CERTIFICATION REQUIREMENTS QUALIFICATION-BASED ENVIRONMENTAL MANAGEMENT SYSTEMS (EMS) AUDITOR CERTIFICATION PROGRAM Exemplar Global Personnel Certification Programs
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 not covered under Exemplar Global s scope of accreditation with JAS-ANZ and INMETRO. The COMAMA 306/02 Scope within this program is 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 organisation. 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: PCD19-QB-EMS Certification Requirements Edition: 13 Issued : April 2015
Table of Contents Introduction... pg.4 Grades of Certification... pg.5 Scopes of Certification... pg.6 Knowledge Requirements... pg.10 Qualification Requirements... pg.11 Audit Experience Requirements... pg.12 Re-Certification... pg.13 Page 3
Introduction The Qualification-based (QB) Environmental Management Systems (EMS) Auditor Certification Program has been developed by Exemplar Global in liaison with industry representatives. The program provides international recognition for auditors who conduct environmental management system audits using national or international management system standards, or other management system 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 ISO 19011:2011 and are assessed as competent to perform quality management system audits; To assist organizations in selecting competent auditors; and To enhance the professional recognition of qualified 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 301 600 N Plankinton Ave Milwaukee, WI 53201-0602 +1-888-722-2440; or +1-414-272-3937 Fax +1-414-765-8661 Seoul, South Korea Exemplar Global Co., Ltd. Room 610 Lotte IT Castle 1 #550-1-Gasan-Dong, Geumcheon-Gu, Seoul, South Korea 153-768 +82-2-855-7017 Sydney, Australia PO Box 347 Suite 12 308 High Street Penrith, NSW 2750 +61-2-4728-4600 Fax +61-2-4731-6466 Page 4
Grades of Certification There are five grades of EMS Auditor certification: Associate EMS Auditor EMS Auditor Principal EMS Auditor Lead EMS Auditor Business Improvement EMS Auditor The Associate Auditor grade recognizes that an applicant has met the formal education, training, and work experience requirements, but has not yet demonstrated the ability to conduct EMS audits. The Auditor grade recognizes that an applicant has demonstrated the qualifications to conduct an EMS audit and perform as a member of an audit team. The Principal Auditor grade recognizes that an applicant has demonstrated the qualifications to conduct an EMS audit and perform either alone or as a member of an audit team. The Lead Auditor grade recognizes that an applicant has demonstrated the qualifications to conduct an EMS audit and can lead an audit team. The Business Improvement Auditor grade recognizes that an applicant has demonstrated Lead Auditor qualifications and has knowledge of the application and benefits of business improvement and risk management tools. Page 5
Scopes of Certification There are eight scopes under EMS Auditor certification. These scopes are in addition to the certification requirements shown within this document. Applicants to the EMS Auditor program should decide on which scopes are appropriate based on each applicant s individual certification needs and must demonstrate the requirements defined for each scope. It is possible for an applicant to be awarded more than one scope. Applicants for scopes must provide evidence with their application related to their combined indirect education, direct education, work experience, and audit experience specific to the scope they seek. *This scope is not included in Exemplar Global s scope of accreditation. SCOPE DEFINITION REQUIRED EVIDENCE 1. Environmental Management Audit* 2. Environmental Management System (EMS) Audit Systematic and documented verification process to determine conformity of an organization s management of environmental issues (associated with physical installations, operational processes and/or procedures, and other operational aspects) to the audit criteria and scope. First, second or third party audit against the specific requirements of an EMS standard that incorporates all clauses of ISO 14001:2004. 10 audit days, Examples: Audit of environmental management process (where the system does not cover all clauses of ISO 14001:2004) Audit of facility or processes pre-acquisition Environmental due diligence Baseline audit of facility or process for environmental impact assessment or consulting work 16 audit days using ISO 14001:2004 as the reference standard Page 6
Scopes of Certification Scopes do not apply to Provisional auditor grade. *This scope is not included in RABQSA s scope of accreditation. SCOPE DEFINITION REQUIRED EVIDENCE 3a. Site Contamination Assessment* - Phase 1 Audit 3b. Site Contamination Assessment* - Phase 2 Audit Systematic and documented identification, evaluation, or confirmation of the existence or otherwise of contamination on or emanating from a site. Systematic and documented identification, evaluation, or confirmation of the existence or otherwise of contamination on or emanating from a site. Phase 1 audits - Preliminary Site Investigation - 10 audit days - Identification of all past and present potentially contaminating activities, reporting on the site condition, providing a preliminary assessment of the site contamination and recommendation on further investigations. Phase 2 audits - Detailed Site Investigation - 10 audit days - Addressing issues raised in the preliminary investigation, defining the extent and degree of contamination, assessing potential effects posed by contaminants to human health and the eco-systems and obtaining sufficient information to allow decisions on remediation options. 3c. Site Contamination Assessment* - Phase 3 Audit Systematic and documented identification, evaluation, or confirmation of the existence or otherwise of contamination on or emanating from a site. Phase 3 audits - Validating Site Remediation - 10 audit days - Setting remediation goals, determining the remediation strategy, obtaining the necessary approvals, undertaking remediation and validating that it has been achieved 4. Environmental Report Verification* Establishing environmental performance data, through examining the company s internal data gathering systems and controls, for public or other reporting. 3 data compilations over at least a 12-month period Page 7
Scopes of Certification *This scope is not included in Exemplar Global s scope of accreditation. SCOPE DEFINITION REQUIRED EVIDENCE 5. Compliance Audit* Determining the extent of compliance with existing legislation, permits, and/or codes applicable to operations and procedures. 10 audit days using a compliance standard 6. Waste Auditing* Formalized, structured process undertaken to quantify the amounts and types of waste generated and to identify waste management procedures and practices. Waste Audit training course including the following minimum learning objectives: Understand industry standards and guide-lines in relation to handling, containment and management of waste Understand waste auditing methods and techniques Understand how to identify, isolate, sort, measure and record waste streams, including identification of unanticipated waste Understand the aspects of production, services, processes and operations that may give rise to waste and opportunities to manage those wastes according to waste management hierarchy Understand how to identify and assess the significance of other issues that may impact on waste generation and management Understand the relevant environmental, political, and economic contexts of waste management. Page 8
Scopes of Certification *This scope is not included in Exemplar Global s scope of accreditation. SCOPE 8. CONAMA 306/02 REQUIREMENTS In order to provide the Brazilian market with an alternative to comply with local environmental legislation, Exemplar Global has developed the CONAMA 306/02 Environmental Auditor scope of certification. This scope addresses the requirements established in relevant legislation in regards to the minimum qualification and certification requirements. Initial Certification Requirements After the satisfaction of all relevant EMS scheme requirements, Auditors and Lead Auditors are required to provide the following: 1a. Successful completion of an Exemplar Global-Certified 40 hour CONAMA Lead Auditor Course together with successful completion of the Exemplar Global CONAMA Gap Exam; or 1b. Successful completion of a CONAMA Lead Auditor course recognized under the Brazilian Conformity Assessment System together with successful completion of the Exemplar Global-CONAMA Gap exam and Exemplar Global-EM Gap Exam; or 1c. Evidence of current certification as a CONAMA Auditor or Lead Auditor, certified by a Personnel Certification Body Accredited under the Brazilian Conformity Assessment System together with successful completion of the Exemplar Global-CONAMA Gap exam and Exemplar Global-EM Gap Exam; and 2. Evidence of tertiary degree or equivalent; and 3. Four (4) years professional experience in a technical or managerial position, with authority to make decisions; and 4. Evidence of one audit, on which the applicant has acted as a leader, witnessed by an Exemplar Global Certified Lead Auditor (applicable to applicants for Lead Auditor grade only). The Exemplar Global-EM and Exemplar Global-CONAMA Knowledge Examinations are available in the Portuguese Language. Refer to the Personal Certification Guide regarding the Exemplar Global-CONAMA Knowledge Examination. Re-certification: In addition to program re-certification requirements, every-third year from initial certification, auditors holding the CONAMA 306/02 Scope must demonstrate continuing conformity with the CONAMA Legislation by providing at least 4 EMS audits that total at least 20 audit days. Each of the audits must include 2 days of onsite activities. Page 9
Knowledge Requirements Applicants for each grade of EMS Auditor certification must provide evidence of knowledge competency defined by Exemplar Global in the following TPECS Competency Units: Associate, Auditor, and Principal EMS Auditor: Management System Auditing (Exemplar Global-AU) Environmental Management Systems (Exemplar Global-EM) Lead EMS Auditor: Management System Auditing (Exemplar Global-AU) Environmental Management Systems (Exemplar Global-EM) Leading Management System Audit Teams (Exemplar Global-TL) Business Improvement EMS Auditor: Management System Auditing (Exemplar Global-AU) Environmental Management Systems (Exemplar Global-EM) Leading Management System Audit Teams (Exemplar Global-TL) Advising on Organizational Improvement and Risk Management (Exemplar Global-OI) EVIDENCE OF KNOWLEDGE-BASED COMPETENCY All EMS Auditor Grades: A Certificate/s of Attainment for the above Competency Units from an Exemplar Global- 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-EM e-based knowledge examination to demonstrate current knowledge. Alternately, a Certificate of Successful Completion of a Certified EMS Auditor Course (or other certified EMS Auditor course recognized by Exemplar Global), together with successful completion of the Exemplar Global-EM Knowledge Examination, will be accepted as evidence of the knowledge requirements for Exemplar Global-AU and Exemplar Global- EM Competency Units. For Lead and Business Improvement Grades, the successful completion of the Exemplar Global-TL Knowledge Examination will be accepted as evidence of the knowledge requirements for Exemplar Global-TL and Exemplar Global-OI 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 www.exemplarglobal.org. Page 10
Qualification Requirements Applicants for EMS Auditor certification must provide evidence of qualifications defined by Exemplar Global in the following categories: EVIDENCE OF EDUCATION: Applicants for all EMS Auditor grades have completed secondary education or national equivalent. EVIDENCE OF WORK EXPERIENCE: Applicants for all EMS Auditor grades must provide evidence of: At least eight years work experience with secondary education; or At least six years work experience with post-secondary (non-university) education; or At least four years work experience with a University degree (Bachelors or higher). In addition to the above work experience requirements, the following specific requirements apply: EMS Associate Auditor Grade: Applicants must provide evidence of at least two years environmental work experience, obtained in the four years prior to application. EMS Auditor, Principal, Lead, and Business Improvement Auditor Grades: Applicants must provide evidence of at least two years environmental work experience, obtained in the four years prior to Application, in a technical or managerial position with direct EMS management responsibilities. Evidence of work experience must be verifiable and include: Employer (including contact details); Dates of employment; 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. Alternatively, a verifiable certificate showing current status as a Certified Member of the Academy of Certified Hazardous Materials Management, Inc. (ACHMM) is acceptable evidence of meeting the education and work experience requirements. Page 11
Audit Experience Requirements Applicants for EMS Auditor certification must provide evidence of audit experience defined by Exemplar Global for each specific grade. All audit days must be in accordance with the conditions for audit experience as described in Personnel Certification Guide. Associate EMS Auditor: None EMS Auditor: Applicants for Auditor grade shall demonstrate twenty audit days. A maximum of six days of off-site audit activity is allowed in these twenty days. Included in the twenty audit days, an applicant must demonstrate: At least four complete EMS audits as a member of an audit team. Principal EMS Auditor: Applicants for Principal Auditor grade shall demonstrate twenty audit days. A maximum of six days of off-site audit activity is allowed in these twenty days. Included in the twenty audit days, an applicant must demonstrate: At least four complete EMS audits; and At least ten audits days and two complete EMS audits as a solo auditor or a Team Leader. Lead or Business Improvement EMS Auditor: Applicants for the Lead or Business Improvement Auditor grades shall demonstrate thirtyfive audit days. A maximum of ten days of off-site audit activity is allowed in these thirtyfive days. Included in the thirty-five audit days, an applicant must demonstrate: At least seven complete EMS audits; and At least fifteen audit days and three complete EMS audits as a Team Leader of an audit team of at least one other auditor. Page 12
Re-certification To maintain certification, all certified auditors are required to demonstrate continuing conformity with the current certification requirements for the grade of certification awarded. Exemplar Global will forward electronically a reminder with an invoice for the Annual Certification Fee. Every four years from the date of initial certification and each subsequent re-certification, auditors must provide: Evidence of 45 hours of Continual Professional Development (CPD) activities. CPD logs are available www.exemplarglobal.org. Guidance is provided in the Personnel Certification Guide. ACHMM Certified Members are not required to submit evidence of CPD. Confirmation that the Code of Conduct has been adhered to and any complaints against performance have been resolved. Audit experience in accordance with the following: Associate EMS Auditor: No audit experience required. EMS Auditor: At least 6 EMS audits that total at least 15 audit days. At least 2 of these audits must be complete EMS audits. Principal EMS Auditor: At least 6 EMS audits that total at least 15 audit days. At least 2 of these audits must be complete EMS audits. At least 2 of these audits must be performed either solo or as an audit team leader. Lead or Business Improvement EMS Auditor: At least 6 EMS audits that total at least 15 days. At least 2 of these audits must be complete audits. At least 2 of these audits must be performed as an audit team leader. There are additional re-certification requirements every third year from initial certification for Auditors who hold the CONAMA 306/02 scope. Refer to the scope section of this document for details. For all grades that require audit experience at re-certification, a maximum of 6 days off-site will be accepted in each re-certification period. All audit days must be in accordance with the conditions for audit experience as described in Personnel Certification Guide. Page 13