General requirements for certification bodies The application of ISO/IEC Guide 65: 1996 (E)

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1 Type of document: RSB International Standard Status: Approved for certification Date: 1 March 2011 Version: 2.1 General requirements for certification bodies The application of ISO/IEC Guide 65: 1996 (E) RSB reference code: RSB-STD Published by the Roundtable on Sustainable Biomaterials (RSB). This publication or any part thereof may only be reproduced with the written permission of RSB, the publisher. Any reproduction in full or in part of this publication must mention the title and reference code and credit the above-mentioned publisher as the copyright owner. Contact details: RSB - Roundtable on Sustainable Biomaterials International Environment House 2 7 Chemin de Balexert CH 1219 Chatelaine (Geneva) Switzerland web: info@rsb.org RSB-STD vers.2.1-General requirements for certification bodies 1

2 Introduction The standard defines and addresses the basic elements of a certification system compliant with RSB standards and the RSB certification systems. The structure of this standard follows the structure of the ISO/IEC Guide 65: 1996 (E), and gives additional guidance specific to the biomass/biofuels sector to the implementation of the ISO/IEC Guide. In order to comply with general requirements for bodies performing conformity assessment to RSB standards, certification bodies shall demonstrate full compliance with the ISO/IEC Guide 65: 1996 (E) and the standard detailed below. ISO/IEC Guide 65: 1996 (E) General requirements for bodies operating product certification systems is widely recognized as the most appropriate international standard for certification bodies operating product certification systems. The term 'product' in this context includes processes and services, and therefore covers the certification of a wide range of products and services, including the production, transformation and trade of biomass/biofuels against specified standards and other normative documents. The introduction to ISO/IEC Guide 65: 1996 (E) explains that its requirements are written "above all, to be considered as general criteria for organizations operating product certification systems; they may have to be amplified when specific industrial or other sectors make use of them..." (ISO/IEC Guide 65: 1996 (E)). In the case of certification of biomass/biofuels RSB provides such amplification in order to address the technical challenges of assessing large areas of land which may provide the input materials for the production of biomass/biofuels. In the case of chain of custody certification for the purpose of material tracking, labeling and of making claims about the origin and characteristics of raw materials used, the credibility of the scheme and consumer confidence are paramount. RSB has therefore developed additional requirements related to chain of custody, communications and claims, stakeholder consultation and reporting that are essential to meet these expectations. RSB-STD vers.2.1-General requirements for certification bodies 2

3 Table of contents A. Intent of this standard B. Scope of this standard C. Status and effective date D. Note on use of this standard E. References F. Terms and definitions G. Requirements 1. Conformity with ISO/IEC Guide 65: 1996 (E) 2. General provisions 3. Certification body organization 3.1. Independence and conflict of interest 3.2. Certification decision making 3.3. Risk assessment 3.4. Consultancy and training 3.5. Public Information 4. Certification body operations 4.1. Documented systems 4.2. Records 5. General requirements for subcontracting 6. Certification body quality system 7. Conditions and procedures for evaluating, granting, maintaining, suspending and withdrawing certification 7.1. Duration of RSB certificates 7.2. Issuing and maintaining RSB certificates to participating operators 7.3. Evaluating participating operators 8. Transferring participating operators RSB-STD vers.2.1-General requirements for certification bodies 3

4 A. Intent of this standard The intent of this standard is to ensure that certification bodies operating schemes for the certification of biomass/biofuels against the RSB standards under the RSB certification systems operate in a consistent, comprehensive, transparent, reliable and credible manner thereby facilitating the credibility and legitimacy of the RSB and so furthering international trade in biomass/biofuels and promoting social and environmental compliance. B. Scope of this standard RSB-STD General requirements for certification bodies specifies the general requirements for all certification bodies operating certification systems accredited under the RSB certification systems. This standard is applied at the level of the accredited entity that represents the certification body. C. Status and effective date This version 2.0 of this standard on General requirements for certification bodies shall be effective on 1 March D. Note on use of this standard RSB-STD General requirements for certification bodies is for use by all certification bodies operating schemes for the certification of participating operators against the RSB standards, which are accredited under the RSB certification systems. All aspects of this standard are considered to be normative, including the intent, scope, standard effective date, note on the use of this standard, references, terms and definitions, and requirements, unless otherwise stated. Users implementing this standard shall ensure that the intent of this standard is met. To ensure that the intent of this standard is met, users shall implement all of the requirements specified in this standard, and all additional measures necessary to achieve the intent of this standard. In the absence of RSB requirements or guidance users shall follow IAF guidance on the interpretation of ISO/IEC Guide 65: 1996 (E), and implement the applicable requirements of the ISO 19011: 2002(E) Guidelines for quality and/or environmental management systems auditing, and the ISO 17021: 2006 (E) Conformity assessment requirements for bodies providing certification of management systems. RSB-STD vers.2.1-General requirements for certification bodies 4

5 E. References RSB-STD RSB Principles & Criteria RSB-DOC RSB Glossary of terms RSB-DOC RSB List of Documents RSB-STD RSB Standard for EU market access RSB-STD RSB Standard for adaptation to crop specific conditions RSB-STD RSB Standard for adaptation to geographic conditions RSB-STD RSB Standard for adaptation to biomass production standards RSB-STD RSB Generic Chain of Custody Standard RSB-STD CoC model identity of product preserved RSB-STD CoC model segregation of product RSB-STD CoC model mass balance of product RSB-STD CoC model content ratio accounting of product RSB-STD RSB Standard for participating operators RSB-STD RSB Standard on communications and claims RSB-STD RSB Standard for risk management RSB-STD RSB Standard for dispute resolution RSB-STD RSB General requirements for certification bodies RSB-STD RSB Requirements for auditor qualifications RSB-STD RSB Requirements for evaluation of and reporting on participating operators RSB-STD RSB Requirements for certification bodies risk management RSB-STD RSB General requirements for accreditation bodies ISO/IEC Guide 62: ISO/IEC Guide 62: General requirements for bodies operating assessment and certification/registration of quality systems ISO/IEC Guide 65: 1996 (EN 45011: 1998) General requirements for bodies operating product certification systems ISO/IEC Guide 66: ISO/IEC Guide 66: General requirements for bodies operating assessment and certification/registration of environmental management systems (EMS) ISO 14065:2007 Greenhouse gases -- Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition ISO Greenhouse gases -- Part 3: Specification with guidance for the validation and verification of greenhouse gas assertions RSB-STD vers.2.1-General requirements for certification bodies 5

6 ISO 17000: 2004 Conformity assessment Vocabulary and general principles ISO 17021: 2006 Conformity assessment General requirements for bodies providing audit and certification of management systems ISO 19011: 2002 Guidelines for quality and/or environmental management systems auditing ISO 19011: 2002 Guidelines for quality and/or environmental management systems auditing ISAE 3000: INTERNATIONAL STANDARD ON ASSURANCE ENGAGEMENTS Assurance Engagements other than Audits or Reviews of historical financial Information. 1. January International Federation of Accountants (IFAC) F. Terms and definitions For the purposes of this International Standard, the terms and definitions given in RSB- DOC RSB Glossary of Terms shall apply. Note: As of February 1, 2014, the SOE is the RSB Secretariat. RSB-STD vers.2.1-General requirements for certification bodies 6

7 G. Requirements 1. Conformity with ISO/IEC Guide 65: 1996 (E) The certification body shall comply with the generic requirements of ISO/IEC Guide 62 1, ISO/IEC Guide 65 2, ISO/IEC Guide 66 3, ISO , ISO 14065:2007 5, ISO , ISAE and with the additional requirements specified in this standard according to their scope of RSB accreditation The certification body shall implement all requirements of the RSB standards and the RSB certification systems The certification body shall demonstrate to the RSB recognized accreditation body that all requirements and the intent of this standard are met The certification body shall document and implement its policies and procedures in conformity with the applicable requirements of this standard, consistent with their scope of RSB accreditation The certification body shall hold and maintain accreditation to ISO/IEC Guide 62, ISO/IEC Guide 65, ISO/IEC Guide 66, ISO and ISO or equivalent by an independent accreditation body which is either a member of the ISEAL 8 or the IAF 9. The certification body shall without delay inform the RSB recognized accreditation body and the RSB SOE if accreditation to ISO/IEC Guide 62 and/or ISO/IEC Guide 65 and/or ISO/IEC Guide 66 and/or ISO and/or ISO is suspended, withdrawn or terminated by any independent accreditation body In the event of any conflict between requirements specified in ISO/IEC Guide 62, ISO/IEC Guide 65, and/or ISO/IEC Guide 66 and the RSB standards, the RSB standards shall prevail. 1 ISO/IEC Guide 62: ISO/IEC Guide 62: General requirements for bodies operating assessment and certification/registration of quality systems. 2 ISO/IEC Guide 65: ISO/IEC Guide 65: 1996 (EN 45011: 1998) (General requirements for bodies operating product certification systems). 3 ISO/IEC Guide 66: ISO/IEC Guide 66: General requirements for bodies operating assessment and certification/registration of environmental management systems (EMS). 4 ISO 19011: 2002 Guidelines for quality and/or environmental management systems auditing. 5 ISO 14065:2007 Greenhouse gases -- Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition. 6 ISO Greenhouse gases -- Part 3: Specification with guidance for the validation and verification of greenhouse gas assertions. 7 ISAE 3000: INTERNATIONAL STANDARD ON ASSURANCE ENGAGEMENTS Assurance Engagements other than Audits or Reviews of historical financial Information. 1. January International Federation of Accountants (IFAC). 8 ISEAL: International Social & Environmental Accreditation and Labeling Alliance, London, United Kingdom. 9 IAF: International Accreditation Forum, Inc., Cherrybrook, NSW, Australia. RSB-STD vers.2.1-General requirements for certification bodies 7

8 2. General provisions Notwithstanding the requirements of ISO/IEC Guide 65 Clause 4, the certification body shall not be obliged to enter into or maintain any commercial or other relationship with any entity or issue or maintain a certificate previously issued to any entity whose activities conflict with the obligations of the certification body as specified in its accreditation contract with the RSB recognized accreditation body, or which, in the sole opinion of the certification body, reflect badly on the good name of the certification body and/or on the good name of the RSB. The certification body shall include a specific and legally binding clause to this effect in its contracts with its clients in relation to any services related to the RSB or the RSB standards or the RSB certification systems The certification body shall evaluate the systems and products of a participating operator against the requirements specified in RSB standards for conformity with the RSB standards The certification body shall formulate and publish explanation on the implementation of the RSB standards as is required The certification body shall request interpretation by the RSB of any and all aspects related to the implementation of the RSB standards and RSB certification systems which are not clear and/or raise questions. If interpretation is required as to the implementation of the RSB standards and/or the indicators and checklists thereto it shall be formulated by the RSB and published by the RSB recognized certification body. All interpretation of RSB standards is at the sole discretion of the RSB The certification body shall identify all persons involved in the certification to RSB standards and under the RSB certification systems The certification body shall appoint a management representative who has overall responsibility on behalf of the certification body for correct and comprehensive implementation of any and all applicable requirements of the RSB standards and the RSB certification systems The certification body shall enter into an agreement with the RSB SOE on the use of the RSB trademarks, which shall include at minimum: Confirmation by the certification body of its support for the RSB, the RSB certification systems and the RSB standards Confirmation by the certification body of its unconditional agreement to comprehensively complying with and implementing any and all applicable requirements of the RSB standards and RSB certification systems as specified in its accreditation scope. RSB-STD vers.2.1-General requirements for certification bodies 8

9 Confirmation by the certification body of its unconditional commitment to taking responsibility and to being accountable for implementation of and compliance with the RSB standards as specified in the certification scope of its operation Agreement by the certification body not to undertake or engage in any activity which could damage the good name of the RSB Agreement by the certification body to using the RSB trademarks only in compliance with all applicable RSB standards Agreement by the certification body to addressing all non-compliances and/or major non-compliances identified during evaluation without delay and inform the RSB recognized accreditation body and the RSB SOE about all actions taken to address the non-compliances and/or major non-compliance, and that the non-compliances and/or major non-compliance issued during the evaluation were corrected, rectified or otherwise brought into compliance with the RSB standards and the RSB certification systems Agreement by the certification body to informing the RSB recognized accreditation body engaged and the RSB SOE without delay about any and all aspects of its operation which may compromise the implementation of and compliance with the RSB standards Agreement by the certification body to informing the RSB recognized accreditation body engaged and the RSB SOE without delay about any and all misuse of the RSB trademarks, the RSB standards, and the RSB certification systems that the certification body gains knowledge of. Misuse of the RSB trademarks, the RSB standards, and the RSB certification systems, includes any non-compliance with the RSB standards, provisions and/or systems, whether already incurred or imminent or likely to occur. This requirement refers to any and all operations whether or not engaged with the certification body, and/or whether or not engaged with the RSB SOE and/or whether or not engaged with any other constituent of the RSB or the RSB certification systems Agreement by the certification body to providing unconditional and unrestricted access to any and all subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, and corresponding management systems, information and documentations related to implementation of the RSB standards and RSB certification systems Agreement by the certification body to provide and keep updated a documented profile of any and all activities and operation(s) under its control which could potentially affect or are affecting the implementation of the RSB standards and the RSB certification systems. The documented profile of the certification body shall include at minimum the following information: 1. description of the certification body s legal status; 2. description of the certification body s governing bodies; 3. names, details, descriptions, organizational charts and any other relevant information documenting subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, authorities, functions, roles & responsibilities, and if applicable, management systems including policies, procedures, as well as controlling RSB-STD vers.2.1-General requirements for certification bodies 9

10 systems and risk management systems; 4. description of experience with implementation of social, environmental, economic, and management standards and certification systems, including a list of: i. standards and certification systems currently implemented and the status thereof; ii. iii. iv. the accreditation bodies engaged with the certification body; consultants, sub-contractors and other third parties engaged to advise on implementation of RSB standards and RSB certification systems; accreditations withdrawn, suspended and/or terminated. 3. Certification body organization Independence and conflict of interest The certification body shall ensure that all personnel contributing to the certification process including decision making, disclose in writing to the certification body all interests which could possibly be perceived as, constitute and/or result in a conflicts of interest as soon as they become evident The certification body shall establish documented procedures for determining timely and appropriate responses to such declarations of interests as they arise, to ensure that the declared interests neither influence, nor are perceived to influence, the certification process and/or certification decision making The certification body shall record any and all real, perceived and potential conflicts of interest related to certification to RSB standards and under the RSB certification systems, and the actions taken to address, mitigate, manage, neutralize and/or avoid them Certification decision-making The certification body shall define the certification decision entity. The certification decision entity is the entity (e.g. person(s), group or committee, etc.) that is responsible for making certification decisions The certification decision entity shall: have and follow clear rules for membership, including requirements for qualification, experience and impartiality; consist of individuals with no financial or other commercial interest in the outcome of the certification decision; not include individuals who have taken part in the evaluation as lead auditors, auditors or experts not include any individuals who are or have been at any time in the past 5 years, engaged with another RSB recognized certification body as lead RSB-STD vers.2.1-General requirements for certification bodies 10

11 auditors, auditors, experts, consultants or service providers other than as a member of the decision making entity of the other RSB recognized certification body not include individuals who are or have been at any time in the past 5 years, engaged with participating operators as experts, consultants or service providers The certification decision entity may include individuals who are employees and/or management representatives of the RSB recognized certification body All individuals involved in the certification decision entity shall be knowledgeable of the RSB standards and RSB certification systems, and all relevant aspects of certification and accreditation The certification decision entity shall involve at least one person with lead auditor qualification Risk assessment The certification body shall demonstrate that it has assessed the risks arising from its certification activities and that it has adequate arrangements (e.g. insurance or reserves) to cover liabilities arising from its operation(s) in each of its fields of activities and in the geographic areas where it operates The certification body s risk assessment shall comply with the RSB Standard for risk management (RSB-STD ) and the specific RSB Requirements for certification bodies risk management (RSB-STD ) Consultancy and training The certification body and/or any related body shall not offer or provide consultancy and/or training services to participating operators which have engaged the same certification body for certification services The certification body shall not offer certification services to any participating operator that has and/or will received consultancy and/or training services from the same certification body and/or any related body Public information The certification body shall make publicly available the fact that it is recognized by the RSB and offering certification services under the RSB certification systems In case the certification body operates as part of and/or is controlled by another body (i.e. government body or private organization) the certification body shall make publicly available this fact and sufficient information to clearly explain the relationship between the certification body and the other body The certification body shall make available its organizational structure to stakeholders upon request, including the names of members of the certification body s entities responsible for: RSB-STD vers.2.1-General requirements for certification bodies 11

12 overall performance of the certification body s activities; formulation of policy matters which relate to the operation of the certification body; certification decision entity; resolution of disputes, complaints and appeals. 4. Certification body operations Documented systems The certification body shall base its operation(s) related to the RSB standards and the RSB certification systems and all aspects thereof on documented systems including but not limited to all operational procedures and associated instructions to be followed in order to evaluate conformity with RSB standards within the scope of the certification body s RSB accreditation The policies and procedures for maintenance of confidentiality shall include: a policy statement on confidentiality; procedures for ensuring that personnel are aware of the policy and of their consequent obligations; a written confidentiality agreement to be signed by all personnel who have access to confidential information. Such personnel shall include, but not be limited to administrative staff, lead auditors, auditors, technical experts, audit observers, consultants, subcontractors, members of the certification decision entity, peer reviewers, other committee members and management representatives The certification body shall make the documentation of its systems available to the personnel involved in the certification body s office(s) and operation(s), and at the level of its related bodies The certification body shall conduct its certification operation(s) in full conformity with its documented systems Records The certification body shall compile and maintain for at least 7 years accurate, complete, up-to-date and legible records of the following: certification body s personnel (staff, auditors, peer reviewers and committee members) records including CVs, qualifications, confidentiality agreements, training records, performance appraisals and declarations of conflicts of interest; list of and contracts with external bodies and/or persons subcontracted for work related to certification; operation of the certification body s certification decision entity and other RSB-STD vers.2.1-General requirements for certification bodies 12

13 relevant committees; applications for certification services, certification evaluations and certification contracts and all document related; list of participating operators engaged, their respective certification scopes of operation, their evaluation reports, and the status of their RSB certificates; management of disputes related to implementation of RSB standards and RSB certification systems; internal audits and management reviews; 5. General requirements for subcontracting The certification body may subcontract (outsource) work related to certification to an external body or person. Subcontracting shall also refer to arrangements related to the certification process between the certification body and affiliated or related bodies (e.g. subsidiaries, parent companies, etc.) All aspects and requirements of the RSB standards and RSB certification systems applicable to the certification body shall apply without exception to the external body or person subcontracted by the certification body. This shall include without limitation any additional condition imposed on the certification body by the RSB recognized accreditation body and/or the RSB SOE The certification body shall take full responsibility, accountability and liability for ensuring that the external body or person subcontracted complies with the applicable requirements of the RSB standards and RSB certification systems Any and all subcontracting of the aspects of the certification process shall be based on a written contract between the certification body and the external body or person The contract shall include an explicit agreement by the external body or person granting the certification body, the RSB recognized accreditation body and the RSB SOE, and their duly designated representatives unlimited and unconditional access to any and all aspects of their respective operation(s) and premises as well as access to all documentation and information, which are related to the implementation of the RSB standards and RSB certification systems and as deemed necessary by the RSB recognized certification body and/or RSB recognized accreditation body and/or the RSB SOE The certification body shall ensure that the external body or person subcontracted for work related to the certification process does not subcontract this work any further. RSB-STD vers.2.1-General requirements for certification bodies 13

14 5. 7. The certification body shall ensure that the RSB trademarks are not use by affiliated or related bodies, or by external bodies or persons subcontracted for work related to the certification process The certification body shall not outsource decisions on granting, maintaining, renewing, suspending, reinstating, refusing or withdrawing certification (see also ISO/IEC Guide 65: 1996 (E) Clause 12.2) (i.e. the certification body shall not outsource the certification decision entity) Each subcontractor shall be subject to at least one office audit and at least one onsite audit annually by the certification body. These audits by the certification body shall be part of the certification body s documents systems. 6. Certification body quality system The certification body shall include in its documented systems, operational procedures for: managing applications for certification services and any and all other services the certification body may be offering in relation to the RSB standards and the RSB certification systems; preparing, reviewing, updating and finalizing of certification reports; identification, management and tracking of nonconformities and actions taken by participating operators to address nonconformities; all types of decision making affecting or potentially affecting services in relation to the RSB standards and the RSB certification systems; issuing of certificates in relation to the RSB standards and the RSB certification systems; the review of the use of RSB compliance claims and the RSB trademarks; managing disputes, complaints and appeals; managing conflicts of interests; 7. Conditions and procedures for evaluating, granting, maintaining, suspending and withdrawing certification Duration of RSB certificates The certification body shall issue to participating operators upon successful evaluation for compliance with the RSB standards and RSB certification systems certificates with a maximum validity according to the risk associated with the RSB-STD vers.2.1-General requirements for certification bodies 14

15 operation(s) of the participating operator as follows: The certification body shall issue to participating operators in risk class 1 certificates with a maximum validity of no more than 24 months subject to successful completion of a desk audit after no more than 12 months The certification body shall issue to participating operators in risk class 2 certificates with a maximum validity of no more than 18 months subject to successful completion of a desk audit after no more than 9 months The certification body shall issue to participating operators in risk class 3 certificates with a maximum validity of no more than 12 months The certification body shall issue to participating operators in risk class 4 certificates with a maximum validity of no more than 9 months The certification body shall issue to participating operators in risk class 5 certificates with a maximum validity of no more than 6 months The certification body shall issue to participating operators in risk class 6 certificates with a maximum validity of no more than 3 months The certification body may extend the specified period of validity of a certificate once for up to six (6) months to enable evaluation under the following conditions: The risk associated with the operation(s) of the participating operator is no higher than risk class The conditions which led to the need for the extension of the validity of the certificate are beyond the control of the participating operator and the certification body. Problems in planning or scheduling a evaluation shall not be considered conditions beyond the control of the participating operator and the certification body The document audit of the participating operator by the certification body was successfully completed and gave no indication that compliance with the RSB standards and the RSB certification systems by the participating operator could be compromised during the extension of the validity of the certificate The extension of the validity of the certificate of the participating operator will not result in increased risk associated with the operation of the participating operator The certification body may extend the specified period of validity of a certificate once for up to three (3) months to enable evaluation under the following conditions: The risk associated with the operation(s) of the participating operator or the certification body is lower than risk class The conditions which led to the need for the extension of the validity of the certificate are beyond the control of the participating operator and the certification body. Problems in planning or scheduling a evaluation shall not be considered conditions beyond the control of the participating operator and the certification body The document audit of the participating operator by the certification body was successfully completed and gave no indication that compliance with the RSB-STD vers.2.1-General requirements for certification bodies 15

16 RSB standards and the RSB certification systems by the participating operator could be compromised during the extension of the validity of the certificate The extension of the validity of the certificate of the participating operator will not result in increased risk associated with the operation of the participating operator The certification body shall document the conditions which led to the need for the extension of the validity of the certificate, and inform the RSB recognized accreditation body and RSB SOE about the extended expiry date of the certificate within five (5) business days of the extension being granted, and before the expiry date of the certificate, and update the relevant data in the database(s) of registered RSB certificates and in any other information Issuing and maintaining RSB certificates to participating operators The certification body shall only issue and/or maintain a RSB certificate to a participating operator, which: holds a valid RSB participant code, which is not suspended; has entered into an agreement with the RSB recognized certification body which includes at minimum the following provisions: agreement by the participating operator to complying with any condition set by the certification body; agreement by the participating operator to informing the certification body without delay of any condition which could affect compliance with the RSB standards and/or the RSB certification systems, and the continued validity of the RSB certificate; agreement by the participating operator to submitting to evaluation proceedings and any and all related activities as determined by the certification body, including the certification body s right to carry out unannounced evaluation proceedings; reference to the RSB standards and RSB certification systems in their most recent version as an integral part of the agreement; agreement by the participating operator to granting to the certification body, the RSB recognized accreditation body and the RSB SOE, and their duly designated representatives unlimited and unconditional access to any and all aspects of the participating operator s operation(s), respective premises as well as access to all documentation and information, which are related to the implementation of the RSB standards and RSB certification systems and as deemed necessary by the RSB recognized certification body and/or RSB recognized accreditation body and/or the RSB SOE for evaluation of compliance with the RSB standards and RSB certification systems agreement by the participating operator to ensuring that the rights granted under point above to the certification body, the RSB recognized accreditation body and the RSB SOE, and their duly delegated representatives extend without limitation to external third RSB-STD vers.2.1-General requirements for certification bodies 16

17 parties engaged by the participating operator and/or any part of its operation(s) state clearly the right of the certification body to suspend and/or withdraw the RSB certificate with immediate effect if, in the sole opinion of the certification body, the participating operator is not in compliance with the RSB standards and the RSB certification systems, and/or with any condition set by the certification body agreement by the participating operator in case of suspension or withdrawal of the RSB certificate, to; immediately cease use of any RSB trademarks, including on and/or in relation to any products; identify all customers and suppliers affected, and notify them of the suspension or withdrawal of the RSB certificate in writing within three (3) business days of the suspension or withdrawal, and maintain records of that notification; agreement by the participating operator to comply with revisions of and/or changes to the requirements of certification by the certification body (e.g. if new RSB standards are approved, etc.) during the period of validity of the RSB certificate, including the revision of costs and fees. The certification body shall only specify such revisions and/or changes to the requirements of certification if this is deemed necessary to ensure compliance with the RSB standards and the RSB certification systems agreement by the participating operator to comply with requirements for transferring participating operators as detailed in point 8. of this standard and/or as decided by the RSB SOE, the RSB recognized accreditation body and/or the RSB recognized certification bodies involved has been consistently and comprehensively informed about all aspects of the RSB standards and the RSB certification systems; comprehensively, consistently and transparently complies with the applicable requirements of the RSB standards and the RSB certification systems, and with any condition set by the certification body; has been evaluated by the certification body for compliance with the RSB standards and the RSB certification systems, and where the certification evaluation resulted in a positive certification decision for issuing an RSB certificate by the certification decision entity The certification body shall only issue and/or maintain a RSB certificate to a participating operator for the entire certification scope of the participating operator as specified in the participation agreement with the RSB SOE The certification body shall not issue a RSB certificate if major noncompliances with applicable requirements of the RSB standards and the RSB certification systems are outstanding (i.e. have been identified and not been corrected at the time of certification decision making) In addition to the certificate issued to the participating operator, the certification body shall issue a separate sub-certificate for each legal entity and for each RSB-STD vers.2.1-General requirements for certification bodies 17

18 operational site included in the certification scope of the participating operator. The sub-certificates shall have the same certificate code as the certificate issued to the participating operator followed by combination of three letters which uniquely identifies each sub-certificate The certification body shall include on the RSB certificate issued to the participating operator and on each sub-certificate issued to legal entities and operational sites included in the certification scope of the participating operator the following information: the name, address and registration number of the certification body; the legal name, registered address and RSB participant code of the participating operator to which the certificate is issued; a unique numerical certificate code issued by the certification body, and in case of sub-certificates a three letter code to uniquely identify legal entities and operational sites; the scope of the certificate and the operation(s) of the participating operator as specified in the participation agreement with the RSB SOE; the effective date of issue of the RSB certificate; the effective date of expiry of the RSB certificate; reference to the RSB database(s) of registered certificates; a disclaimer that this RSB certificate is only valid if duly registered in the RSB database(s) of registered RSB certificates and that the validity of this RSB certificate shall be verified in the RSB database(s) of registered RSB certificates; the signature of the designated representative of the certification body; a disclaimer stating that this RSB certificate itself does not constitute evidence that a particular product supplied by the certificate holder is certified to RSB standards. Products offered, shipped or sold by the certificate holder can only be considered covered by the scope of this certificate when the required RSB claim is clearly stated on-product; reference that this RSB certificate was issued under accreditation by a RSB recognized accreditation body for compliance with the RSB standards and the RSB certification systems; reference to the RSB website The certification body shall inform the RSB recognized accreditation body and RSB SOE, about any issuing, suspension or withdrawal of a RSB certificate, specifying the effective date, the certification report and the public summary of the certification report. The certification body shall within five (5) business days of issuing, suspension or withdrawal a RSB certificate update the relevant data in RSB database(s) of registered RSB certificates and in any other information Evaluating participating operators The certification body shall conduct certification evaluations of participating operators according to RSB-STD RSB-STD vers.2.1-General requirements for certification bodies 18

19 The certification body shall provide all auditors with consistent, comprehensive and transparent information which includes all standards, guidance, procedures and other documentation necessary to successfully complete evaluations in accordance with documented procedures specified by the certification body Certification body s audit teams shall include a designated lead auditor. The designated lead auditor shall lead the audit team and the evaluation of the participating operator The certification body shall develop and document its methodology for conducting stakeholder consultations in accordance to the requirements of the RSB standards and the RSB certification systems. The methodology shall ensure that: a range of representative stakeholders is consulted appropriate to the scale, intensity, complexity and impacts of the operation(s) evaluated; stakeholders have the opportunity to present their comments to the auditor(s) in local language; stakeholders have the opportunity to present their comments to the auditor(s) under terms of confidentiality; Note: Identities of stakeholders requesting confidentiality shall be documented in formal records of the certification body, but shall not be included in any documentation, which is disclosed publicly, to the participating operator and/or to any other external third party involved in evaluation. The certification body shall ensure that the identity, privacy and personal integrity of stakeholders requesting confidentiality is protected. The members of the audit team shall not be required to investigate and/or consider comments by stakeholders who refuse to identify themselves stakeholders have the opportunity to present their comments prior to peer review of the certification report and certification decision making; stakeholder consultation shall be designed to solicit direct, factual observations with regard to compliance of the participating operator with the RSB standards and the RSB certification systems information and opinions given by consulted stakeholders are investigated, evaluated and verified objectively and meaningfully, and affect the certification decision only in so far as they provide evidence of compliance or non-compliance with the applicable requirements of the RSB standards and the RSB certification systems The certification body shall ensure that no participating operator is evaluated by the same lead auditor on more than 3 consecutive certification evaluations The certification body shall document the evaluation process, evaluation findings and conclusions prior to peer review and decision making in a certification report The certification body shall submit certification reports to peer review prior to certification decision making The peer review shall be conducted according to clear terms of reference, which include at least a review of the adequacy of : RSB-STD vers.2.1-General requirements for certification bodies 19

20 1. evaluation work and collection of objective evidence to verify compliance with the RSB standards and the RSB certification systems, 2. evaluation work and collection of objective evidence as basis for certification decision making, 3. clarity of presentation of observations and evidence as basis for certification decision making, 4. whether the proposed certification decision is justified by the observations and evidence presented Individuals (i.e. at minimum two (2) individuals) involved in peer review shall be independent of the certification body and/or any of its related bodies, and shall comply with any and all applicable requirements of the RSB standards and the RSB certification systems The outcomes (e.g. comments, inputs, issues raised, etc.) of the peer review shall be compiled in a peer review report and be part of the certification records The certification body shall respond in writing to the peer review, and finalize the certification report considering the results of the peer review The certification body shall submit the certification report together with the peer review report and its response to the peer review to the certification body s decision making entity. 8. Transferring participating operators The certification body shall facilitate the transfer of a participating operator to another RSB recognized certification body The certification body shall ensure that the transfer of a participating operator to another RSB recognized certification body is justified with evidence substantiating the rationale for the transfer and approved by the RSB SOE The certification body shall transfer upon request by the RSB SOE copies of the certification documentation, and any and all other relevant information on a participating operator to: the RSB SOE upon request by the RSB SOE; the RSB recognized accreditation body; another RSB recognized certification body. RSB-STD vers.2.1-General requirements for certification bodies 20