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EMS AUDITOR REGISTRATION

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NRBPT Criteria for EMS Auditor Registration


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CONTENTS Section Subject Page No.

I Introduction 2

II Definitions 3

III Registration Requirements 4

IV Application Process 8

V Registration Fees 10

VI Registration Card, Certificate and the Register 11

VII Appeals, Complaints, Disputes and Disciplinary Proceedings 12

VIII Criteria for Re-Registration 13

IX Code of Conduct for Auditors 15 ANNEXURES A Guidance for Filling Application 16

B Auditors Pre-requisites 17

C Fee Structure 18

D Application Form 19

E EMS Audit Log 23

F Consultancy Audit Verification Log 25

G Continuing Professional Development Log 26

H EMS Auditors skills and knowledge 27


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Section I:Introduction

“Auditing” is one of the vital elements of any management System. It gives an opportunity to the organization to evaluate its performance vis-à-vis the systems standard and identify the areas for further improvement through the existing systems. Educational qualifications and experience are necessary for any person to become a competent auditor. In addition to these a strict code of conduct helps in establishing respect for the certification. NRBPT is offering the scheme for Registration of EMS (ISO 14001:2004) Auditors. This scheme has been prepared, based on international guidelines so as to bring uniformity with the global systems requirements. Local requirements have also been kept into consideration, while formulating the scheme. In some countries, the process for verifying the qualifications and experience of auditors to specified criteria and granting recognition by the auditor registration body is called “Registration or Certification or Accreditation”. This document refers to such processes as Registration of Auditors. As part of the Registration Process, the applicant will be evaluated against requirements which reflect the key skills, knowledge and experience that define the competence of an auditor and which EMS auditor needs to acquire and demonstrate during Audits. NRBPT reserves all rights to amend its EMS auditor certification criteria, procedures, fees etc. as appropriate. Applicants are requested to refer to the updated criteria before applying for NRBPT Auditor Registration. Registration under this scheme is available, without restriction, to all applicants, who satisfy the registration requirements. Although all information provided by applicants will be kept confidential, NRBPT reserves the right to utilize the information provided by the applicants for legal, research, for sharing with other IPC members or for any other purpose as may be deemed fit by NRBPT. We value your suggestions and feedback. Please contact NRBPT Office for latest information.


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Section II : Définitions

Environmental Management System Part of an organization’s management system used to develop and implement its environmental policy and manage its environmental aspects (ISO 14001:2004) Environmental Management System Audit Criteria Policies, practices, procedures or requirements, such as those covered by ISO 14001 and, if applicable, any additional EMS requirements against which the auditor compares collected audit evidence about the organization’s environmental management System (ISO 14011:1996). Complete EMS Audit An audit covering the entire audit process as described in ISO 19011:2002 and including all aspects of ISO 14001:2004 or an equivalent, alternative EMS standard. Sponsor Persons of good character who, through acquaintance with the applicant on a professional basis, are able to attest to the applicant’s personal attributes and experience. Desk-Top Review Evaluation by the auditor of documentary evidence submitted by the applicant in support of the application. Verification Process of confirmation performed by or on behalf of the auditor, using a range of methods, to determine the accuracy and correctness of evidence submitted in support of an application. Performance Level of attainment, measured against predetermined target or standard.


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Section III : Registration Requirements The criteria described in this document are for:

a) Provisional EMS Auditor b) EMS Auditor

c) Senior EMS Auditor

The Provisional EMS Auditor grade is awarded to applicants who have fulfilled the requirements of personal attributes, skills & knowledge, education & work experience and formal training. The EMS Auditor grade is awarded to applicants, who have satisfied the criteria for provisional EMS auditor and who perform all or part of EMS audit, either alone or as a member of a team. The Senior EMS Auditor grade is awarded to applicants who have satisfied the criteria for EMS Auditor registration and in addition have demonstrated competence required to effectively manage an audit team and co-ordinate all aspects of a complete EMS audit. Desirable personal attributes for EMS Auditors are described in ISO 14012 Clause 7. Applicants should be able to demonstrate the personal attributes necessary for the effective and efficient performance of the audit. NRBPT reserves the right to accept or reject an application on the basis of the NRBPT Auditor Registration requirements. The following elements are taken into consideration for NRBPT Registration: A) Skills and Knowledge Applicants shall through education, training and/or work experience and auditing experience be able to demonstrate a satisfactory level of competence in all of the following areas: I) environmental science and technology

ii) technical and environmental aspects of facility operations iii) relevant requirements of environmental laws, regulations and related documents iv) environmental management systems and standards against which audits may be

performed v) audit procedures, processes and techniques vi) Communication skills – written and oral

Please refer to Annexure H. B) Education and Work Experience Applicants should have completed at least secondary education (twelve years schooling) or equivalent. Applicants are expected to have a relevant degree or diploma. Applicants who do not have a degree or diploma may be considered for registration, if they are able to demonstrate completion of work experience and other personal development activities that provide the communication, technical and analytical skills necessary to conduct and/or manage EMS audits.


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All applicants should have completed a minimum of four years of work experience in a technical, professional or managerial position involving the exercise of judgement and decision-making skills. In addition to the four years of work experience applicants shall also demonstrate a satisfactory level of work experience gained within an environmental context relevant to their level of education. The four years of work experience in a technical, professional or managerial position may have been concurrent with the work experience within an environmental context. The following table outlines the minimum requirements for work experience, within an environmental context, relevant to an applicant’s education.

Environmental or other relevant degree / diploma (ref note i)

Any other Degree, Diploma/ equivalent qualification

Completion of secondary education (10+2) or equivalent

Requirement for work experience within an environmental context (ref note ii)

3 years 5 years 7 years

Notes:

i) Examples of relevant degrees or diplomas include, but are not limited to, those in engineering, chemistry, biology and other equivalent technical disciplines, involving a minimum of two years full time study or equivalent part time qualification.

ii) Work experience within an environmental context means work that contributes to the auditor’s skills and knowledge.

iii) In all cases, documentary evidence of the educational level attained and work experience needs to be presented.

C) Formal training

Applicants should have successfully completed NRBPT approved EMS Auditor Training Course and passed the approved examination. Both the course and examination shall conform to the NRBPT criteria for the provision of EMS auditor training courses. D) Auditing Experience

a) to be eligible for certification, all auditing experience should have been gained in the three year period immediately prior to application.

b) Applicants for EMS auditor grade shall have:

i) performed in a satisfactory manner as a member of an audit team in at least five (5) complete EMS audits; total auditing experience shall not be less than twenty (20) days auditing on-site, and;

ii) In at least two (2) audits, he should have audited all or majority of elements

of EMS applicable to the organization or facility.

iii) In at least two (2) audits he should have identified major systemic deficiencies in EMS and demonstrated the ability to make judgment on the effectiveness of EMS

c) Applicants for Senior EMS auditor grade shall satisfy all the auditing and

verification requirements for NRBPT EMS auditor grade and in addition shall have; i) performed in a satisfactory manner as an audit team leader for a minimum of

five (5) complete audits with a total duration of at least fifteen (15) days on site;


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ii) at least three (3) audits should have been of two (2) days duration on-site; iii) the audits should have involved the applicant in making a judgment on the

effectiveness of a complete EMS, including whether the organization; • is achieving the policy objectives as stated in EMS; • adheres to its own policies; and • conforms to the objectives and requirements of the EMS standard

iv) audited entire operating facilities or business units (i.e. a facility that has its own, independent management that performs all the management functions associated with producing products or services or a range of products or services).

Applicants should provide documentary evidence of meeting the above requirements applicable to relevant grade of EMS Auditor

d) Eligible audits

i) Only independent audits will satisfy the auditing experience requirements.

The auditor and the auditor’s organization shall have management and operating structure independent from the audited entity.

ii) Eligible auditing shall: • involve the entire audit process from preparation to reporting, • involve at least six (6) hours on site for each audit day claimed and not

more than one (1) audit day being claimed in each twenty four (24) hour period,

• Be for the purposes of determining conformity and not be combined with advice for developing/improving the EMS,

• Include auditing experience at a minimum of three (3) different operating facilities or business units,

• Auditing on-site includes the opening and closing meetings and the conformance auditing phase, but excludes planning, document review and preparation of the audit report, even if these functions are performed on the premises of the auditee.

e) Audit logs

All applicants for certification and for re-certification for both the grades shall maintain and submit, with the application, audit logs as per the enclosed format (Annexure E), which shall include the following information in respect of each audit;

i) date(s) during which the audit was performed, ii) duration on-site, and the total audit duration which must be shown

separately, iii) EMS standard used, iv) Name and contact details of the auditee, v) Name and contact details of the organization employing the auditor vi) Number and names of auditors in the audit team vii) Applicants role in the audit viii) Elements of the EMS standard audited by the applicant

Audit logs shall be signed by the auditee and the organization on behalf of which audit was done.

f) Application Sponsor For initial registration each applicant shall be sponsored by either their current employer or by two alternative persons who have a business relationship with the applicant.


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g) Personal Declaration Each applicant seeking registration or re-registration is required to sign a declaration personally attesting that they have conformed to the NRBPT requirements, Code of conduct and that all complaints regarding their performance have been logged and dealt with in a manner to prevent recurrence.


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Section IV : APPLICATION PROCESS

The Completed application form with the requisite fee must be sent to the following address

NRBPT C/o Quality Council of India

Institution of Engineers Building (II Floor) Bahadur Shah Zafar Marg, New Delhi 110 002

The form must be filled in English language only. All applications must be supported by documentary evidence, e.g. legible photocopies of original certificates etc. Original documentary evidence should be made available only when asked for. An incomplete application or not adequately supported by required documents would result in delay in processing or rejection of application. The envelop containing the application must be superscribed with the registration applied for. Only the application fee (besides necessary documents) should be sent with the application. The registration fee needs to be sent only after the receipt of notice from NRBPT. For auditors registered with other Bodies, please refer to the “Registration of auditors certified/registered under other IPC schemes”. Processing of application The application is processed as follows:

a) Administrative check

The NRBPT staff ensures the completeness of application and enclosures

b) Technical evaluation

Evaluation of the application is performed by a minimum of two Reviewing Officers, who are on the Panel of NRBPT. The Reviewing Officers verify the applications against all aspects of registration criteria.

The applicants must read and fill the application form carefully, supporting it with the documents required. Unusual educational qualifications, former or current employers who are slow to provide verification information and auditees that are not helpful will inevitably delay the processing.

In case an application is determined to be incomplete, the applicant will be contacted and requested to provide additional information. The application is then held for up to 90 days. The application will be cancelled in case the applicant fails to furnish the desired information within the stipulated time.

c) Interview

An interview is discretionary and may be required in circumstances: i) Where the criteria for registration has not been fully met and when additional

information is required from the applicant in person.


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ii) to prevent rejection of applicants who are able to demonstrate the

appropriate personal attributes and skills required of a competent auditor but who do not comply with the academic qualifications requirement.

Interviews will be conducted at

a. Nearest metro-city closet to the applicant by NRBPT authorized representative, as per mutually agreed date and time or

b. Through tele-conferencing or video-conferencing as per mutual

convenience

d) Confidentiality

All information, correspondence and documentation submitted by applicants or by existing certified auditors in support of registration will be considered as strictly confidential.

e) Legal Status

The registration of Auditors by NRBPT and all activities associated with the administration of the Scheme is governed in accordance with Indian Law and is subject to the exclusive jurisdiction of the Delhi Courts.

f) Reconsideration

It may happen that during the processing of an application, it is observed that the applicant can get qualified to a higher grade on submitting additional information/evidence. In this case the applicant will be informed to exercise his/her option. In case of applicant opting for the higher grade, a reconsideration fee will have to be submitted as given in the fee schedule.


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SECTION V : REGISTRATION FEES The fee structure is determined annually and is applicable from January to December. The validity of the registration is also for the calendar year. Please refer to the current Fee Structure. a) Application Fee

All application should be accompanied by the application fee, without which the application will not be processed. This fee covers the administrative costs for processing the applications.

b) Annual Registration fee

Successful applicants will be intimated for the remittance of Registration Fee. The applicants will be required to send the fee as per the fee structure within the specified time frame. Applicants may pay either one or three years fee along with their initial application. A discount of 15% on total fee is allowed for three years registration. Applicants paying one-year fee initially shall be required to pay the annual registration fee annually for the next two years on receipt of notice from NRBPT.

The Certificate & Registration Card will be sent within 3-4 weeks after the receipt of the fee.

c) Interview Fee. In case the applicant is called for interview as per section IV c), he/she shall have to appear for the interview at own expense. There will be no other fee charged for the interview.

d) Re-grade Fee

This fee covers the administrative cost required for each regrade consideration. This fee is due with the re-grade submission and is non refundable. Where a regrade application is successful, the difference in the registration fee on pro-rata basis is to be paid for registration to the new grade for that current year.

e) Reconsideration Fee This fee covers the administrative costs for reconsideration of the application for a higher grade on submission of necessary documentation.

f) Issue of Duplicate Card and / or Certificate

Additional fee will be charged for issue of duplicate Card and/or Certificate All fees are to be paid vide a demand draft or a local cheques in favor of “Quality Council of India” payable at Delhi. All the fees are non refundable.


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Section VI- REGISTRATION CARD, CERTIFICATE AND REGISTER

All successful applicants will be issued the following:

i) a Certificate

ii) a Registration Card. The validity of the Certificate and the Card will be for the period for which the fee has been paid by the applicant (maximum three years) The card and the Certificate are the primary evidence of validity of Registration and should be presented on commencement of an audit and thereafter on demand as appropriate. The Register of Registered Auditors will be hosted on the QCI web site. Also, the details of newly registered auditors are published regularly in QCI Newsletter “Quality India”. In case the registered auditor does not want to publish his/her details, an application may be sent to NRBPT for the same.


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Section VII :APPEALS, COMPLAINTS & DISCIPLINARY PROCEEDINGS

Registered auditors and applicants for registration have the right to appeal against any decision taken by NRBPT. NRBPT operates a quality system that includes procedures for appeals, complaints handling and disciplinary proceedings. Similarly complaints Made

• by registered auditors against NRBPT • by registered auditors against a fellow registered auditor or • by an auditee or other body against a registered auditor.

will be considered according to the procedures of NRBPT.

NRBPT retains the right to undertake disciplinary proceedings against registered auditors who are found to have acted contrary to the Code of Conduct. Options available include suspension of registration and in instances of serious or sustained breach, withdrawal of registration.


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Section VIII: CRITERIA FOR RE-REGISTRATION

The registration of all auditors is valid for a maximum period of three years, after which it has to be re-registered. Following factors are considered while processing the application for re-registration: a) Audit Experience It is necessary that at least the following number of acceptable and verifiable audits must have been conducted within the 3-year certification period: EMS Auditor grade : 5 audits Senior EMS Auditor grade 5 audits with at least 3 of which must have been as a

leader of a team which included at least one another auditor.

Total number of audit days should be minimum 20 days onsite. Maximum gap between any two audits should not be more then 12 months b) Continuing Professional Development (CPD) It is necessary for all auditors to continually update professional knowledge, personal skills and competencies to ensure effective audits. All auditors are required to undertake at least 45 hours of CPD in the 3 years immediately prior to renewal of registration. Each year at least 10 hours should have been undertaken. All professional development activities shall involve new knowledge and skills for the auditor. It shall relate to quality principles and practices, or improving auditing methodologies and skills. The range of training and development activities that will be considered valid for CPD are : i) Formal

Includes interactive and participative events (including training courses and seminars, professional body meetings with formal lectures, active participation in standards development etc). Courses of similar type to that included in support of initial applications for registration will not be acceptable for CPD. For each hour : 1 hour CPD for every attended hour up to a maximum of 15 hours per event. ii) Informal

Include non interactive lectures, talks etc. informal professional body meetings, preparation and delivery of lectures / courses, forms of open and distance learning towards a new qualification, formally assessed in some rigorous manner. For each hour : ½ hour CPD for every attended hour up to a maximum of 15 hours per event. In selection of appropriate professional development activities, auditors need to consider their personal strengths and weaknesses and identify areas for personal improvement. This data will also be required for the renewal of their registration. It remains the responsibility of each registered auditor to provide a case for acceptance supported by sufficient, appropriate evidence.


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c) Annual Registration Fee All applications must be accompanied by the requisite annual registration fee for one or three years. FOR PROVISIONAL AUDITORS - Only part c) applies to applicants for renewal of Provisional Auditor registration. At the end of three years NRBPT will inform all auditors about renewal of their registration after which the application forms with the required details should be sent. The application must be supported by documents of audits performed and CPD.


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Section IX : CODE OF CONDUCT FOR AUDITORS

1. To act in a professional and unbiased manner. Be truthful, accurate and fair to the assigned work without any fear or favor.

2. To disclose to their employer any relationship with the client that may influence the

judgment before undertaking any assignment.

3. Not to disclose any confidential information like the findings of the audit etc. to any third party unless authorized to do so.

4. Not to misrepresent any information that may compromise the integrity of any audit or

the auditor certification process.

5. Not to accept any gift or any other favor from the organization audited, or their representative and not to allow the colleagues to do so.

6. Not to act in a manner detrimental to the reputation of NRBPT, the employer or the

organization being audited.

7. To co-operate fully in any formal enquiry procedure of NRBPT as per appeals procedure.


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Annexure A Guidance for filling Application

1. Please read NRBPT criteria for EMS Auditor Registration before filling in the application form.

All information given must be completed otherwise it might result in rejection or delay of application. The information given must be concise and to the point (if necessary use additional sheets.)

2. All correspondence and other documentation submitted in support of application must be in

English or accompanied by a registered translation to the original. 3. Please cross whatever is not applicable. 4. A legible photocopy of the qualifications, mark sheets, NRBPT registered/ recognized training

courses attended and membership certificates must be attached. 5. The mailing address of the auditors will be included in the Register of Auditors

a) The register will be placed on the QCI website, which will be updated regularly. b) In case an applicant does not want his/her address to be published in the

register, a separate application must be attached stating so along with this application

6. The Audit logs for each audit that the applicant wants to be considered must be enclosed with

this application. Photocopies of Audit logs may be used. Only one Audit Log is to be used for Documentation and Site Audit of a company.

7. Only initial application fee should be sent with application by a local cheque (Delhi) or

Demand draft in favor of “Quality Council of India” payable at New Delhi. The application fee is not refundable.

8. Grade Registration Fee should be sent only on receipt of intimation from NRBPT. 9. Any additional information like Audit Reports etc. may be asked for by NRBPT. 10. All correspondence should be addressed to :

NRBPT C/o Quality Council of India

2nd Floor, Institution of Engineers Building Bahadhur Shah Zafar Marg

New Delhi -110 002

NRBPT may cross verify the data in the application form and/or audit log sheets, by contacting the Auditee /Employer

(In case of doubt, please seek clarification from NRBPT office before submitting the application)


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Annexure B Auditor Pre- Requisites

Table 1

Grade Education (refer Table

2)

Total Experience (in years)

Experience in Quality

Systems (in years)

No. of Audits Remarks

Provisional Auditor EPA 6 2 - Interview if required

Auditor EA 6 2 5#

Senior Auditor ESA 6 2 5*

Beside the above all applicants are required to have successfully completed a NRBPT recognized Auditor / Lead Auditor Training Course. # 5 audits (minimum) as Auditor * additional 5 audits (minimum) as Senior Auditor For minimum number of audit days, please refer to NRBPT Criteria.

Table 2

Environmental or

other relevant degree / diploma (ref note i)

Any other Degree, Diploma/ equivalent qualification

Completion of secondary education (10+2) or equivalent

Requirement for work experience within an environmental context (ref note ii)

3 years 5 years 7 years

Notes :

i) Examples of relevant degrees or diplomas include, but are not limited to, those in engineering, chemistry, biology and other equivalent technical disciplines, involving a minimum of two years full time study or equivalent part time qualification.

ii) Work experience within an environmental context means work that contributes to the auditor’s skills and knowledge.

iii) In all cases, documentary evidence of the educational level attained and work experience.


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Annexure –C Fee Structure

I) Application Package

First time Rs. 200/- Re-registration No Charges

II) Application Fee

First time Rs. 2,000/- Re-registration Rs. 1,500/-

III) Annual Registration Fee (for application approved between) Provisional Auditor Rs. 2,400/- (Jan –Jun) Rs. 1,800/- (Jul – Dec) Auditor Rs. 4,800/- (Jan –Jun) Rs. 3,000/- (Jul – Dec) Lead Auditor Rs. 6,000/- (Jan –Jun) Rs. 3,600/- (Jul – Dec)

15% discount on the total fee is given to the Applicants applying for 3 years registration. IV) Re-grade Fee Rs. 1,500/- V) Reconsideration Fee Rs. 1,500/-

VI) Duplicate Card Fee Rs. 250/-

VII) Duplicate Certificate Fee Rs. 250/-

Applicable taxes, if any will be charged extra. Note :

a. The fees are non refundable b. Only Crossed local cheques or demand drafts are acceptable. All Cheques/demand

drafts should be in favor of “Quality Council of India”, Payable at New Delhi. c. For any clarification, Please contact NRBPT office.


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Annexure –D Application Form

(Please read the EMS criteria and instructions before filling the form)

1. Mr./Ms./Mrs. _____________________________________________________________________________

(First Name) (Middle Name) (Last Name)

2. Date of Birth __________________________________________________________ 3. Home address __________________________________________________________

_________________________________________________________ __________________________________________________________

____________________________ Pin Code _____________________ 4. Tel. No. ____________________________ 5. Fax No. ____________________ 6. Email address _________________________________________________________ 7. Office address _________________________________________________________

__________________________________________________________

__________________________________________________________

__________________________________________________________

____________________________ Pin Code _____________________ 8. Tel. No. ____________________________ 9. Fax No. ____________________ 10. Email address _______________________________________________________ 11. Mailing address 12. General Education (Senior Secondary) Period Board Qualification Educational Institution &

Address Subjects Grade

Home Office


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13. Technical Education (Graduation & above): Period Institution Name & Address Qualification Subjects Grade

14. Registered / recognized training courses attended:

Dates S.No. Title of the Course Conducted / Organized by (Name & Address) From To

Result

15. Membership of Professional Bodies:

Membership S.No. Professional Body (Name & Address) Grade No.

Valid Till


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16. Experience (Please write in chronological order with present experience listed first): A. General : Period Organization with address Department Designation Reporting to/ Duties/

Responsibilities

B. Related to Environmental System: Period Organization with address Department Designation Reporting to/ Duties/

Responsibilities


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17. The application must be signed by a proposer who has known the applicant for more than two years (The proposers should be registered auditors (preferably by NRBPT)/Senior officers/Department Heads) Proposer’s Name __________________________________________________________ Address : __________________________________________________________

__________________________________________________________

Tel. No. : ________________________________ Fax No. __________________ Registration No. : ________________________________ E-mail.___________________ Signature ________________________________ Date _____/_______/________ 18. Do you want your contact details to be published in the section relating register of auditors?

Yes /No 20. Declaration by applicant I have carefully read all NRBPT guidelines for registration of auditor. I confirm that the information in support of the application is correct to the best of my knowledge. I authorize NRBPT to make any enquiry as deemed fit as part of the reviewing process. NRBPT can also verify data filled in the audit log sheets. I understand that in case any information is found to be incorrect, it may result in rejection of my application and/or my disqualification. I authorize NRBPT to utilize the information provided by me for legal, research, training, sharing with other IPC members and/or for any other purpose as may be deemed fit by NRBPT. Once registered, I commit to notify NRBPT immediately of any changes in my status where information regarding such changes, if declared may affect the consideration for my registration. I also confirm to follow the NRBPT code of conduct for auditors. Signature ________________________________________ Date ______/_________/_______


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Annexure –E EMS Audit Log

1. Mr./Ms./Mrs. __________________________________________________________ 2. Audit Standard ______________________ 3. Audit Type ________________________ 4. Role in Audit 5. Names of Team

Members i) ________________________ ii)____________________________ iii)________________________ IV) ___________________________ 6. Doc. Audit From : ____________to _______________ No. of days _____________ 7. Site Audit From : ____________to _______________ No. of days _____________ AUDITEE DETAILS 8. Company Name __________________________________________________________ & address __________________________________________________________ ___________________________________________________________ ___________________________ ___Pin Code ____________________ 9. Contact Person _____________________________ Designation __________________ 10. Tel (Nos.) ______________________________11. Fax No. __________________ 12. Email address ______________________________13. No. of Employees __________ 14. Product /Service ___________________________________________________________ 15. Auditee Signature ________________________ Company Stamp _________________ EMPLOYER DETAILS (Audit conducted on behalf of) 16. Company Name ___________________________________________________________ & address ___________________________________________________________

___________________________________________________________ ___________________________ ___Pin Code _____________________ 17. Contact Person _____________________________ Designation ____________________ 18. Tel (Nos.) ______________________________19. Fax No. ____________________ 20. Email address ______________________________21. No. of Employees ____________ 22. Employer Signature _________________________Company Stamp ___________________

Auditor Lead Auditor


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Guidance for EMS Audit Log • Please refer to NRBPT criteria for EMS Auditor before filling this log sheet. • All information must be completed otherwise it may result in delay or rejection of application. • Photocopies of the audit log may be used. • Audit Type

1. FPA (First Party Audit) 2. SPA (Second Party Audit) 3. Audit Type CON (Consultancy Audit) 4. TPY (Third Party Audit) For Third Party Audit (TPA) further classification should be indicated i.e. a) Preliminary (Stage 1) b) Registration (Stage 2) c) Surveillance (SUA) d) Follow-up Audit (FUA) e) Re-assessment (REA)

• Employer details (audit conducted on behalf of) –should give information on whose behalf the audit was conducted. In case the auditee and the Employer details are the same then the audits will be treated as First Party Audit.

• Only independent, full system audits on established management systems carried out against ISO 14001 or equivalent standards, which are planned, conducted and reported in accordance with ISO 14010-14012 (Guidelines for Environmental Auditing) are acceptable for EMS auditor registration.

• Close out, follow-up and surveillance visits are not acceptable for initial registration. • First Party/ Internal Audits meeting the criteria may be acceptable for registration provided

evidence is submitted to substantiate that the auditor was independent of the system being audited and that the auditor has no part in developing the management system being audited.

• Consultancy audits which meet the criteria carried out by a consultant on behalf of a client may be acceptable for registration provided that the consultant has had no role in developing the management system being audited. Evidence to substantiate this claim that an independent and impartial audit has been conducted will need to be attached. Please also refer to Consultancy Audit Verification –Annex-H.


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Annexure –F

Consultancy Audit Verification Log This is to confirm that Mr. /Mrs. /Ms. ____________________________ acting as an Auditor /

Lead Auditor for the company __________________________________ carried out a

contractually specified audit against a recognised Environmental Management System Standard

on ______________ which met the following criteria :

a) a fully documented and established Quality Management System was being operated by the

auditee prior to the audit.

b) the consultant had no part in setting up the Environmental Management System being

audited.

c) the consultant was totally / independent of the auditee.

d) the scope of the audit covered all elements of the Environmental Management System.

Auditee Details : Name : ________________________________________________________________

Address : ________________________________________________________________

________________________________________________________________

________________________________________________________________

Designation ____________________________________ Signatures ___________________

Tel. No. _____________________ Fax No. _________________ Email _____________

Audit Details : Date : From __________________ to ________________ total man days _________________

Date of Registration of Company _________/___________/____________

Auiditee / Employer Signature _________________ Designation__________________________

Auditor’s Signature ________________________Date : __________/ ________/ __________

(PLEASE ATTACH THE REGISTRATION AUDIT SUMMARY REPORT)


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Annexure –G

CONTINUING PROFESSIONAL DEVELOPMENT (CPD) LOG

Sheet No. ______________

Name __________________________ Registration No. __________________

Date (DD/MM/YY)

Duration of CPD In hours

Type of Activity Formal / Informal

Details of Activity (Title & Duration)

Name / Designation / Contact Details incl. tel.

/fax nos.

Description of Activity and how it meets CPD requirements

Note Kindly refer Section VIII “ Criteria for Re-registration” to fill this CPD log

* To be signed and stamped by Tutor / Lecturer / Organiser / Manager to CPD Provider or alternatively proper evidence of completion of the activity to be attached.


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Annexure - H (with reference to section III )

EMS AUDITOR SKILLS & KNOWLEDGE

This annexure provides guidance on the competence (described in terms of awareness, knowledge and understanding), necessary for the effective conduct of EMS audits by a single auditor acting alone or as a member of an audit team. A. Environmental science and technology

Includes:

• Knowledge of monitoring techniques (e.g. emissions, effluent etc.) • Awareness of abatement technologies; • Awareness of life cycle thinking (e.g. ISO 14040); • Awareness of environmental media and interactions within ecosystems. • Awareness about energy and its impct on enevironment

B. Technical and environmental aspects of facility operations Includes:

• Knowledge of aspects and impacts of activities, products and services; • Knowledge and understanding of methods and techniques for identifying and for

evaluating significance; • Awareness of relevant operational processes in practice; • Awareness of primary or fundamental pollution control equipment for air, water,

noise and energy etc.; • Awareness of monitoring and measuring techniques for environmental

parameters; • Knowledge of the human interactions with operational processes that have the

potential to create environmental impacts. C. Relevant requirements of environmental laws, regulations and

Related documents. Includes:

• Awareness of international treaties and agreements;

• Knowledge of relevant national, regional and local requirements, including:

- laws and regulations - codes and guidelines

- standards ;

• Knowledge of relevant legal terminology.

D. Environmental management systems standards and standards against which audits may be conducted


BAT3001/0508/Rev03 28

Includes :

• Knowledge and understanding of generic EMS objectives and principles of policies, procedures, practices and controls.

• Knowledge and understanding of the elements of typical management system standards (e.g. ISO 14001) including;

- policy - planning - implementation and operations - checking - management review and continual improvement.

E. Audit procedures, processes and techniques

Includes;

Knowledge and understanding of EMS audit principles as defined in ISO 14010; Ability to plan, conduct and manage the audit process in accordance with ISO 14011, including

- initiating the audit; - preparing for the audit; - performing the audit; - reporting the audit results and audit completion.

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