be confirmed through auditee contacts and applicationsponsor(s).

16.0 Audit Management Capabilities


Complaints Against AuditorsComplaints against the actions or conduct of a certified auditor will be reviewed andinvestigated by RAB using documented procedures. A valid substantiated complaintmay result in cancellation of certification.

Complaints Against RAB Complaints against RAB may be submitted in writing to the RAB Auditor CertificationBoard in care of the RAB Auditor Certification Department. Each complaint will bereviewed, investigated, and resolved in a timely manner through a formal documentedprocess.

AppealsAn appeal against adverse certification or recertification decisions or cancellation ofcertification 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 listedin 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 incare of the RAB Auditor Certification Department. The applicant shall submit his orher appeal to RAB no later than 30 days after notification of the decision. The lettershall include appropriate substantiation for the appellant’s position and it mustcontain additional or updated information.

17.0 Complaints and Appeals

17.1

17.2

17.3

Certification as an RAB auditor entails the responsibility to continually comply withthe requirements of this certification program, including the Auditor Code ofConduct. Failure to do so may result in the cancellation, suspension, or reduction ingrade of certification.

Certified auditors are listed in a directory found on RAB’s Web site atwww.rabnet.com. This directory is updated weekly. Unless an auditor specificallyrequests to be omitted from the directory, each entry includes:

• Auditor’s name,• Company affiliation (if desired),• Address,• Telephone and/or fax number(s),• E-mail address,• Certification grade,• Date of certification,• Availability for hire,• Language skills (if applicable).

A printed directory is also available upon request through the RAB AuditorCertification Department.


18.0 Cancellation, Suspension, orReduction in Certification Grade

19.0 Directory of Certified Auditors

Code of Conduct for RAB Auditors

As a Registrar Accreditation Board (RAB)-certified auditor, I pledge to upholdprofessional 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 theirmanagement and auditing skills specific to his or her chosen profession.

4. Not represent conflicting or competing interests and shall disclose to anyclient or employer any relationships that may influence my judgment.

5. Not discuss or disclose any information relating to an audit unless authorizedin writing by the auditee and the auditing organization.

6. Not accept any inducement, commission, gift, or any other benefit fromauditee organizations, their employees, or any interested party or knowinglyallow colleagues to do so.

7. Not intentionally communicate false or misleading information that maycompromise the integrity of any audit or the auditor certification process.

8. Not act in any way that would prejudice the reputation of the auditorcertification body or the auditor certification process, and shall cooperatefully with an inquiry in the event of any alleged breach of this code.

9. Conduct myself professionally, with truth, accuracy, fairness, andresponsibility to my publics.

10. Preface any public statements that I may issue by clearly indicating on whosebehalf they are made.

11. Take care that credit for the work of others is given to those to whom it isdue.

12. Act in professional matters as a faithful agent or trustee for each employer orclient.

13. Not misrepresent my own or any other individual’s qualifications,competence, or experience, nor undertake auditing work beyond myqualifications.


Appendix A


14. Not accept compensation from more than one party for the same servicewithout the consent of all parties. If employed, I will engage in supplementaryauditing or consulting employment only with the consent of my employer.

15. Not accept retainers, commissions, or valuable considerations fromcompanies audited, unless employed by such companies to undertake suchauditing on their behalf.

16. Not accept retainers, commissions, or valuable considerations from anyinterested parties in exchange for offering confidential information ordisclosures that in any way relate to registrars, clients, employers, auditees, orthe 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 anycompany, division, or business unit by which I am employed, with which Ihave 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, orbusiness units by which I am employed or with which I have a consultingarrangement in effect unless I have written approval from both parties. *

19. Ensure that my employer or I formally log all complaints regarding myperformance and have addressed all logged complaints in a manner to preventrecurrence.

*These restrictions continue to apply for two years after the termination of therelationship.

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