© 2013 Roundtable on Sustainable Biomaterials. All rights reserved.
Type of document: RSB International Standard
Status: Approved for certification
Date: 1 March 2011
Version: 2.1 General requirements for certification bodies
The application of ISO/IEC Guide 65: 1996 (E)
RSB reference code: RSB-STD-70-001
Published by the Roundtable on Sustainable Biomaterials (RSB). This publication or any part thereof may
only be reproduced with the written permission of RSB, the publisher. Any reproduction in full or in part of
this publication must mention the title and reference code and credit the above-mentioned publisher as the
copyright owner.
Contact details:
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email: info@rsb.org
RSB-STD-70-001-vers.2.1-General requirements for certification bodies
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© 2013 Roundtable on Sustainable Biomaterials. All rights reserved.
Introduction
The standard defines and addresses the basic elements of a certification system compliant with
RSB standards and the RSB certification systems. The structure of this standard follows the
structure of the ISO/IEC Guide 65: 1996 (E), and gives additional guidance specific to the
biomass/biofuels sector to the implementation of the ISO/IEC Guide.
In order to comply with general requirements for bodies performing conformity assessment to
RSB standards, certification bodies shall demonstrate full compliance with the ISO/IEC Guide
65: 1996 (E) and the standard detailed below.
ISO/IEC Guide 65: 1996 (E) General requirements for bodies operating product certification
systems is widely recognized as the most appropriate international standard for certification
bodies operating product certification systems. The term 'product' in this context includes
processes and services, and therefore covers the certification of a wide range of products and
services, including the production, transformation and trade of biomass/biofuels against
specified standards and other normative documents.
The introduction to ISO/IEC Guide 65: 1996 (E) explains that its requirements are written
"above all, to be considered as general criteria for organizations operating product certification
systems; they may have to be amplified when specific industrial or other sectors make use of
them..." (ISO/IEC Guide 65: 1996 (E)). In the case of certification of biomass/biofuels RSB
provides such amplification in order to address the technical challenges of assessing large
areas of land which may provide the input materials for the production of biomass/biofuels. In
the case of chain of custody certification for the purpose of material tracking, labeling and of
making claims about the origin and characteristics of raw materials used, the credibility of the
scheme and consumer confidence are paramount. RSB has therefore developed additional
requirements related to chain of custody, communications and claims, stakeholder consultation
and reporting that are essential to meet these expectations.
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© 2013 Roundtable on Sustainable Biomaterials. All rights reserved.
Table of contents
A.
Intent of this standard
B.
Scope of this standard
C.
Status and effective date
D.
Note on use of this standard
E.
References
F.
Terms and definitions
G.
Requirements
1. Conformity with ISO/IEC Guide 65: 1996 (E)
2. General provisions
3. Certification body organization
3.1. Independence and conflict of interest
3.2. Certification decision making
3.3. Risk assessment
3.4. Consultancy and training
3.5. Public Information
4. Certification body operations
4.1. Documented systems
4.2. Records
5. General requirements for subcontracting
6. Certification body quality system
7. Conditions and procedures for evaluating, granting, maintaining,
suspending and withdrawing certification
7.1. Duration of RSB certificates
7.2. Issuing and maintaining RSB certificates to participating operators
7.3. Evaluating participating operators
8. Transferring participating operators
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A. Intent of this standard
The intent of this standard is to ensure that certification bodies operating schemes for the
certification of biomass/biofuels against the RSB standards under the RSB certification
systems operate in a consistent, comprehensive, transparent, reliable and credible manner
thereby facilitating the credibility and legitimacy of the RSB and so furthering international
trade in biomass/biofuels and promoting social and environmental compliance.
B. Scope of this standard
RSB-STD-70-001 General requirements for certification bodies specifies the general
requirements for all certification bodies operating certification systems accredited under the
RSB certification systems.
This standard is applied at the level of the accredited entity that represents the certification
body.
C. Status and effective date
This version 2.0 of this standard on General requirements for certification bodies shall be
effective on 1 March 2011.
D. Note on use of this standard
RSB-STD-70-001 General requirements for certification bodies is for use by all certification
bodies operating schemes for the certification of participating operators against the RSB
standards, which are accredited under the RSB certification systems.
All aspects of this standard are considered to be normative, including the intent, scope,
standard effective date, note on the use of this standard, references, terms and definitions,
and requirements, unless otherwise stated. Users implementing this standard shall ensure
that the intent of this standard is met. To ensure that the intent of this standard is met,
users shall implement all of the requirements specified in this standard, and all additional
measures necessary to achieve the intent of this standard.
In the absence of RSB requirements or guidance users shall follow IAF guidance on the
interpretation of ISO/IEC Guide 65: 1996 (E), and implement the applicable requirements of
the ISO 19011: 2002(E) Guidelines for quality and/or environmental management systems
auditing, and the ISO 17021: 2006 (E) Conformity assessment – requirements for bodies
providing certification of management systems.
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E. References
RSB-STD-01-001 RSB Principles & Criteria
RSB-DOC-10-001 RSB Glossary of terms
RSB-DOC-10-002 RSB List of Documents
RSB-STD-11-001 RSB Standard for EU market access
RSB-STD-15-001 RSB Standard for adaptation to crop specific conditions
RSB-STD-15-002 RSB Standard for adaptation to geographic conditions
RSB-STD-15-003 RSB Standard for adaptation to biomass production standards
RSB-STD-20-001 RSB Generic Chain of Custody Standard
RSB-STD-20-002 CoC model “identity of product preserved”
RSB-STD-20-003 CoC model “segregation of product”
RSB-STD-20-004 CoC model “mass balance of product”
RSB-STD-20-005 CoC model “content ratio accounting of product”
RSB-STD-30-001 RSB Standard for participating operators
RSB-STD-50-001 RSB Standard on communications and claims
RSB-STD-60-001 RSB Standard for risk management
RSB-STD-65-001 RSB Standard for dispute resolution
RSB-STD-70-001 RSB General requirements for certification bodies
RSB-STD-70-002 RSB Requirements for auditor qualifications
RSB-STD-70-003 RSB Requirements for evaluation of and reporting on participating
operators
RSB-STD-70-004 RSB Requirements for certification bodies’ risk management
RSB-STD-75-001 RSB General requirements for accreditation bodies
ISO/IEC Guide 62: ISO/IEC Guide 62:1996 - General requirements for bodies operating
assessment and certification/registration of quality systems
ISO/IEC Guide 65: 1996 (EN 45011: 1998) General requirements for bodies operating
product certification systems
ISO/IEC Guide 66: ISO/IEC Guide 66:1999 - General requirements for bodies operating
assessment and certification/registration of environmental management systems (EMS)
ISO 14065:2007 Greenhouse gases -- Requirements for greenhouse gas validation and
verification bodies for use in accreditation or other forms of recognition
ISO 14064-3 Greenhouse gases -- Part 3: Specification with guidance for the validation and
verification of greenhouse gas assertions
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ISO 17000: 2004 Conformity assessment – Vocabulary and general principles
ISO 17021: 2006 Conformity assessment – General requirements for bodies providing
audit and certification of management systems
ISO 19011: 2002 Guidelines for quality and/or environmental management systems
auditing
ISO 19011: 2002 Guidelines for quality and/or environmental management systems
auditing
ISAE 3000: INTERNATIONAL STANDARD ON ASSURANCE ENGAGEMENTS 3000.
Assurance Engagements other than Audits or Reviews of historical financial Information. 1.
January 2005. International Federation of Accountants (IFAC)
F. Terms and definitions
For the purposes of this International Standard, the terms and definitions given in RSBDOC-10-002 RSB Glossary of Terms shall apply. Note: As of February 1, 2014, the SOE is
the RSB Secretariat.
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G. Requirements
1. Conformity with ISO/IEC Guide 65: 1996 (E)
1. 1. The certification body shall comply with the generic requirements of ISO/IEC Guide
621, ISO/IEC Guide 652, ISO/IEC Guide 663, ISO 190114, ISO 14065:20075, ISO
14064-36, ISAE 30007 and with the additional requirements specified in this standard
according to their scope of RSB accreditation.
1. 1. 1. The certification body shall implement all requirements of the RSB standards and
the RSB certification systems.
1. 1. 2. The certification body shall demonstrate to the RSB recognized accreditation
body that all requirements and the intent of this standard are met.
1. 2. The certification body shall document and implement its policies and procedures in
conformity with the applicable requirements of this standard, consistent with their
scope of RSB accreditation.
1. 3. The certification body shall hold and maintain accreditation to ISO/IEC Guide 62,
ISO/IEC Guide 65, ISO/IEC Guide 66, ISO 14065 and ISO 14064-3 or equivalent by
an independent accreditation body which is either a member of the ISEAL8 or the
IAF9.
The certification body shall without delay inform the RSB recognized accreditation
body and the RSB SOE if accreditation to ISO/IEC Guide 62 and/or ISO/IEC Guide
65 and/or ISO/IEC Guide 66 and/or ISO 14065 and/or ISO 14064-3 is suspended,
withdrawn or terminated by any independent accreditation body.
1. 4. In the event of any conflict between requirements specified in ISO/IEC Guide 62,
ISO/IEC Guide 65, and/or ISO/IEC Guide 66 and the RSB standards, the RSB
standards shall prevail.
1 ISO/IEC Guide 62: ISO/IEC Guide 62:1996 - General requirements for bodies operating assessment and certification/registration of
quality systems.
2 ISO/IEC Guide 65: ISO/IEC Guide 65: 1996 (EN 45011: 1998) (General requirements for bodies operating product certification
systems).
3 ISO/IEC Guide 66: ISO/IEC Guide 66:1999 - General requirements for bodies operating assessment and certification/registration of
environmental management systems (EMS).
4 ISO 19011: 2002 Guidelines for quality and/or environmental management systems auditing.
5 ISO 14065:2007 Greenhouse gases -- Requirements for greenhouse gas validation and verification bodies for use in accreditation
or other forms of recognition.
6 ISO 14064-3 Greenhouse gases -- Part 3: Specification with guidance for the validation and verification of greenhouse gas
assertions. 7 ISAE 3000: INTERNATIONAL STANDARD ON ASSURANCE ENGAGEMENTS 3000. Assurance Engagements other than Audits or
Reviews of historical financial Information. 1. January 2005. International Federation of Accountants (IFAC). 8 ISEAL: International Social & Environmental Accreditation and Labeling Alliance, London, United Kingdom.
9 IAF: International Accreditation Forum, Inc., Cherrybrook, NSW, Australia.
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© 2013 Roundtable on Sustainable Biomaterials. All rights reserved.
2. General provisions
2. 1. Notwithstanding the requirements of ISO/IEC Guide 65 Clause 4, the certification
body shall not be obliged to enter into or maintain any commercial or other
relationship with any entity or issue or maintain a certificate previously issued to any
entity whose activities conflict with the obligations of the certification body as
specified in its accreditation contract with the RSB recognized accreditation body, or
which, in the sole opinion of the certification body, reflect badly on the good name of
the certification body and/or on the good name of the RSB. The certification body
shall include a specific and legally binding clause to this effect in its contracts with its
clients in relation to any services related to the RSB or the RSB standards or the
RSB certification systems.
2. 2. The certification body shall evaluate the systems and products of a participating
operator against the requirements specified in RSB standards for conformity with the
RSB standards.
2. 3. The certification body shall formulate and publish explanation on the implementation
of the RSB standards as is required.
2. 4. The certification body shall request interpretation by the RSB of any and all aspects
related to the implementation of the RSB standards and RSB certification systems
which are not clear and/or raise questions.
If interpretation is required as to the implementation of the RSB standards and/or the
indicators and checklists thereto it shall be formulated by the RSB and published by
the RSB recognized certification body. All interpretation of RSB standards is at the
sole discretion of the RSB.
2. 5. The certification body shall identify all persons involved in the certification to RSB
standards and under the RSB certification systems.
2. 6. The certification body shall appoint a management representative who has overall
responsibility on behalf of the certification body for correct and comprehensive
implementation of any and all applicable requirements of the RSB standards and the
RSB certification systems.
2. 7. The certification body shall enter into an agreement with the RSB SOE on the use of
the RSB trademarks, which shall include at minimum:
2. 7. 1.
Confirmation by the certification body of its support for the RSB, the RSB
certification systems and the RSB standards.
2. 7. 2.
Confirmation by the certification body of its unconditional agreement to
comprehensively complying with and implementing any and all applicable
requirements of the RSB standards and RSB certification systems as specified
in its accreditation scope.
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2. 7. 3.
Confirmation by the certification body of its unconditional commitment to taking
responsibility and to being accountable for implementation of and compliance
with the RSB standards as specified in the certification scope of its operation.
2. 7. 4.
Agreement by the certification body not to undertake or engage in any activity
which could damage the good name of the RSB.
2. 7. 5.
Agreement by the certification body to using the RSB trademarks only in
compliance with all applicable RSB standards.
2. 7. 6.
Agreement by the certification body to addressing all non-compliances and/or
major non-compliances identified during evaluation without delay and inform
the RSB recognized accreditation body and the RSB SOE about all actions
taken to address the non-compliances and/or major non-compliance, and that
the non-compliances and/or major non-compliance issued during the
evaluation were corrected, rectified or otherwise brought into compliance with
the RSB standards and the RSB certification systems.
2. 7. 7.
Agreement by the certification body to informing the RSB recognized
accreditation body engaged and the RSB SOE without delay about any and all
aspects of its operation which may compromise the implementation of and
compliance with the RSB standards.
2. 7. 8.
Agreement by the certification body to informing the RSB recognized
accreditation body engaged and the RSB SOE without delay about any and all
misuse of the RSB trademarks, the RSB standards, and the RSB certification
systems that the certification body gains knowledge of. Misuse of the RSB
trademarks, the RSB standards, and the RSB certification systems, includes
any non-compliance with the RSB standards, provisions and/or systems,
whether already incurred or imminent or likely to occur. This requirement refers
to any and all operations whether or not engaged with the certification body,
and/or whether or not engaged with the RSB SOE and/or whether or not
engaged with any other constituent of the RSB or the RSB certification
systems.
2. 7. 9.
Agreement by the certification body to providing unconditional and unrestricted
access to any and all subsidiaries, branch offices, affiliated entities, external
third parties contracted or otherwise engaged, operational structures, and
corresponding management systems, information and documentations related
to implementation of the RSB standards and RSB certification systems.
2. 7. 10. Agreement by the certification body to provide and keep updated a
documented profile of any and all activities and operation(s) under its control
which could potentially affect or are affecting the implementation of the RSB
standards and the RSB certification systems.
The documented profile of the certification body shall include at minimum the
following information:
1. description of the certification body’s legal status;
2. description of the certification body’s governing bodies;
3. names, details, descriptions, organizational charts and any other relevant
information documenting subsidiaries, branch offices, affiliated entities,
external third parties contracted or otherwise engaged, operational
structures, authorities, functions, roles & responsibilities, and if applicable,
management systems including policies, procedures, as well as controlling
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systems and risk management systems;
4. description of experience with implementation of social, environmental,
economic, and management standards and certification systems,
including a list of:
i.
standards and certification systems currently implemented and
the status thereof;
ii.
the accreditation bodies engaged with the certification body;
iii.
consultants, sub-contractors and other third parties engaged to
advise on implementation of RSB standards and RSB
certification systems;
iv.
accreditations withdrawn, suspended and/or terminated.
3. Certification body organization
3. 1. Independence and conflict of interest
3. 1. 1. The certification body shall ensure that all personnel contributing to the
certification process including decision making, disclose in writing to the
certification body all interests which could possibly be perceived as, constitute
and/or result in a conflicts of interest as soon as they become evident.
3. 1. 2. The certification body shall establish documented procedures for determining
timely and appropriate responses to such declarations of interests as they arise,
to ensure that the declared interests neither influence, nor are perceived to
influence, the certification process and/or certification decision making.
3. 1. 3. The certification body shall record any and all real, perceived and potential
conflicts of interest related to certification to RSB standards and under the RSB
certification systems, and the actions taken to address, mitigate, manage,
neutralize and/or avoid them.
3. 2. Certification decision-making
3. 2. 1. The certification body shall define the certification decision entity.
The certification decision entity is the entity (e.g. person(s), group or committee,
etc.) that is responsible for making certification decisions.
3. 2. 2. The certification decision entity shall:
3. 2. 2. 1. have and follow clear rules for membership, including requirements for
qualification, experience and impartiality;
3. 2. 2. 2. consist of individuals with no financial or other commercial interest in the
outcome of the certification decision;
3. 2. 2. 3. not include individuals who have taken part in the evaluation as lead auditors,
auditors or experts.
3. 2. 2. 4. not include any individuals who are or have been at any time in the past 5
years, engaged with another RSB recognized certification body as lead
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auditors, auditors, experts, consultants or service providers other than as a
member of the decision making entity of the other RSB recognized
certification body.
3. 2. 2. 5. not include individuals who are or have been at any time in the past 5 years,
engaged with participating operators as experts, consultants or service
providers.
3. 2. 3. The certification decision entity may include individuals who are employees
and/or management representatives of the RSB recognized certification body.
3. 2. 4. All individuals involved in the certification decision entity shall be knowledgeable
of the RSB standards and RSB certification systems, and all relevant aspects of
certification and accreditation.
3. 2. 5. The certification decision entity shall involve at least one person with lead auditor
qualification.
3. 3. Risk assessment
3. 3. 1. The certification body shall demonstrate that it has assessed the risks arising
from its certification activities and that it has adequate arrangements (e.g.
insurance or reserves) to cover liabilities arising from its operation(s) in each of
its fields of activities and in the geographic areas where it operates.
3. 3. 2. The certification body’s risk assessment shall comply with the RSB Standard for
risk management (RSB-STD-60-001) and the specific RSB Requirements for
certification bodies’ risk management (RSB-STD-70-004).
3. 4. Consultancy and training
3. 4. 1. The certification body and/or any related body shall not offer or provide
consultancy and/or training services to participating operators which have
engaged the same certification body for certification services.
3. 4. 2. The certification body shall not offer certification services to any participating
operator that has and/or will received consultancy and/or training services from
the same certification body and/or any related body.
3. 5. Public information
3. 5. 1. The certification body shall make publicly available the fact that it is recognized
by the RSB and offering certification services under the RSB certification
systems.
3. 5. 2. In case the certification body operates as part of and/or is controlled by another
body (i.e. government body or private organization) the certification body shall
make publicly available this fact and sufficient information to clearly explain the
relationship between the certification body and the other body.
3. 5. 3. The certification body shall make available its organizational structure to
stakeholders upon request, including the names of members of the certification
body’s entities responsible for:
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3. 5. 3. 1. overall performance of the certification body’s activities;
3. 5. 3. 2. formulation of policy matters which relate to the operation of the certification
body;
3. 5. 3. 3. certification decision entity;
3. 5. 3. 4. resolution of disputes, complaints and appeals.
4. Certification body operations
4. 1. Documented systems
4. 1. 1. The certification body shall base its operation(s) related to the RSB standards
and the RSB certification systems and all aspects thereof on documented
systems including but not limited to all operational procedures and associated
instructions to be followed in order to evaluate conformity with RSB standards
within the scope of the certification body’s RSB accreditation.
4. 1. 2. The policies and procedures for maintenance of confidentiality shall include:
4. 1. 2. 1. a policy statement on confidentiality;
4. 1. 2. 2. procedures for ensuring that personnel are aware of the policy and of their
consequent obligations;
4. 1. 2. 3. a written confidentiality agreement to be signed by all personnel who have
access to confidential information. Such personnel shall include, but not be
limited to administrative staff, lead auditors, auditors, technical experts, audit
observers, consultants, subcontractors, members of the certification
decision entity, peer reviewers, other committee members and management
representatives.
4. 1. 3. The certification body shall make the documentation of its systems available to
the personnel involved in the certification body’s office(s) and operation(s), and
at the level of its related bodies.
4. 1. 4. The certification body shall conduct its certification operation(s) in full conformity
with its documented systems.
4. 2. Records
4. 2. 1. The certification body shall compile and maintain for at least 7 years accurate,
complete, up-to-date and legible records of the following:
4. 2. 1. 1. certification body’s personnel (staff, auditors, peer reviewers and committee
members) records including CVs, qualifications, confidentiality agreements,
training records, performance appraisals and declarations of conflicts of
interest;
4. 2. 1. 2. list of and contracts with external bodies and/or persons subcontracted for
work related to certification;
4. 2. 1. 3. operation of the certification body’s certification decision entity and other
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relevant committees;
4. 2. 1. 4. applications for certification services, certification evaluations and
certification contracts and all document related;
4. 2. 1. 5. list of participating operators engaged, their respective certification scopes
of operation, their evaluation reports, and the status of their RSB certificates;
4. 2. 1. 6. management of disputes related to implementation of RSB standards and
RSB certification systems;
4. 2. 1. 7. internal audits and management reviews;
5. General requirements for subcontracting
5. 1. The certification body may subcontract (outsource) work related to certification to
an external body or person. Subcontracting shall also refer to arrangements related
to the certification process between the certification body and affiliated or related
bodies (e.g. subsidiaries, parent companies, etc.)
5. 2. All aspects and requirements of the RSB standards and RSB certification systems
applicable to the certification body shall apply without exception to the external
body or person subcontracted by the certification body. This shall include without
limitation any additional condition imposed on the certification body by the RSB
recognized accreditation body and/or the RSB SOE.
5. 3. The certification body shall take full responsibility, accountability and liability for
ensuring that the external body or person subcontracted complies with the
applicable requirements of the RSB standards and RSB certification systems.
5. 4. Any and all subcontracting of the aspects of the certification process shall be based
on a written contract between the certification body and the external body or
person.
5. 5. The contract shall include an explicit agreement by the external body or person
granting the certification body, the RSB recognized accreditation body and the RSB
SOE, and their duly designated representatives unlimited and unconditional access
to any and all aspects of their respective operation(s) and premises as well as
access to all documentation and information, which are related to the
implementation of the RSB standards and RSB certification systems and as
deemed necessary by the RSB recognized certification body and/or RSB
recognized accreditation body and/or the RSB SOE.
5. 6. The certification body shall ensure that the external body or person subcontracted
for work related to the certification process does not subcontract this work any
further.
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5. 7. The certification body shall ensure that the RSB trademarks are not use by affiliated
or related bodies, or by external bodies or persons subcontracted for work related
to the certification process.
5. 8. The certification body shall not outsource decisions on granting, maintaining,
renewing, suspending, reinstating, refusing or withdrawing certification (see also
ISO/IEC Guide 65: 1996 (E) Clause 12.2) (i.e. the certification body shall not
outsource the certification decision entity).
5. 9. Each subcontractor shall be subject to at least one office audit and at least one onsite audit annually by the certification body. These audits by the certification body
shall be part of the certification body’s documents systems.
6. Certification body quality system
6. 1. The certification body shall include in its documented systems, operational
procedures for:
6. 1. 1. managing applications for certification services and any and all other services
the certification body may be offering in relation to the RSB standards and the
RSB certification systems;
6. 1. 2. preparing, reviewing, updating and finalizing of certification reports;
6. 1. 3. identification, management and tracking of nonconformities and actions taken by
participating operators to address nonconformities;
6. 1. 4. all types of decision making affecting or potentially affecting services in relation
to the RSB standards and the RSB certification systems;
6. 1. 5. issuing of certificates in relation to the RSB standards and the RSB certification
systems;
6. 1. 6. the review of the use of RSB compliance claims and the RSB trademarks;
6. 1. 7. managing disputes, complaints and appeals;
6. 1. 8. managing conflicts of interests;
7. Conditions and procedures for evaluating, granting, maintaining, suspending
and withdrawing certification
7. 1. Duration of RSB certificates
7. 1. 1. The certification body shall issue to participating operators upon successful
evaluation for compliance with the RSB standards and RSB certification systems
certificates with a maximum validity according to the risk associated with the
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operation(s) of the participating operator as follows:
7. 1. 1. 1. The certification body shall issue to participating operators in risk class 1
certificates with a maximum validity of no more than 24 months subject to
successful completion of a desk audit after no more than 12 months.
7. 1. 1. 2. The certification body shall issue to participating operators in risk class 2
certificates with a maximum validity of no more than 18 months subject to
successful completion of a desk audit after no more than 9 months.
7. 1. 1. 3. The certification body shall issue to participating operators in risk class 3
certificates with a maximum validity of no more than 12 months.
7. 1. 1. 4. The certification body shall issue to participating operators in risk class 4
certificates with a maximum validity of no more than 9 months.
7. 1. 1. 5. The certification body shall issue to participating operators in risk class 5
certificates with a maximum validity of no more than 6 months.
7. 1. 1. 6. The certification body shall issue to participating operators in risk class 6
certificates with a maximum validity of no more than 3 months.
7. 1. 2. The certification body may extend the specified period of validity of a certificate
once for up to six (6) months to enable evaluation under the following conditions:
7. 1. 2. 1. The risk associated with the operation(s) of the participating operator is no
higher than risk class 3.
7. 1. 2. 2. The conditions which led to the need for the extension of the validity of the
certificate are beyond the control of the participating operator and the
certification body. Problems in planning or scheduling a evaluation shall not
be considered conditions beyond the control of the participating operator
and the certification body.
7. 1. 2. 3. The document audit of the participating operator by the certification body
was successfully completed and gave no indication that compliance with the
RSB standards and the RSB certification systems by the participating
operator could be compromised during the extension of the validity of the
certificate.
7. 1. 2. 4. The extension of the validity of the certificate of the participating operator will
not result in increased risk associated with the operation of the participating
operator.
7. 1. 3. The certification body may extend the specified period of validity of a certificate
once for up to three (3) months to enable evaluation under the following
conditions:
7. 1. 3. 1. The risk associated with the operation(s) of the participating operator or the
certification body is lower than risk class 3.
7. 1. 3. 2. The conditions which led to the need for the extension of the validity of the
certificate are beyond the control of the participating operator and the
certification body. Problems in planning or scheduling a evaluation shall not
be considered conditions beyond the control of the participating operator
and the certification body.
7. 1. 3. 3. The document audit of the participating operator by the certification body
was successfully completed and gave no indication that compliance with the
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RSB standards and the RSB certification systems by the participating
operator could be compromised during the extension of the validity of the
certificate.
7. 1. 3. 4. The extension of the validity of the certificate of the participating operator will
not result in increased risk associated with the operation of the participating
operator.
7.
1. 4. The certification body shall document the conditions which led to the need for the
extension of the validity of the certificate, and inform the RSB recognized
accreditation body and RSB SOE about the extended expiry date of the
certificate within five (5) business days of the extension being granted, and
before the expiry date of the certificate, and update the relevant data in the
database(s) of registered RSB certificates and in any other information.
7. 2. Issuing and maintaining RSB certificates to participating operators
7. 2. 1. The certification body shall only issue and/or maintain a RSB certificate to a
participating operator, which:
7. 2. 1.
1. holds a valid RSB participant code, which is not suspended;
7. 2. 1.
2. has entered into an agreement with the RSB recognized certification body
which includes at minimum the following provisions:
7. 2. 1.
2.
1. agreement by the participating operator to complying with any
condition set by the certification body;
7. 2. 1.
2.
2. agreement by the participating operator to informing the certification
body without delay of any condition which could affect compliance with
the RSB standards and/or the RSB certification systems, and the
continued validity of the RSB certificate;
7. 2. 1.
2.
3. agreement by the participating operator to submitting to evaluation
proceedings and any and all related activities as determined by the
certification body, including the certification body’s right to carry out
unannounced evaluation proceedings;
7. 2. 1.
2.
4. reference to the RSB standards and RSB certification systems in their
most recent version as an integral part of the agreement;
7. 2. 1.
2.
5. agreement by the participating operator to granting to the certification
body, the RSB recognized accreditation body and the RSB SOE, and
their duly designated representatives unlimited and unconditional
access to any and all aspects of the participating operator’s
operation(s), respective premises as well as access to all
documentation and information, which are related to the
implementation of the RSB standards and RSB certification systems
and as deemed necessary by the RSB recognized certification body
and/or RSB recognized accreditation body and/or the RSB SOE for
evaluation of compliance with the RSB standards and RSB
certification systems.
7. 2. 1.
2.
6. agreement by the participating operator to ensuring that the rights
granted under point 7.2.1.2.5. above to the certification body, the RSB
recognized accreditation body and the RSB SOE, and their duly
delegated representatives extend without limitation to external third
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parties engaged by the participating operator and/or any part of its
operation(s).
7. 2. 1.
2.
7. state clearly the right of the certification body to suspend and/or
withdraw the RSB certificate with immediate effect if, in the sole
opinion of the certification body, the participating operator is not in
compliance with the RSB standards and the RSB certification systems,
and/or with any condition set by the certification body.
7. 2. 1.
2.
8. agreement by the participating operator in case of suspension or
withdrawal of the RSB certificate, to;
7. 2. 1.
2.
8.
1. immediately cease use of any RSB trademarks, including on
and/or in relation to any products;
7. 2. 1.
2.
8.
2. identify all customers and suppliers affected, and notify them of
the suspension or withdrawal of the RSB certificate in writing
within three (3) business days of the suspension or withdrawal,
and maintain records of that notification;
7. 2. 1.
2.
9. agreement by the participating operator to comply with revisions of
and/or changes to the requirements of certification by the certification
body (e.g. if new RSB standards are approved, etc.) during the period
of validity of the RSB certificate, including the revision of costs and
fees. The certification body shall only specify such revisions and/or
changes to the requirements of certification if this is deemed
necessary to ensure compliance with the RSB standards and the RSB
certification systems.
7. 2. 1.
2. 10. agreement by the participating operator to comply with requirements
for transferring participating operators as detailed in point 8. of this
standard and/or as decided by the RSB SOE, the RSB recognized
accreditation body and/or the RSB recognized certification bodies
involved.
7. 2. 1.
3. has been consistently and comprehensively informed about all aspects of
the RSB standards and the RSB certification systems;
7. 2. 1.
4. comprehensively, consistently and transparently complies with the
applicable requirements of the RSB standards and the RSB certification
systems, and with any condition set by the certification body;
7. 2. 1.
5. has been evaluated by the certification body for compliance with the RSB
standards and the RSB certification systems, and where the certification
evaluation resulted in a positive certification decision for issuing an RSB
certificate by the certification decision entity.
7. 2. 2. The certification body shall only issue and/or maintain a RSB certificate to a
participating operator for the entire certification scope of the participating
operator as specified in the participation agreement with the RSB SOE.
7. 2. 3. The certification body shall not issue a RSB certificate if major noncompliances with applicable requirements of the RSB standards and the RSB
certification systems are outstanding (i.e. have been identified and not been
corrected at the time of certification decision making).
7. 2. 4. In addition to the certificate issued to the participating operator, the certification
body shall issue a separate sub-certificate for each legal entity and for each
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operational site included in the certification scope of the participating operator.
The sub-certificates shall have the same certificate code as the certificate
issued to the participating operator followed by combination of three letters
which uniquely identifies each sub-certificate.
7. 2. 5. The certification body shall include on the RSB certificate issued to the
participating operator and on each sub-certificate issued to legal entities and
operational sites included in the certification scope of the participating operator
the following information:
7. 2. 5.
1. the name, address and registration number of the certification body;
7. 2. 5.
2. the legal name, registered address and RSB participant code of the
participating operator to which the certificate is issued;
7. 2. 5.
3. a unique numerical certificate code issued by the certification body, and in
case of sub-certificates a three letter code to uniquely identify legal entities
and operational sites;
7. 2. 5.
4. the scope of the certificate and the operation(s) of the participating
operator as specified in the participation agreement with the RSB SOE;
7. 2. 5.
5. the effective date of issue of the RSB certificate;
7. 2. 5.
6. the effective date of expiry of the RSB certificate;
7. 2. 5.
7. reference to the RSB database(s) of registered certificates;
7. 2. 5.
8. a disclaimer that this RSB certificate is only valid if duly registered in the
RSB database(s) of registered RSB certificates and that the validity of this
RSB certificate shall be verified in the RSB database(s) of registered RSB
certificates;
7. 2. 5.
9. the signature of the designated representative of the certification body;
7. 2. 5. 10. a disclaimer stating that this RSB certificate itself does not constitute
evidence that a particular product supplied by the certificate holder is
certified to RSB standards. Products offered, shipped or sold by the
certificate holder can only be considered covered by the scope of this
certificate when the required RSB claim is clearly stated on-product;
7. 2. 5. 11. reference that this RSB certificate was issued under accreditation by a
RSB recognized accreditation body for compliance with the RSB standards
and the RSB certification systems;
7. 2. 5. 12. reference to the RSB website.
7. 2. 6. The certification body shall inform the RSB recognized accreditation body and
RSB SOE, about any issuing, suspension or withdrawal of a RSB certificate,
specifying the effective date, the certification report and the public summary of
the certification report. The certification body shall within five (5) business days
of issuing, suspension or withdrawal a RSB certificate update the relevant data
in RSB database(s) of registered RSB certificates and in any other information.
7. 3. Evaluating participating operators
7. 3. 1. The certification body shall conduct certification evaluations of participating
operators according to RSB-STD-70-003.
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7. 3. 2. The certification body shall provide all auditors with consistent, comprehensive
and transparent information which includes all standards, guidance, procedures
and other documentation necessary to successfully complete evaluations in
accordance with documented procedures specified by the certification body.
7. 3. 3. Certification body’s audit teams shall include a designated lead auditor. The
designated lead auditor shall lead the audit team and the evaluation of the
participating operator.
7. 3. 4. The certification body shall develop and document its methodology for
conducting stakeholder consultations in accordance to the requirements of the
RSB standards and the RSB certification systems.
The methodology shall ensure that:
7. 3. 4.
1. a range of representative stakeholders is consulted appropriate to the
scale, intensity, complexity and impacts of the operation(s) evaluated;
7. 3. 4.
2. stakeholders have the opportunity to present their comments to the
auditor(s) in local language;
7. 3. 4.
3. stakeholders have the opportunity to present their comments to the
auditor(s) under terms of confidentiality;
7. 3. 4.
Note: Identities of stakeholders requesting confidentiality shall be
documented in formal records of the certification body, but shall not be
included in any documentation, which is disclosed publicly, to the
participating operator and/or to any other external third party involved in
evaluation. The certification body shall ensure that the identity, privacy and
personal integrity of stakeholders requesting confidentiality is protected.
The members of the audit team shall not be required to investigate and/or
consider comments by stakeholders who refuse to identify themselves.
7. 3. 4.
4. stakeholders have the opportunity to present their comments prior to peer
review of the certification report and certification decision making;
7. 3. 4.
5. stakeholder consultation shall be designed to solicit direct, factual
observations with regard to compliance of the participating operator with
the RSB standards and the RSB certification systems.
7. 3. 4.
6. information and opinions given by consulted stakeholders are investigated,
evaluated and verified objectively and meaningfully, and affect the
certification decision only in so far as they provide evidence of compliance
or non-compliance with the applicable requirements of the RSB standards
and the RSB certification systems.
7. 3. 5. The certification body shall ensure that no participating operator is evaluated by
the same lead auditor on more than 3 consecutive certification evaluations.
7. 3. 6. The certification body shall document the evaluation process, evaluation
findings and conclusions prior to peer review and decision making in a
certification report.
7. 3. 7. The certification body shall submit certification reports to peer review prior to
certification decision making.
7. 3. 7.
1. The peer review shall be conducted according to clear terms of reference,
which include at least a review of the adequacy of :
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1. evaluation work and collection of objective evidence to verify
compliance with the RSB standards and the RSB certification systems,
2. evaluation work and collection of objective evidence as basis for
certification decision making,
3. clarity of presentation of observations and evidence as basis for
certification decision making,
4. whether the proposed certification decision is justified by the
observations and evidence presented.
7. 3. 7.
2. Individuals (i.e. at minimum two (2) individuals) involved in peer review
shall be independent of the certification body and/or any of its related
bodies, and shall comply with any and all applicable requirements of the
RSB standards and the RSB certification systems.
7. 3. 7.
3. The outcomes (e.g. comments, inputs, issues raised, etc.) of the peer
review shall be compiled in a peer review report and be part of the
certification records.
7. 3. 7.
4. The certification body shall respond in writing to the peer review, and
finalize the certification report considering the results of the peer review.
7. 3. 8. The certification body shall submit the certification report together with the peer
review report and its response to the peer review to the certification body’s
decision making entity.
8. Transferring participating operators
8. 1. The certification body shall facilitate the transfer of a participating operator to
another RSB recognized certification body.
8. 2. The certification body shall ensure that the transfer of a participating operator to
another RSB recognized certification body is justified with evidence substantiating
the rationale for the transfer and approved by the RSB SOE.
8. 3. The certification body shall transfer upon request by the RSB SOE copies of the
certification documentation, and any and all other relevant information on a
participating operator to:
8. 3. 1. the RSB SOE upon request by the RSB SOE;
8. 3. 2. the RSB recognized accreditation body;
8. 3. 3. another RSB recognized certification body.
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