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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, Ukraine, October 2018
Topics
1. General framework for accreditation and certification for
energy and ISO 50001
2. The South African Experience
a. SANAS Accreditation and certification
b. Tax Deduction Instrument
3. Global status of ISO 50001 Management System
Certification and Accreditation
4. Summary – Challenges and opportunities
Topic 1
General framework for
accreditation and certification for
energy and ISO 50001
UNIDO IEE-EnMS Projects Intervention Logic
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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:
ISO 50001 Energy Management
System EnMS Conformity
Assessment Framework
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)
Basic conformity assessment process –
regulatory and non-regulatory
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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
(Conformity Assessment Bodies)
include:
• Certification bodies (CB)
• Energy efficient measurement
and verification bodies (M&V)
• Inspection bodies
• Greenhouse Gas (GHG)
validation and verification
bodies
• Laboratories
• Energy personnel certification
GovernmentIn South Africa - Department of Trade & Industry
Accreditation Body (e.g. SANAS, NAAU, RVA,
UKAS, …)Operate in accordance with ISO/IEC 17011 (Recognized through peer
review by
IAF (Certification) and ILAC (Testing and Inspection)
Management System (MS)
Certification Bodies
(egg SABS, TUV, BSi, SGS etc)
Operate in accordance with
ISO/IEC 17021-1 (generic MS) +
ISO 50003 (specific to EnMS certification)
Personnel Certification
Bodies
(e.g. 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
(egg Coca-Cola, Johnson Matthey, St Gobain,
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, e.g. 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
IEnMP – includes auditor and LA job
spec analysis, work experience,
competencies,
ISO standards for M&V:
ISO 50015 – M&V process
Accreditation
Independence and Rigor of Conformity Assessment
Supplier’s
declaration
1st party
conformity
assessment
Certification
3rd party
conformity
assessment
Accreditation
Selection of Mechanism of Conformity Assessment
Practicality of Accredited Certification
• Accreditation is generally provided by one accreditation body within a country.
• Accreditation can be voluntary or regulatory
• 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.
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.
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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.
South African certification bodies – need to achieve
national and global recognition, and conformity against
international standards, led to the establishment of
SANAS accreditation programme for certification bodies.
INTERNATIONAL LINKS
SANAS, in association with the Certification Body
Specialist Technical Committee (STC), aligns its
requirements and procedures relating to accreditation with
those of international counterparts.
For certification, SANAS is signatory to
the Mutual Recognition Agreement with the
International Accreditation Forum (IAF).
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The South African Experience
PROFILE OF ASSESSORS
The assessors are representative of the public, private and
academic sectors.
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 = confidence.
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.
Governments, private sector procurers and consumers can
have confidence in the calibration and test results, inspection
reports, and certifications provided.
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SANAS Accreditation Process
• Application stage.
• Document review stage.
• Pre-assessment (voluntary or
compulsory).
• Assessment stage.
• Review of assessment.
• Accreditation decision stage –
can accreditation be granted or
not.
• Continued monitoring of
accreditation status (surveillance
assessments and re-
assessments over a fixed
accreditation cycle).
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) Document(s) (Develop relevant guidance and regulatory documents)
8. Establishment of a Specialist Technical Committee (STC) - Involve
stakeholders (transparency and expertise)
9. 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.
– Tool to guide technical policy
– 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 STC and its technical
focus.
STCS RELATED TO ENERGY –
• Certification (ISO17021-1 and ISO 50003):
– EnMS and GHG
• Inspection (ISO17020):
– 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
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Tax Deductions
• 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 (UHR 1.90) / kWh
IMPACT
Conformity Assessment
• All savings must be verified by ACCREDITED
Measurement and Verification (M & V) 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
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:
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 (To December 2017)
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, published September
2018
ISO 50001 Certifications - Europe
ISO Survey, published September
2018
ISO 50001 - Europe
Year 2011 2012 2013 2014 2015 2016 2017
Country 364 1919 3993 5526 10152 17102 19024
Austria 4 24 67 109 220 224 228
Belarus 2 6 1 29
Belgium 16 21 28 43 70 224
Czech Republic 1 10 16 32 73 369 522
Denmark 26 85 45 51 55 118 135
France 3 37 86 270 500 759 2307
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
Russian Federation 1 8 25 81 118 174 250
Spain 95 127 196 310 390 465 568
Sweden 62 72 94 87 85 88 178
Turkey 2 16 42 76 100 115 168
Ukraine 2 10 22 5 21 189
United Kingdom 11 136 330 376 1464 2829 3078
ISO 50001 Certifications – Other Countries
ISO Survey, published September
2018
ISO 50001
Year 2011 2012 2013 2014 2015 2016 2017
Country
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
Egypt 6 7 8 23 33 40
South Africa 1 3 4 7 10 4
Tunisia 2 3 6
Not easy to determine whether accredited certifications are done by
nationally accredited CB’s of foreign-based
Different Certification Models
• Germany ISO 50001 certification - rebate on energy tax
Started certification before ISO 50003:2014 was published, specifies
energy performance improvement
• South Africa ISO 50001 certification - voluntary with no government pay-back
Started certification using ISO/DIS 50003
Financial incentives – energy savings must under go accredited M&V
• Kazakhstan
• ISO 50001 legally prescribed for all
In Summary – Challenges and Opportunities
• Government, legal and trade framework
• Competing priorities from different government
departments/fragmented versus consolidated EE
• Energy performance improvement
• Specialized scope sectors
• Link to regional and international structures
• Role of international CBs
• Promotion of awareness of local accredited certification
• Non-accredited certifications
• Personnel – competence and capacity
• Costs and economies of scale
Дякуємо за увагу!
Група Управління Проекту
A: вул. Еспланадна, 20,оф. 701
Київ, 01601, Україна
T/F: +38(044)253-5962
W: www.ukriee.org.ua
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