ISO 50001 Conformity Assessment – International practice and experience with Accreditation Scheme for ISO 50001

International Forum for

Technical Regulations

International Practice and Experience with Accreditation Scheme for ISO 50001

Wendy da Cruz

Kiev

October 2018

Topics

1. General framework for accreditation and

certification for energy and ISO 50001

2. The South African Experience

a. SANAS

b. Tax Rebate Instrument

3. Global status of ISO 50001 Management

System Certification and Accreditation

Topic 1

General framework for

accreditation and certification for

energy and ISO 50001

ISO 50001 Energy Management

System EnMS Conformity

Assessment Framework

UNIDO IEE-EnMS Projects Intervention Logic

7

Level and quality of policy support,

including regulation, granted to the

implementation EnMS/ISO50001

Availability of competent

professionals to guide, train & assist

organizations in implementation

Credible demonstration to

organizations and the market of

EnMS/ISO50001 tangible benefits

Policies &

Institutions

Conformity

Assessment

EnMS Skills,

Implement. &

Services

EnMS-ISO 50001 success in delivering expected benefits and

impact to organizations and countries will depend on:

EnMS Conformity Assessment

Framework

• First we will consider the full conformity assessment

framework

• Then we will consider the

specifics for accredited certification

of energy management systems (EnMS)

Conformity Assessment…

definitions• Conformity Assessment

– demonstration that specified requirements relating to a

product, process, system, person or body are fulfilled

• Conformity Assessment Body

– Body that performs conformity assessment services

NOTE An accreditation body is not a conformity assessment body

• ISO/IEC 17000:2004 (2.1)

9

Basic conformity assessment process –

regulatory and non-regulatory

10

ObjectDeclaration (1st. Party)

Contract (2nd Party)

Certificate (3rd. Party)

+

Requirements

(Regulations and/or

Voluntary

International Standards)

Accreditation

Peer assessment

Selection Determination Review & AttestationEnabling

Regulators to

meet the

WTO T B T

Requirements

for

conformity

assessment

For Energy –

CABs include:

• Certification bodies

• Energy efficient measurement

and verification bodies

• Inspection bodies

• Greenhouse Gas (GHG)

validation and verification

bodies

• Laboratories

• Energy personnel certification

EnMS Conformity

Assessment

Framework

Government

In South Africa - Department of Trade & Industry

Accreditation Body (eg SANAS, RVA, UKAS, …)

Operate in accordance with ISO/IEC 17011 (Recognized through peer

review by

IAF (Certification) and ILAC (Testing and Inspection)

Management System Certification Bodies

(eg SABS, TUV, BSi, SGS etc)

Operate in accordance with

ISO/IEC 17021-1 (generic MS) +

ISO 50003 (specific to EnMS certification)

Personnel Certification Bodies

(eg EPI, IRCA, SAATCA)

Operate in accordance with ISO/IEC

17024

CERTIFICATION OF PERSONS

Enabling Act = Accreditation for Conformity Assessment,

Calibration and Good Laboratory Practice Act (Act No. 19 of 2006)

Accreditation Accreditation

Organizations seeking EnMS certification

(eg Johnson Matthey, St Gobain, Valpre, etc)

Operate in accordance with ISO 50001

Certification

(of organizations EnMS)

Persons seeking certification (Auditors)

Competence requirement as per EnMS

Auditor Criteria.

Certification

(of auditors, energy professionals)

M&V Organizations (“Inspection Bodies”)

Operate in accordance with ISO/IEC 17020,

carry out M&V in accordance with SANS 50010.

MEASUREMENT AND VERIFICATION OF

ENERGY SAVINGS

The facility is accredited in accordance with the

recognised International and National Standard

Can be in the voluntary arena, but initially

developed for the regulatory arena, eg for tax

rebate purposes

Organizations seeking M&V of their

energy savings, in accordance with

SANS 50010

Measurement and verification

(of organizations energy savings)

ISO standards supporting energy

management, to assist organizations to

implement energy management:

ISO 50002 Energy Audits

ISO 50004 Guidance for EnMS

ISO 50006 EnB and EnPI

ISO 50003 – includes auditor and CB

competencies

EPI – includes auditor and LA job spec

analysis, work experience,

competencies,

ISO standards for M&V:

ISO 50015 – process

ISO 50747 – M&V Protocol

Accreditation

Independence and Rigor of Conformity Assessment

supplier’s

declaration

1st party

conformity

assessment

certification

3rd party

conformity

assessment

accreditation

Mechanism of Conformity Assessment Selection

Topic 2

The South African Experience

a. SANAS

b. Tax Rebate Instrument

The South African Experience

NATIONAL ACCREDITATION BODY – SANAS

The South African National Accreditation System (SANAS).

LEGISLATIVE AUTHORITY

Recognised by Government as the sole national accreditation

body for conformity assessments in South Africa; through the

Accreditation for Conformity Assessment, Calibration, and Good

Laboratory Practice Act (Act No. 19 of 2006).

PRIMARY ROLE

In terms of the act SANAS’s primary role is to serve the national

and public interest by facilitating the provision of a reliable

internationally recognized accreditation infrastructure to

government, industry and the wider community.

16

The South African Experience

THE NEED FOR GLOBAL RECOGNITION

Accreditation provides formal recognition that a facility meets

certain standards. These are standards of quality, performance,

technical expertise and competence. The need for South

African certification bodies to achieve national and global

recognition, as well as conformity against international

standards, led to the establishment of an accreditation

programme for certification bodies under the auspices of

SANAS.

INTERNATIONAL LINKS

SANAS, in association with the Certification Body Specialist

Technical Committees (STC), aligns its requirements and

procedures relating to accreditation with those of international

counterparts.

At present, certification, SANAS is signatory to

the Mutual Recognition Agreement with the

International Accreditation Forum (IAF).

17

The South African Experience

PROFILE OF ASSESSORS

The assessors are representative of the public, private and

academic sectors. They undergo comprehensive training and

are identified for training in new fields as required.

Participants are trained in:

• The interpretation of the standard/s – ISO 50001

• Accreditation criteria; - ISO 17021-1 and ISO 50003

• Assessment techniques

ACCREDITATION PROCESS

impartiality, competence and consistency.

Accreditation is the independent assessment of certification

bodies against recognised national and international standards

to carry out specific activities, in order to ensure their

impartiality, competence and consistency. As a result of this

process, governments, private sector procurers and consumers

can have confidence in the calibration and test results,

inspection reports, and certifications provided.

18

Practicality of Accredited Certification

• Accreditation is generally provided by one accreditation body within a country.

• In some developing economies without established accreditation bodies,

certification bodies may have to seek accreditation from an established

accreditation body in another country.

• Accredited certification bodies are regularly re-examined to ensure that they

maintain high standards of technical expertise.

• International Accreditation Forum (IAF) www.iaf.nu has the IAF MLA

signatories list to identify IAF member accreditation bodies.

• Accreditation can be voluntary or regulatory

SANAS Accreditation Process

Very briefly, the phases are:

1. Application and Document

Review

2. Pre-assessment (voluntary for all

voluntary programmes (eg

certification bodies), compulsory

for regulatory programmes (eg

Verification Laboratories, the rest

of Inspection Bodies and BBBEE

Verification Agencies)

3. Initial assessment

4. Decision making as to whether

accreditation can be granted

5. Continued monitoring of

accreditation status via

surveillance assessments and re-

assessments over a fixed

accreditation cycle.

In South Africa, like many economies, the use of

accreditation to assist governments to protect the

public and the environment is gaining momentum.

Accreditation has become “mandatory” in many

regulated areas as more and more regulators

appreciate the benefits that accreditation brings in

assisting governments to meet their obligations and

responsibilities to safeguard the public and the

environment.

Various South African regulators and government

departments use accreditation, such as the

department of Labour, Health, Tourism, Energy, Trade

and Industry and Environmental Affairs.

SANAS accreditation provides those who administer

regulations and specifications with the following:

• A resource to resolve disputes relating to laboratory,

inspection, certification and verification services; and

• An ability to outsource to an independent, objective

authority the monitoring of laboratory, inspection,

certification and verification body performance

SANAS Process for

Developing Accreditation Schemes

1. Request for a New Accreditation Programme or Extension of the Scope.

2. Feasibility Study - Confirm there is a need for a scheme

3. Approval of the feasibility Study

4. Signing of a Memorandum of Understanding (MoU)

5. Establishment of a Working Group (WG) Involve stakeholders (transparency

and expertise)

6. Sourcing and Training of Assessors

7. Development and approval of the Technical Requirements (TR) / Guidance

(TG)

8. Document(s) (Develop relevant guidance and regulatory documents)

9. Establishment of a Specialist Technical Committees (STC) Involve

stakeholders (transparency and expertise)

10.New Programme Implementation

SANAS use of

Specialist Technical Committees (STCs)

• SANAS uses Specialist Technical Committees (STCs) to provide appropriate technical guidance on all matters within a specific field of expertise.

• The STC is a fundamental and vital component of operating a technically relevant accreditation system. Amongst other things, it is a tool to guide technical policy and provide important mediation support in technical matters to the assessment process within a specified area of accreditation.

• Procedure P19 - details the role and function of the SANAS STC's and its technical focus.

STCS RELATED TO ENERGY –

• Certification:

– EnMS and GHG

• Inspection:

– Energy Efficiency (M&V)

– Energy Performance Certificates for Buildings (EPC) – first meeting Nov 2018

SANAS Documents

South Africa Energy

Rebate Legislation

Section 12L of the

Income Tax Act

The National Energy Act, 2008 (Act No. 34 of

2008), Section 7 (2) provides for SANEDI to direct,

monitor and conduct energy research and

development, as well as undertake measures to

promote energy efficiency throughout the

economy.

www.sanedi.org.za

man

da

teThe South African National Energy Development

Institute

26

BACKGROUND

• Section 12L of the Income Tax Act, 1962 (Act No. 58

of 1962), which

• Allows for a deduction in respect of energy efficiency

savings,

• Came into operation on 1 November 2013.

• Initially, it allowed for tax deductions calculated at ZAR

0.45 (URH 0.90) per kilowatt hour or kilowatt hour

equivalent of energy efficiency savings.

• In 2015 increased in the allowance amount to

ZAR 0.95 (UHR1.90) /kWh

IMPACT

CONFOMRITY ASSESSMENT

• All savings must be verified by

ACCREDITED Measurement and

Verification Body

• Accreditation by SANAS

• In accordance with ISO 17020

Inspection Bodies.

• 9 SANAS-accredited M & V bodies

• SARS (South African Revenue

Service) Audits in place!!!

Topic 3

Global status of ISO 50001

Management System Certification

and Accreditation

IAF Multilateral Recognition Arrangement

(MLA)

• The purpose of the IAF Multilateral

Recognition Arrangement (MLA), is to

ensure mutual recognition of accredited

certification between signatories to the MLA,

and subsequently acceptance of accredited

certification in many markets based on one

accreditation.

• Accreditation and the IAF MLA helps

regulators meet their own legislated

responsibilities by providing a globally

recognised system to accept accredited

certification.

IAF Partners

International

Organization of Legal

Metrology

International Organisation

for Standardisation

UN Industrial

Development

Organisation

IAF works with a number of organisations and cooperates with many international

bodies to achieve shared objectives. IAF has signed MoUs with the following six

organisations:

International Laboratory

Accreditation Cooperation

International

Telecommunications

Union

International

Electrotechnical

Commission

How to find an IAF MLA Signatory

• A ‘live’ and complete list of signatories can be found on the IAF

website at www.iaf.nu/articles/IAF_Members_Signatories/

ISO Survey of Management System

Accredited certifications

Standard

Number of

certificates in in

2016

Number of

certificates in

2017

Change Change in

%

ISO 9001 1 105 937 1 058 504 -47 433 -4

ISO 14001 346 147 362 610 16 463 5

ISO 50001 20 216 22 870 2 654 13

ISO 27001 33 290 39 501 6 211 19

ISO 22000 32 139 32 722 583 2

ISO 13485 29 585 31 520 1 935 7

ISO 22301 3 853 4 281 428 11

ISO 20000‐1 4 537 5 005 468 10

ISO 28000 356 494 138 39

ISO 39001 478 620 142 30

TOTAL 1 576 538 1 558 127 -18 411 -1

ISO Survey of Management System

Accredited certifications

Country

Number of

certificates issued

in in 2017

Ukraine 189

South Africa 4

Germany 8314

TOTAL 1 558 127

Per CountryTOTAL

Albania 3

Algeria 2

Argentina 18

Armenia 1

Australia 23

Austria 228

Bahrain 3

Belarus 29

Belgium 224

Bosnia and Herzegovina 13

Brazil 49

Bulgaria 43

Cambodia 2

Canada 13

Chile 26

China 1567

Colombia 15

Costa Rica 5

Croatia 121

Cyprus 18

Czech Republic 522

Denmark 135

Ecuador 3

Egypt 40

El Salvador 1

Estonia 14

Finland 37

France 2307

Georgia 2

Germany 8314

Ghana 1

Greece 86

EuropeISO 50001 - Europe

Year 2011 2012 2013 2014 2015 2016 2017

Country 364 1919 3993 5526 10152 17102 19024

Albania 1 1 4 3 3

Armenia 1 1

Austria 4 24 67 109 220 224 228

Belarus 2 6 1 29

Belgium 16 21 28 43 70 224

Bosnia and Herzegovina 1 1 1 6 13

Bulgaria 1 6 12 22 27 43

Croatia 3 6 10 21 55 121

Cyprus 7 5 18

Czech Republic 1 10 16 32 73 369 522

Denmark 26 85 45 51 55 118 135

Estonia 1 3 4 2 14

Finland 1 6 9 10 30 44 37

France 3 37 86 270 500 759 2307

Georgia 7 1 3 2

Germany 42 1133 2477 3402 5931 9024 8314

Greece 2 9 16 25 45 51 86

Hungary 3 13 29 68 546 610

Ireland 36 64 56 91 137 178

Italy 30 74 258 294 470 1415 857

Latvia 2 4 18 28 142

Liechtenstein 2 5

Lithuania 6 6 10

Luxembourg 1 3 1 6 10 86

Malta 1 6 3

Montenegro 1 1 1 0

Netherlands 15 21 24 37 64 100

Norway 9 9 14 19 19 24 34

Poland 2 12 22 38 74 112 173

Portugal 1 3 11 12 38 37 47

Romania 66 55 60 56 69 33 47

Russion Federation 1 8 25 81 118 174 250

North America

Year 2011 2012 2013 2014 2015 2016 2017

Country 1 9 34 77 77 73 127

United States of America 1 6 22 52 53 47 77

Mexico 1 5 16 17 18 37

Canada 2 7 9 7 8 13

AfricaYear 2011 2012 2013 2014 2015 2016 2017

Country 0 13 36 18 40 58 61

Algeria 4 4 4 3 2

Egypt 6 7 8 23 33 40

Ethopia 1 3 0 0

Gambia 1

Ghana 1 1

Malawi 1 5 0 0

Morocco 2 4 6 5

Mozambique 1 5 0 0

Nigeria 2

South Africa 1 3 4 7 10 4

Swaziland 0 0 0 1

Tanzania, United Rep. 1 5 0 0

Tunisia 2 3 6

Uganda 1 2 0 0

Zambia 1 2 0 0

Zimbabwe 1

No of Countries/Economies

Number of countries / economies

Year 2011 2012 2013 2014 2015 2016 2017

TOTAL 32 62 78 80 95 92 93

Africa 0 8 10 4 12 8 8

Central / South

America 2 3 6 10 11 11 10

North America 1 3 3 3 3 3 3

Europe 19 30 35 37 40 40 41

East Asia and

Pacific5 11 13 15 16 14 15

Central and South

Asia2 3 4 3 4 6 6

Middle East 2 4 7 8 9 10 10

Specific Challenges and Opportunities

• Personnel – auditors

• Costs and economies of scale

• Use of existing MS structures

• Government, legal and trade framework

• Energy performance improvement

• Specialized scope sectors

• Link to regional and international structures

• Role of international CBs

Дякуємо за увагу!

Група Управління Проекту

A: вул. Еспланадна, 20,оф. 701

Київ, 01601, Україна

T/F: +38(044)253-5962

E: ukriee-project@unido.org

W: www.ukriee.org.ua

20