EMS Auditor

JEMAI AE1100:CEAR Criteria for Certification of EMS Auditors

Qualification Requirements for Environmental Management System Auditors

CEAR Criteria for Certification of EMS Auditors

1. Scope of Application
1.1
The criteria provide the qualification requirements that the environmental management system auditors (hereinafter referred to as "the EMS auditors") shall satisfy in order to perform the environment management system audit (hereinafter referred to as the "audit" or "audits") effectively and uniformly.
1.2
The criteria are applied to evaluation and registration of the EMS auditors conducted by the Center of the Environmental Auditors Registration / Japan Environmental Management Association for Industry (hereinafter referred to as "CEAR").
1.3
The criteria conform to JIS Q 19011 (ISO19011) "Guideline for quality and/or environmental management system auditing".
2. Normative References
2.1
Referenced Documents
JIS Q 14001 (ISO 14001): "Environmental management systems - Requirements with guidance for use"
JIS Q 19011 (ISO 19011): "Guidelines for quality and/or environmental management systems auditing"
2.2
Related Document
JEMAI AE1200: " Registration Procedure for Environmental Management System Auditors"
JEMAI AEF1101: " Guide for application of EMS Auditors"
JEMAI AE1110: " Guide for Continual Professional Development (CPD)"The structure of certification and registration system of EMS auditors is shown in the following figure.
3. Grades of EMS Auditors

The EMS auditors shall be divided into the following three grades:
Provisional Auditor
Auditor
Lead Auditor

4. Definition of EMS Auditors

The EMS Auditors shall be defined as follows:

4.1
Provisional Auditors
1)
They are evaluated by CEAR that they satisfy the qualification requirements set forth in 5.1 or 8.1, and are registered by CEAR.
2)
Provisional Auditors may conduct audits under the direction and guidance of Lead Auditor.
4.2
Auditors
1)
Auditors are evaluated by CEAR that they satisfy the qualification requirements set forth in 5.2 or 8.2 and have the competence to conduct audits as a member of team, and are registered by CEAR.
2)
Auditors may play a role of the team leader in the following conditions:

(1) The direction and guidance shall be provided by Lead Auditor;
(2) The audited organization (hereinafter referred to as “auditee”) shall agree this.
4.3
Lead Auditors
1)
They are evaluated by CEAR that they satisfy the qualification requirements set forth in the section 5.3 or 8.3 and have the competence to manage an audit team as a team leader, and are registered by CEAR.
5. Qualification criteria for EMS Auditors
5.1
Provisional Auditors
Provisional Auditor shall satisfy all of the following requirements.

1)
Applicants shall have an academic career of graduating from a high school specified in the School Education Law, and the following persons are regarded to have an academic career equivalent to the graduation from the above-mentioned high school:
a.
applicant graduated from a higher professional school, or a higher special school in three years system designated by the Minister of Education, Culture, Sports, Science and Technology (MEXT), or passed the examination equivalent to graduation from high school in conformity with MEXT law, or completed an overseas secondary education;
b.
applicant completed institution of learning in the entity equivalent to the high school.
2)
Applicants shall have work experience for more than five years in the technical, managerial, or expert positions. The work experience may include judging, solving problems, and communicating with other managers,experts,colleagues, customers and/or other stakeholders. However, the term of the work experience of those who have an educational career of graduating from a university, a junior college or a higher professional school may be more than four years.
3)
The above-mentioned experience shall include at least two years of work experience which relates to the knowledge and skills of the environmental management fields described in 7.3.4 of JIS Q 19011 (ISO 19011), and is also within ten years before the date of application.
4)
Applicants shall be recommended by a manager in charge of the organization, who has professional relationship with them for more than one year, as a person who possesses personal attributes described in 7.2 of JIS 19011 (ISO19011) evaluating conformity of an organization to JIS Q 14001( ISO 14001).
5)
Applicants shall have completed a formal training course conducted by an EMS auditor training body approved by CEAR (hereinafter referred as “formal training course”) which is effective for five years. However, pass of one written examination is permitted as the same as completion of formal training course even over five years.
6)
Applicants shall pass the examination enforced by CEAR within five years before application.
7)
Applicants obey EMS auditors ethical code of conduct.
5.2
Auditors
Auditor shall satisfy all of the following requirements in addition to the requirements for the provisional auditor in the previous section 5.1.
1)
Applicants shall perform more than four complete audits for total at least 20 days of audit experience evaluating conformity to JIS Q 14001 (ISO14001) under the direction and guidance of CEAR Lead Auditors. The audits shall be completed within three years before the date of application. The audits shall be after passing the examination described in 5.1 6).
2)
Applicants shall be recommended by CEAR Lead Auditors providing with the direction and guidance in the audits mentioned above, as a team member conducting the audits described in JIS Q 19011 (ISO 19011) with the following knowledge and skills:
a.
Personal attribute described in 7.2;
b.
Knowledge and skills specified in 7.3.1 of JIS Q 19011 (ISO 19011);
Principles, procedures and techniques

- Audit Principles, procedures and techniques

- Management system and reference documents

- Organizational situations

- Applicable laws, regulations and other requirements

c.
Knowledge and skills specified in 7.3.4 of JIS Q 19011 (ISO 19011)).

- Environmental management methods and techniques

- Environmental science and technology

- Technical and environmental aspects of operations

3)
Applicants shall be proved that audits are performed based on a principle of audit described in the clause 4 of JIS Q 19011(ISO19011).
4)
Applicants shall submit report of appeals and complaints if received from any auditees, but the content does not correspond to 7.5.
5.3
Lead Auditors
Lead Auditor shall satisfy the requirements specified in 5.2, and following all requirements:
1)
Applicants shall perform three complete audits for total at least 15 days of the audit experience,acting a role of the team leader under the direction and guidance of the Lead Auditor. The audits shall be completed within the least two years before the date of application;
2)
They shall be recommended by CEAR Lead Auditors providing with the direction and guidance in the audits mentioned above, as the team leader who has ability to manage the audits with following knowledge and skills;Knowledge and skills specified in 7.3.2 of JIS Q 19011 (ISO 19011) -

- to plan the audit and make effective use of resources during the audit,

- to represent the audit team in communications with the audit client and auditee,

- to organize and direct audit team members,

- to provide direction and guidance to audit training member,

- to lead the audit team to reach the audit conclusions,

- to prevent and resolve conflicts, and

- to prepare and complete the audit report.

3)
Applicants shall be proved that audits were performed based on a principle of audit described in the clause 4 of JIS Q 19011(ISO19011);
4)
Applicants shall submit report of appeals and complaints if received from any auditees, but the content does not correspond to 7.5.
6. Certification Requirements in audit experience for registration
6.1
Fundamental requirements
Audit experience in the section 5.2 3) and 5.3 1) shall satisfy the following requirements.
1)
A kind of audits shall be specified in following three categories:

- First party audits: As they are sometimes called internal audits, audits are conducted by, or on behalf of the organization itself for management reviews and other internal purposes;

- Second party audits: Audits are conducted by the party interested in the organization (such as customers) or by other persons on their behalf;

- The third party audits: Audits are conducted by external, independent auditing organizations, such as those providing registration or certification of conformity to the requirements of JIS Q 14001 (ISO 14001).

2)
Audits required for the certification shall be the experience that auditors participate in a complete conformity audit to JIS Q 14001 (ISO14001) in accordance with the procedures stipulated by JIS Q 19011 (ISO19011), acting a role of team leader or a member under the direction and guidance of CEAR Lead Auditor.
3)
A site audit (from an opening meeting to a closing meeting for the overall system) where auditor’s participation is less than one day (less than six hours), is not acceptable. Also, a follow-up audit, a visit prior to the audit, and participation as an observer or a technical expert are also not acceptable.
4)
A term of auditing is from “Conducting document review” in 6.3 of JIS Q 19011 (ISO19011) to “Preparing the audit report” in 6.6.1.
6.2
Audit experience of the first and second party audits
1)
Acceptable audit experience
a.
It shall be an overall conformance audit of the established environmental management system (after the certification and registration or having the certified EMS manuals). The certified EMS manuals may include a set of the system documents required in JIS Q 14001 (ISO14001).
b.
A team leader shall manage the audit team of the overall system securing impartiality and independence, and issue a report of the audit results for conformance to the overall system and all elements in JIS Q 14001 (ISO14001).
c.
Audits of the same system conducted within a year are considered as a single audit.
2)
Application for certification of Auditor
Audit experience required in the criteria shall include at least one audit which is either the lump audit of the overall system or the separate audits of at least two sections including the management section, and participation in the audit shall be from an opening meeting to a closing meeting for the overall system. It is acceptable that the rest of the experience is the audits of more than three sections without the management section.
3)
Application for certification of Lead Auditor
Audit experience required in the criteria shall include at least two audits which are either lump audits of the overall systems or separate audits of two sections including the management section, and participation in the audit shall be from an opening meeting to a closing meeting for the overall system. It is acceptable that the rest of the experience is the audits of more than three sections without the management section.
4)
Consultation auditt
An audit (including a trial audit) in a consulting work is counted as an audit required in the criteria, provided that it satisfies following conditions:
a.
The document that it is a conformance audit to JIS Q 14001 (ISO14001) by request shall be exchanged with a contractor;
b.
It shall be confirmed by audit records that the impartial and independent audit has been conducted.
5)
Individual audit of multi-site
In principle an established EMS audit is the audit registered as a unit (including scheduled one). However, if the scale of the system registered is so large that an individual site establishes the complete EMS system based on JIS Q 14001 (ISO14001) which is able to be registered independently, audit experience of the individual site will be considered as the required audit. Such the individual site is a plant and an office, and shall have own manual for the site.
6.3
The third party audit experience
1)
Types of audits required for certification
a.
Initial certification audit for registration:
an audit through stage 1 and 2 (JIS Q 0066 stipulates that the audit shall be divided into the two stages as the audit requirements for the certification and registration.)
b.
Initial certification audit in stage 2
c.
Re-certification audit
d.
Extended audit: a site audit of which a term is more than two days. However the site audit only for an extended part is not acceptable. And an extended audit that puts surveillance or recertification audit is dealt with as surveillance or recertification audit each.
e.
Surveillance: three surveillances conducted once a year can count in one audit required for certification and five surveillances performed twice a year can count in one audit. Any surveillances unsatisfied a number of above-specified times is not acceptable.
2)
Audit experience required for Auditor grade
Applicants for the Auditor shall have at least initial certification audit which they participated in stage 2. Rest of audits may include audits of recertification, expansion and surveillance.
3)
Audit experience required for Lead Auditor grade
Applicants for lead auditor shall have at least one initial certification audit of which they participated in through stage 1 and 2. Lead Auditor shall perform as a team leader. Rest of audits may include audits of stage 2, recertification, expansion and surveillance
6.4
Combined experience with first, second and third parties audits
Applied total experience of audits shall be equivalent to 6.2 and 6.3.
7. Renewal, Recertification, Withdrawal and Invalidation
7.1
Renewal and Recertification of EMS auditors
1)
EMS Auditors shall follow the necessary procedures for renewal of the registration every year in accordance with 7.2.
2)
Auditors and Lead Auditors shall apply for the recertification and registration every three years in accordance with 7.3.
7.2
Renewal of registration
7.2.1
Provisional Auditor
Provisional Auditors shall satisfy the following requirements, and submit the application form to CEAR.
1)
CPD report written down 5 CPD
2)
If received complaints and appeals from auditees or audit clients, the records of the contents shall be submitted and shall not correspond to 7.5
7.2.2
Auditor and Lead Auditor
Auditor and Lead Auditor shall satisfy 2.2.1 2) and the following requirements.
1)
CPD report written down 15 CPD.
2)
An audit record that was conduced for one day or more during one year before the expiration date of ID card. Lead Auditor shall need an audit record as a team leader. (One surveillance is acceptable in this case.)
3)
It is possible that Auditor or Lead Auditor, who does not satisfy the prescribed requirements, changes down to Provisional Auditor or Auditor according to the experience if not satisfy the prescribed audit requirements.
7.3
Recertification
7.3.1
Provisional Auditor
Provisional Auditors who apply for recertification and registration shall satisfy 7.2.1 2) and the following requirements, and apply the recertification form to CEAR every three years.
1)
CPD report written down 5 CPD within one year before the expiration date of ID card
7.3.2
Auditor and Lead Auditor
Auditors and Lead Auditors who apply for recertification and registration shall satisfy 7.2.1 2) and the following requirements, and apply the recertification form to CEAR every three years.
1)
CPD report written down 15 CPD within one year before the expiration date of ID card.
2)
Audit experience shall include at least three audits. In case of the Lead Auditors, it shall be three audits they conducted as a team leader.
a.
Audit performances shall satisfy the requirements in 6.
At least one audit shall be stage 2 audit or recertification audit in case of third party audit.
b.
Audit conducted by one person is acceptable only for Lead Auditor
c.
At least one audit conducted within a year before the expiration date of ID card shall be included. (one surveillance in this audit is acceptable.)
3)
Auditors shall submit recommendations signed by CEAR Lead Auditors conducting the audits specified in the previous section. The recommendation is that the auditor has competence to perform audit continually specified in 5.2 2). Lead Auditor shall submit recommendations signed by audit client, auditee or manager in charge of certification organization and the recommendation is that the auditor has competence to perform audit continually specified in 5.3 2).
4)
The Auditors shall submit the auditing log sheet guaranteed that the audit was conducted based on the principle issued in 4 of JIS Q 19011 (ISO19011).
5)
The Auditors shall also submit a copy of the participation evidence verifying that they completed the CEAR recertification training course within a year before the expiration date of ID card.
6)
It is possible that Auditor or Lead Auditor, who does not satisfy the prescribed audit requirements, changes down to Provisional Auditor or Auditor according to the experience if not satisfy the prescribed audit requirements.
7.4
Invalidation
Unless Provisional Auditors take application procedure more than three months, and also Auditor and Lead Auditor take application procedure more than six months after the expiration date of ID card, they are over validity.
Three months for Provisional Auditor and six months for Auditor and Lead Auditor are period of grace.
7.5
Suspension and withdrawal of certificates
CEAR is able to suspend or withdraw the certificates from EMS auditors who lack appropriate manner, or does not behave themselves in accordance with the responsibility and morality in conducting the audit. CEAR is also able to suspend or withdraw the registration if it is proved that EMS auditors obtain their certification by dishonest means.
7.6
Re-registration
7.6.1
Provisional Auditorr
1)
CEAR determines the acceptance by receiving application of re-registration within five years after the grace period for sufficient reasons. Applicants shall satisfy recertification requirements for Provisional Auditor in 7.3.1 and submit a report of 5 CPD for a year before application.
7.6.2
Auditor and Lead Auditor
1)
CEAR determines the acceptance by receiving application of re-registration of Provisional Auditor within five years after the grace period for sufficient reasons. Applicants shall satisfy recertification requirements for Provisional Auditor in 7.3.1 and submit a report of 5 CPD for a year before application.
2)
If Lead Auditor changes down to Provisional Auditor, he/she can return to Lead Auditor directly by satisfying 5.3 with recommendation of audit client, auditee or nmanager in charge of certification organization.
7.7
Alteration of registered contents
If Provisional Auditors, Auditors, and Lead Auditors require alteration of the registered contents, they shall apply it to CEAR by themselves.
8. Requirements of QMS auditors for EMS auditors

Quality management system auditors (hereinafter called the QMS auditors) registered in the quality management system auditors registration body accredited by JAB shall satisfy the following requirements for EMS auditors.

8.1
Provisional auditors
QMS provisional auditors, QMS auditors and QMS lead auditors shall satisfy all of the following requirements:
1)
Applicants shall satisfy 5.1. 1), 2), 3), 4) & 7).
2)
Applicants shall complete a formal course or specified training course for QMS auditors conducted by the EMS auditor training course approved by CEAR within five years before application. Applicant over five years before application can take the examination once.
3)
Applicants shall pass the examination by CEAR during the same training course.
4)
Applicants shall submit the evidence that registration as the QMS provisional auditor is valid.
8.2
Auditors
QMS auditors and QMS lead auditors shall satisfy all of the following requirements adding 8.1.
1)
Applicants shall perform more than three complete audits for total at least 15 days of the audit experience evaluating conformity to JIS Q 14001 (ISO14001) under the direction and guidance of the Lead Auditors, satisfying the section 6.The audits shall be completed within two years before the date of application. The audit experience shall be after the completion of the previous training course and passing the examination of 8.1 3).
2)
Applicants shall satisfy 5.2.2), 3) and 4).
8.3
Lead Auditors
QMS lead auditors shall satisfy all of the following requirements:
1)
Applicants perform more than three complete audits as a team leader for total at least 15 days of the audit experience evaluating conformity to JIS Q 14001 (ISO14001) under the direction and guidance of the Lead Auditors. The audits shall be completed within two years before the date of application. The audit experience shall be after the completion of the previous training course and passing the examination of 8.1 3).
2)
Applicants shall satisfy 5.3 2), 3) and 4).

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