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

E: ukriee-project@unido.org

W: www.ukriee.org.ua

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