CERTIFICATION REQUIREMENTS COMPETENCY-BASED OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEM (OHSMS) AUDITOR CERTIFICATION PROGRAM

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1 CERTIFICATION REQUIREMENTS COMPETENCY-BASED OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEM (OHSMS) AUDITOR CERTIFICATION PROGRAM Exemplar Global Personnel Certification Programs

2 Exemplar Global is accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ) and INMETRO as meeting the requirements of the International Standard for Personnel Certification Bodies, ISO/IEC 17024:2003 General requirements for bodies operating the certification of persons. This program is covered under Exemplar Global s scope of accreditation with JAS-ANZ. This program is not covered under Exemplar Global s scope of accreditation with INMETRO. Disclaimer While every effort is made to ensure that the process for evaluating applications for certification is effective, Exemplar Global, Inc. does not accept liability for the performance, conduct or services provided by the certified person or organization. Copyright Exemplar Global, Inc. This Certification Program and associated Intellectual Property is subject to Exemplar Global, Inc. Copyright. Apart from any fair dealing for the purposes of application, review or reference, as permitted under the Australian and United States of America Copyright Acts, no part of this program may be reproduced by any process without the written permission of the Chief Executive Officer of Exemplar Global, Inc. Page 2 Document Ref: PCD03-CB-OHSMS Certification Requirements Edition: 4 Issued : May 2016

3 Table of Contents Introduction... pg.4 Grades of Certification... pg.5 Scopes of Certification... pg.6 Knowledge Requirements... pg.8 Qualification Requirements... pg.9 Personal Attributes... pg.10 Examination of Skill... pg.11 Surveillance... pg.12 Re-Certification... pg.13 Expansion.. pg.14 Page 3

4 Introduction The Competency-Based (CB) Occupational, Health and Safety Management System (OHSMS) Auditor Certification Program has been developed by Exemplar Global in liaison with industry representatives. The program provides international recognition for auditors of who conduct occupational, health and safety management system audits using national or international standards or regulatory requirements, or other standards and normative and industry references, that are recognized by Exemplar Global. Confidence and reliance in the audit process depends on the competence of personnel conducting the audit. This personnel certification program has been developed to meet the following key objectives: To achieve the requirements of the International Standard for personnel certification ISO/IEC 17024:2012; To ensure that auditors meet or exceed the qualification guidelines for management system auditors described in ISO19011:2011, AS4801, ANSI Z-10, or BSI OHSAS 18001, and are assessed as competent to perform OHS management system audits; To assist organizations in selecting competent auditors; and To enhance the professional recognition of qualified certified auditors. Auditors who wish to become certified by Exemplar Global should review this document and the Personnel Certification Guide to better understand the certification requirements prior to applying for certification. If you have any remaining questions regarding personnel certification, please contact an Examiner in your region s Principal Office. Exemplar Global Principal offices are located in: Milwaukee, USA PO Box 602 Suite N Plankinton Ave Milwaukee, WI ; or Fax Seoul, South Korea IATC Co., Ltd. Room 406 ACE Techno Tower III Guro3-dong, Guro-Gu Seoul, South Korea Sydney, Australia South Wing, Level 1 Building BR Werrington Corporate Centre, Werrington NSW Fax Page 4

5 Grades of Certification There are five grades of OHSMS Auditor certification: Provisional OHSMS Auditor OHSMS Auditor Principal OHSMS Auditor Lead OHSMS Auditor Business Improvement OHSMS Auditor The Provisional Auditor grade recognizes that an applicant has demonstrated knowledge-based auditing competence required for OHSMS Auditors. *This grade is valid until the first Surveillance period (two years), at which time Provisional OHSMS Auditors are required to expand to a higher grade. The Auditor grade recognizes that an applicant has demonstrated the competencies to conduct an OHSMS audit and perform as a member of an audit team. The Principal Auditor grade recognizes that an applicant has demonstrated the competencies to conduct an OHSMS audit and perform either alone or as a member of an audit team. The Lead Auditor grade recognizes that an applicant has demonstrated the competencies to conduct an OHSMS auditor competence and can lead an audit team. Business Improvement Auditor grade recognizes that an applicant has demonstrated Lead Auditor competence and has knowledge of the application and benefits of business improvement and risk management tools. Page 5

6 Scopes of Certification There are nine scopes under OHSMS Auditor certification. These scopes are in addition to the certification requirements shown within this document. Applicants must demonstrate the requirements defined for each scope. It is possible for an applicant to be awarded more than one scope. Scopes do not apply to Provisional Auditor grade. SCOPE DEFINITION REQUIRED EVIDENCE 1. OHS Management System (OHSMS) Audit An audit undertaken against national, international, or an acceptable OHS management system standard. 2. Plant Audit* Identification and evaluation of the effectiveness of the control of predictable hazards to health and safety arising from the plant and systems of work associated with the plant. 16 audit days using AS4801, ANSI Z-10, or BSI OHSAS as the reference standard. 10 audit days against the evaluation of the effectiveness of the control of predictable hazards to health and safety arising from the plant and systems of work associated with the plant. 3. Emergency Preparedness Audit* 4. Occupational Hygiene Audit* An audit of systems and plans in place to deal with significant emergencies such as fire, explosion, or natural disasters, bomb threats, or any other event threatening life, property, equipment and/or the environment. An audit of the identification, assessment, and control of chemical, biological, or physical workplace hazards. 10 audit days against systems and plans in place to deal with significant emergencies. 10 audit days against identification, assessment, and control of chemical, biological, or physical workplace hazards. *This scope is not included in Exemplar Global s scope of accreditation. Page 6

7 Scopes of Certification Scopes do not apply to Provisional Auditor grade. SCOPE DEFINITION REQUIRED EVIDENCE 5. Ergonomics Audit* An audit to determine the extent to which human factor principles have been implemented in the design of workplaces and systems of work. 10 audit days against the extent to which human factor principles have been implemented in the design of workplaces and systems of work. 6. Dangerous Goods Audit* 7. OHS Compliance Audit* 8. Injury Management Audit* 9. Hazardous Substances Audit* An audit of the effectiveness of the management of storage, use, transport, and disposal of dangerous goods. An audit of the effective control of the legal risks in order to ensure that the requirements of laws, regulations, industry codes, and organizational standards are met. An audit of injury management systems/activities that are concerned with achieving safe and durable return to work. This involves treatment, rehabilitation, claims management, and employment practice. An audit of the management of the use of hazardous substances. 10 audit days against the effectiveness of the management of storage, use, transport, and disposal of dangerous goods. 10 audit days against the effective control of the legal risks in order to ensure that the requirements of laws, regulations, industry codes, and organizational standards are met. 10 audit days against injury management systems/ activities that are concerned with achieving safe and durable return to work. 10 audit days against the management of the use of hazardous substances. *This scope is not included in Exemplar Global s scope of accreditation. Page 7

8 Knowledge Requirements Applicants for each grade of OHSMS Auditor certification must provide evidence of knowledge competency defined in the following TPECS Competency Units: Provisional, Auditor, and Principal OHSMS Auditor: Management System Auditing (Exemplar Global-AU) OHS Management Systems (Exemplar Global-OH) Lead OHSMS Auditor: Management System Auditing (Exemplar Global-AU) OHS Management Systems (Exemplar Global-OH) Leading Management System Audit Teams (Exemplar Global-TL) Business Improvement OHSMS Auditor: Management System Auditing (Exemplar Global-AU) OHS Management Systems (Exemplar Global-OH) Leading Management System Audit Teams (Exemplar Global-TL) Advising on Organizational Improvement and Risk Management (Exemplar Global-OI) EVIDENCE OF KNOWLEDGE-BASED COMPETENCY: All OHSMS Auditor Grades: A certificate/s of Attainment for the above Competency Units from a Certified TPECS Training Provider, issued within the three years prior to application, is required. Applicants whose certificate is older than three years may be eligible to complete the Exemplar Global- OH e-based knowledge examination to demonstrate current knowledge. Alternately, a Certificate of Successful Completion of a Certified OHSMS Auditor course (or other certified OHSMS Auditor course recognized by Exemplar Global), together with successful completion of the Exemplar Global-OH Knowledge Examination, will be accepted as evidence of the knowledge requirements for the Exemplar Global-AU and Exemplar Global-OH Competency Units. For Lead Auditor Grades, the successful completion of the Exemplar Global-TL Knowledge Examination will be accepted as evidence of the knowledge requirements for Exemplar Global-TL Competency Units. Refer to the Personnel Certification Guide for details on knowledge examinations, TPECS and TCC Training Providers and other certified training courses recognized by Exemplar Global. A register of Certified Training Providers is available at Page 8

9 Qualification Requirements Applicants for OHSMS Auditor certification (except Provisional grade*) must provide evidence of qualifications defined by Exemplar Global in the following categories: *Applicants to the Provisional grade must meet these qualification requirements by their next surveillance date. EVIDENCE OF EDUCATION: Applicants must have completed tertiary education or national equivalent. Examples include: university degree, college diploma, advanced certificate (Australian Certificate IV). EVIDENCE OF WORK EXPERIENCE: Applicants must provide evidence of at least two years work experience in a technical or managerial position with direct OHSMS management responsibilities. Evidence of work experience must be verifiable and include: Employer (including contact details); Dates of employments; and Roles, responsibilities (job description) and achievements. ACCEPTABLE FORMS OF EVIDENCE: Acceptable evidence of education and work experience will be in the form of a copy of the applicant s educational certificate and/or degree and a work resume or curriculum vitae. This documentation is submitted with the application. Page 9

10 Personal Attributes Applicants (except Provisional grade) must provide evidence they possess appropriate personal attributes, as shown below. The attributes required are related to those defined in ISO 19011:2011 Guidelines for auditing management systems. *Applicants to the Provisional grade must meet these personal attribute requirements by their next surveillance date. Ethical - fair, truthful, sincere, honest and discreet; Open-minded - willing to consider alternative ideas or points of view; Diplomatic - tactful in dealing with people; Observant - actively observing physical surroundings and activities; Perceptive - aware of and able to understand situations; Versatile - able to readily adapt to different situations; Tenacious - persistent and focused on achieving objectives; Decisive - able to reach timely conclusions based on logical reasoning and analysis; Self-reliant - able to act and function independently whilst interacting effectively with others; Acting with fortitude - able to act responsibly and ethically, even though these actions may not always be popular and may sometimes result in disagreement or confrontation; Open to Improvement - willing to learn from situations, and striving for better audit results; Culturally sensitive - observant and respectful to the culture of the auditee; and Collaborative - effectively interacting with others, including audit team members and the auditee s personnel. Demonstration of the defined personal attributes must be shown through the completion of the e-based PAAS Master Assessment. Details to enable the completion of the PAAS Master Assessment will be provided to each Applicant when Exemplar Global receives his/her application. For applicants who have completed an appropriate PAAS Master Assessment within the four years prior to application a further assessment is not required. Applicants are required to note the details of the assessment when submitting the application form. Further information on the PAAS Master Assessment is available on the Exemplar Global website at Page 10

11 Examination of Skill Applicants for OHSMS Auditor certification (except Provisional Auditor*) must provide evidence of the skill competency defined by Exemplar Global. Competency is to be demonstrated under auditing (on-site) conditions during a conformity audit. The Skill Examination must be conducted by a Certified OHSMS Skill Examiner. *Applicants to the Provisional grade must meet these skill requirements by their next surveillance date. THE FOLLOWING COMPETENCIES ARE REQUIRED TO BE DEMONSTRATED: All Auditor Grades (except Provisional): Audit implementation; Maintain communication during audit; Collect and verify information; Conduct interviews; Generate audit findings; and Prepare audit conclusions. Principal Auditor: (Important: To obtain Principal Auditor grade, the Applicant must perform as a solo auditor or perform as the leader of a team during the skill examination). Conduct the closing meeting. Lead or Business Improvement Auditor: (Important: To obtain Lead or Business Improvement Auditor grade, the Applicant must perform as the leader of a team during the skill examination). Conduct the closing meeting; Represent the audit team with audit client and auditee; Organize and direct audit team members; Provide direction and guidance to team members; Lead the audit team to reach audit conclusions; and Prevent and resolve conflicts. It is the responsibility of each Applicant to arrange for a Skill Examination. A register of Certified Skill Examiners is available at The Skill Examiner submits the completed Skill Examination Report to Exemplar Global within 5 days of completing the Skill Examination. Page 11

12 Surveillance To maintain certification, all certified auditors are required to demonstrate continuing compliance with the current certification requirements. Exemplar Global will forward electronically a reminder with an invoice for the Annual Certification Fee. Every two years from the date of initial certification or each re-certification, auditors must provide: All OHSMS Auditor Grades: Evidence of current knowledge-based competency through successful completion of the relevant e-based Surveillance Examination for the grade of certification; and Confirmation that the Code of Conduct has been adhered to and any complaints against performance have been resolved. Provisional OHSMS Auditor: As described in these certification requirements, and in addition to the above: Qualification Requirements; Personal Attributes; and Examination of Skill. Page 12

13 Re-certification To maintain certification, all certified auditors are required to demonstrate continuing compliance with the current certification requirements. Exemplar Global will forward electronically a reminder with an invoice for the Annual Certification Fee. Every four years from the date of initial certification or each re-certification, auditors must provide: Evidence of a completed skill examination by a Certified OHSMS Skill Examiner; Evidence of evaluation of personal attributes by the completion of the PAAS Master Assessment within the previous four years; and Confirmation that the Code of Conduct has been adhered to and any complaints against performance have been resolved. Page 13

14 Expansion Certified auditors can apply to expand their grade and/or Scope of certification at any time. To apply for an expansion of certification, auditors are required to: Complete the online Expansion Application available through your Self-Service Portal, accessible through the Exemplar Global Certification website at Submit the Expansion Fee as part of the online application process; and Provide evidence of the requirements for the grade and/or Scope sought, as defined in these Certification Requirements. Where an auditor is applying for more than one additional scope in the same application, only one Expansion Fee is required. For complete details of Fees, refer to Exemplar Global Fee Calculator on the Exemplar Global Certification website at Page 14