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Certification scheme for

Energy Management Systems
according to ISO 50001

N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3

Certi fication sch eme for en ergy management systems accordi ng to ISO 50001

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Copyright SCCM
All rights reserved. Nothing included in this publication may be made public, and/or reproduced by means of
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Disclaimer
Although the utmost care has been taken with this publication, errors and omissions cannot be entirely
excluded. SCCM therefore accepts no liability, not even for direct or indirect damage occurring due to or in
relation with the use of the content of this publication.

N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3

Certi fication sch eme for en ergy management systems accordi ng to ISO 50001

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Certification scheme for
Energy Management Systems
according to ISO 50001*

Translation of N110615 (Dutch), 10 December 2013
Replaces (Dutch) version of 7 December 2011

* This certification scheme is a translation of the originally Dutch-language certification scheme based on
NEN-EN-ISO 50001:2011, the Dutch version of the European standard EN ISO 50001:2011. This European

standard is identical to the international standard ISO 50001:2011. For the sake of convenience, this

certification scheme will use the term ISO 50001 instead of NEN-EN-ISO 50001:2011.

N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3

Certi fication sch eme for en ergy management systems accordi ng to ISO 50001

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Contents

cha p te r 1

1 Introduction

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cha p te r 2

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Interpretation of ISO 50001

2.1 General requirements

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2.2 Management responsibility

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2.3 Energy policy

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2.4 Energy planning

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2.4.1 Legal and other requirements

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2.4.2 Energy Review

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2.4.3 Baseline energy use

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2.4.4 Energy performance indicators

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2.5 Implementation and operation

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2.5.1 Competence, training, and awareness

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2.5.2 Design

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2.5.3 Purchasing of energy services, products, equipment and energy

2.6 Checking

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2.6.1 Evaluating compliance with legal and other requirements

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2.6.2 Internal audit of energy management system

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2.6.3 Nonconformities, correction, corrective action and preventive action

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cha p te r 3

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Organization of the certification body

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3.1

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Principles and general requirements

3.1.1 Impartiality

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3.1.2
Competence

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3.1.3 Responsibility

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3.1.4 Openness

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3.1.5
Confidentiality

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3.1.6 Response to complaints

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3.1.7
Legal aspects

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3.2 Organizational structure within the CB

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3.2.1 Organizational structure and top management

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3.2.2 Committee for safeguarding impartiality

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Personnel within the CB

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3.3

3.3.1 Competence of management and personnel

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3.3.2 Personnel involved in the certification activities

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3.3.3 Use of external auditors and outsourcing

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N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3

Certi fication sch eme for en ergy management systems accordi ng to ISO 50001

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3.4 Information exchange between CB and third parties

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3.4.1 Publically accessible information

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3.4.2
Confidentiality

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3.4.3 Information exchange between a CB and its clients

3.5 Management systems within the CB

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cha p te r 4

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Procedures used by the certification body

4.1 General requirements

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4.1.1 Audit plan and audit team

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4.1.2 Audit time

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4.1.3 Audit reports

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4.1.4 Decision making

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Procedures for assessing compliance and continual improvement

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4.2.1 Compliance with legislation and regulations

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4.2.2 Review of continual improvement

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4.2

4.2.3 Procedures for dealing with incomplete or incorrect information

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4.2.4 Procedures for dealing with violations and dangerous situations

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4.3 Initial certification audit

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4.3.1 Application process and review

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4.3.2 Phase 1 audit (pre-audit)

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4.3.3 Phase 2 (initial certification audit)

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4.3.4 Initial certification audit conclusions and initial certification

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4.4 Surveillance activities

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4.4.1 General

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4.4.2 Surveillance audit

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4.4.3 Maintaining certification

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4.5 Recertification

4.5.1 Recertification audit planning

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4.5.2 Recertification audit

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4.5.3 Information for renewing the certificate

4.6 Special audits

4.7 Suspension, withdrawal or reducing the scope of certification

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4.8 Appeals

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4.9 Records of applicants and certificate holders

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a nne xe s
Documents for pre-audit
Determining competence for ISO 50001 certification
Table of contents of NEN-EN-ISO/IEC 17021
Additional information

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Certi fication sch eme for en ergy management systems accordi ng to ISO 50001

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one that provides added value. various government authorities and civil society groups. SCCM strives for a high-value certificate with broad-based support. in addition to ISO 14001 and 50001 standards: > NEN-EN-ISO/IEC ISO 17021. For the time being. certification bodies (CBs) affiliated with SCCM can use this certification scheme. SCCM only enters into agreements with CBs with which it already has an agreement for using its ISO 14001 certification scheme. the standard that CBs must meet to certify management systems. The EA-7/05 describes how to deal with combined audits both in terms of content and time schedules (and ways to reduce time spent) The IAF MD 5. EA-7/04 and EA-7/05 can be downloaded from the SCCM website. Accordingly. The CBs having an agreement with SCCM for use of this certification scheme are obliged to follow this scheme for certification based on the ISO 50001 standard. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 6 . The committee meets the requirements set by the Dutch Council for Accreditation (RvA). This accreditation for environmental and energy management systems is based on requirements from the following documents.chapter 1 Introduction By entering into an agreement with the Association for the Coordination of Certification of Environmental and Occupational Health and Safety Management Systems in the Netherlands (SCCM). customers. Guideline for time schedules set up by the International Accreditation Forum (IAF) > EA 7/04. information from the European Cooperation for Accreditation about the element of the ISO 14001 standard on compliance with legislation and regulations. > EA 7/05 (EA Guidance on the Application of ISO/EC 17021:2006 for Combined Audits. SCCM has not requested to be designated by the RvA as the scheme manager for ISO 50001. suppliers and neighbours). The point when it is accredited will depend on the interest in this scheme and the importance the certificate acquires in areas such as relations with the government authorities. particularly in the certified organization’s relationships with those around it (government. This certification scheme was developed for environmental management systems by the SCCM Central Committee of Experts (CCE). based in Geneva). The intention is to have the scheme accredited in the future. RvA accreditation is not required for the ISO 50001 certification scheme. To this end the CCE of SCCM consists of representatives from industry and business organizations. > IAF MD 5:2009 (IAF Mandatory document for duration of QMS and EMS audits). based on the worldwide standard ISO 50001:2-11 (ISO is the International Standards Organization.

The certification scheme of 7 December 2011 has been added concerning the determination of significance of equipment. In drawing up the ISO 50001 standard.2. This will also demonstrate that the system works. the IAF MD 5.4. the EA-7/04 and the EA-7/05 form the basis for both chapters 3 and 4. See 3th paragraph of section 2. Chapter 3 shows the requirements for the CBs set by the CCE. > The procedures used by the CB. > The organization of the CB. Chapter 2 contains the interpretation of the ISO 50001 standard drawn up by the CCE. the point of departure is that the energy management system leads to actual changes in the organization.The certification scheme consists of the following three parts: > The interpretation of the ISO 50001 standard. The contents of the NEN-EN-ISO/IEC 17021:2011. Chapter 4 contains additional requirements and interpretations with regard to the CB’s procedures. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 7 . The standard therefore places greater emphasis on documenting the various elements of the management system than on the presence of written procedures.

Energy consumption related to transport of persons and goods is usually included. This is especially the case if installations are shared with other companies and/or belong to a separate legal entity. The CCE has defined the following key points: > The organization must document which of its organization(s) and operations. It must be clear to what extent scope 3 (indirect emissions arising from third parties) falls within the system.1) An organization must document the scope and boundaries of its energy management system.2 and 3). > As a minimum. a requirement that is met if the various sections of the standard are adequately implemented.1 General requirements (ISO 50001 section 4.chapter 2 Interpreting ISO 50001 2. > To define the scope. it is important that it be clear to what extent the areas of application of the environmental and energy management systems overlap. chapter 3 ‘Setting Organizational Boundaries’ and chapter 4 ‘Setting Operational Boundaries’ can be consulted to supplement the 14064-1 standard. > ‘Scope’ is understood to mean the breadth with which the energy consumption in the system is controlled (for example. > No form of energy may be excluded from the scope. the clause in 4. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 8 . > The GHG protocol section on ‘A Corporate Accounting and Reporting Standard’. > It must be clear how any energy generated by the organization (such as co-generation facilities) is part of the energy management system. to what extent energy use by third parties such as transport of personnel is covered under  the system). > If the organization to be certified is also ISO 14001-certified. The advantage of using this approach in the Netherlands is that the categories are the same as those in the CO2 performance scale of the SKAO (Climate-friendly Contracting and Entrepreneurship Association).1c) can be considered an introductory sentence. products or services the energy management system applies to. scope 1 (the ‘direct’ energy consumption by sources that are property of or controlled by the organization) and scope 2 (consumption of purchased electricity) must be incorporated. According to the CCE. it is recommended to use the approach described in the ISO 14064-1 standard (scopes 1.

2 mention the management representative and energy management team.2.f. top management is required to appoint a management representative.3 c. Others in the organization can be called upon for technical knowledge and skills. it must include the subject of energy. such as an environmental policy statement.2) According to 4. processes etc. and 4. heat etc. As far as the energy management team is concerned.2 Management responsibility (ISO 50001 section 4. The importance of organizational and process-related skills will be greater for the management representative of larger organizations (with a substantial energy consumption). According to the CCE.2.3. support for purchasing energy-efficient products and services and designs).1 (General) can be considered introductory information. The CCE stresses the importance of long-term planning.2. If a long-term plan is drawn up.4) Section 4.3 Energy policy (ISO 50001 section 4. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 9 .) and energy sources (electricity. According to definition 3.4. there are additional requirements (such as 4. it is essential that it be formed by key people in the organization capable of promoting awareness about energy. commitment to information and means. a strategic view of investments and their own operations is necessary to achieve substantial changes. According to the CCE. 2. these two positions or roles may be filled by the same person.10.4 Energy planning (ISO 50001 section 4.3) The energy policy can be integrated in other policy documents.3 e) requires that the energy policy can serve as a framework for establishing and assessing energy objectives and targets. For many organizations. > Section 4.2 through 4. the necessary ‘skills and competence’ of the management representative are determined by such factors as the size of the organization. fuels. heating.2. the organization must realize that although some of the requirements overlap.2 indicates that the management representative must have ‘appropriate skills and competence’. Technical knowledge and familiarity with the production process will often be more important in smaller organizations. It can be considered satisfied if the requirements in 4. Section 4.). The standard distinguishes between energy consumption (the amount of energy used). Sections 4. 2.1b). final responsibility for the energy management system must lie with an employee at the highest level within the organization.1 b) and 4. energy use (how the energy is used. since reducing energy consumption often goes along with investments which yield over the long term. Key points are: > If the environmental policy statement is used.2.4. for example. According to the CCE.4. The carrying out of tasks can be delegated to the management representative.6 have been satisfied. In 4. the team may consist of just one person.1 h) the subject of energy is linked to long-term planning.2. for ventilating. its energy consumption and the nature of energy users.

the organization must establish how the legal and other requirements apply to its energy consumption. This overview is important for performing the evaluation of compliance with legislation and regulations (art 4. Any energy the organization generates and any residual heat used should also be included when identifying consumption and use. equipment or processes having a significant influence on energy consumption. The energy review in 4. from various energy sources) and energy use in 4.4. > Long-term agreement on energy efficiency (MIA-3).4. or if existing legislation and regulations have changed (EA-7/04.4. 2.4. The significance can be determined on the base of the scope of the consumption and/or the capability of improving the energy performances. By also involving the capability of improvement in the determination of the significance. 2. use and efficiency. > Long-term agreement on energy efficiency for companies under the Emissions Trading Scheme (MEE). > when is energy metered and when not. > frequency and/or criteria for updating the energy review.2.2) Examples of relevant legislation. > how far back in time is information gathered. > when a user is considered significant. The following may be useful for setting criteria: > what size energy sources are included.4. and a more detailed analysis identifying the facilities. the European Emissions Trading Scheme (EU-ETS). 3.art.2.2). that are not significant based on scope but on the capability of improvement. regulations and other requirements in the Netherlands are: > The Activiteitenbesluit or Activities Decree (implemented in 2008) (including general requirements under art. including smaller users.6 energy saving.1 Legal and other requirements (ISO 50001 section 4.3a). N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 10 . as well as specific requirements for certain kinds of installations). this means that an organization must have an overview of the concrete requirements that apply to its energy consumption.2 Energy review (ISO 50001 section 4.1 regarding duty of care and 2.3 C the CCE expects that all energy users with substantial capability of improvement will be involved.4.3 is made up of an analysis of the main sources of energy consumption (for the organization as a whole. The organization must periodically assess whether there are new environmental legislation and regulations that apply.6. use and efficiency. it will prevent that relatively small consumers (for example electric motors) will be overlooked. Also in section 4.4. In the opinion of the CCE.3) The methodology and criteria used for an energy review must be documented. > BREF’s (Best Reference documents from the IPPC of Directive Industrial Emissions) > Obligations under agreements with third parties (such as the CO2 ‘performance ladder’ scale) According to the standard.2).

weekend day. > stopping operations for such reasons as major maintenance. outside temperature or another variable. There must be criteria which support the choice for the year used as the baseline.4. for example one for each source. including any corrections made or hypothetical assumptions used. > condition (e. for example. data will also need to be collected to determine the energy consumption connected to products or services purchased from third parties.. The energy review is primarily concerned with current consumption.g.6. A long-term view is also necessary in order to identify the opportunities for reducing energy consumption and/or using alternative energy sources (see also 4. adjustments). and energy sources used. time to manufacture a product.1). EPIs must be chosen such that they can actually provide guidance for energy use.. 2. The chosen baseline(s) must cover at least 80% of the total energy consumption. Depending on the chosen scope (see 4.3 Baseline energy use (ISO 50001 section 4. 2.4. The calculation methods for the baseline. must be documented.4. processes whether self-managed or not. The CCE assumes that there is sufficient depth in the analysis in the first point under 4.) in which variables can be size of production. EPIs may consist of a parameter (absolute energy use). In this regard. including: > EVA (Dutch language energy-use analysis1. Combining energy consumption with energy use gives the energy balance. so that alternatives can be found in a timely manner. leaks.3 b) second point) are understood to mean: > capacity utilization/scope of production > weather conditions. This will involve the products/services. the energy review must relate to developments after that point. For example. Corrections may be necessary if. If a baseline is used based on data from the past. Metering and/or calculating consumption on the basis of specifications can give insight into consumption.pdf N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 11 . the organization contracts out or divests itself of operations.Various other instruments can be used for the energy review. the use of such technologies as residual heat (from an internal or external source) requires preparation and planning. The ‘other variables’(listed in 4.4. 1 Downloadable from http://www.rvo. it is important that there be an idea of the life span of facilities.3 b) that an organization has identified at least 80% of its energy consumption (up to the level of energy source linked to an installation).4) An organization can have more than one baseline for energy use.nl/sites/default/files/bijlagen/EVA_Handleiding%20Energie VerbruiksAnalyse_19-12-2008. > energy balance.1 h).4. One example of this is outsourced services for transporting goods and/or people.4. shift) or a multivariable model (E=A*x+B*y+. energy use per unit (such as a work day.5) The energy performance indicators (EPIs) formulated in accordance with this section of the standard are the basis of the monitoring requirements in 4.2.4 Energy performance indicators (ISO 50001 section 4.1.

New products or services may also result in an increase of energy consumed in their production or delivery.5.2. parts.5.3 Purchasing of energy services. for example. semi-finished products) or the contracting out of certain operations. Factors such as maintenance costs can also have an influence (Total Cost of Ownership). N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 12 . the purchase of products (such as raw materials. If these differences are significant. > Replacing electric motors with class IE3. > Purchasing ‘green’ electricity.5) 2. > Support service providers (cleaning.5. In buying the production inputs it is important to consider the energy consumption and costs over the entire life cycle in decision making.2) This section concerns the people who can influence energy use directly or indirectly through their behaviour and/or work tasks. Organizations in the Netherlands that are part of either the MJA or MEE long-term covenants on energy are indeed obligated to consider their energy consumption in the chain. equipment and energy (ISO 50001 section 4. A distinction can be made between the following groups: > Operators and production personnel directly involved with significant energy users. > Technicians involved in development and maintenance (both internal and external) of significant energy users. the organization must be able to justify their necessity (for example. Premium efficiency.5. training and awareness (ISO 50001 section 4. > Transport planners. In developing new products/services.1 Competence. Annex A 5. the impact on energy use in their production or delivery (including any purchasing) must be included in the design in advance. 2. increased consumption during production may be offset by lower consumption during use).5 Implementation and operation (ISO 50001 section 4. Examples of specifications for energy purchasing are: > General: opting for the best available technologies. The energy management system can be used to ensure these levels. For example.2 Design (ISO 50001 section 4. security).5. systems and processes must also include maintenance and the replacement of parts. this is not mandatory. a larger investment may be earned back over the long term. products.5. > Management at different levels in the organization having influence on the groups listed above.7 makes reference to the possibility of using the energy management system in the production chain. equipment. However.6) The terms modified or renovated facilities.7) This article is concerned with the purchasing of energy services. facilities and energy connected to the organization’s own production and delivery and not. > Purchasers. 2.

6.3 Nonconformities. corrective action and preventive action (ISO 50001 section 4.6. The organization will have to determine this for the various legal requirements. > Achieving the objectives laid down in the system. for example.6. 3. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 13 . According to the CCE. instructions and planning laid down in the management system.1 Evaluation of compliance with legal requirements and other requirements (ISO 50001 section 4.6.6 Checking (ISO 50001 section 4.6) 2. facilities not subject to changes. If they are. 2. it is important that the elements specific to ISO 50001 are explicitly dealt with and that the auditors are qualified to audit them. and the potential effect of the nonconformity on a legal requirement. the organization will have to be able to make a supported statement about its own compliance during the annual management review. The results are incorporated in the management review. The organization must be able to use the energy management system to identify its compliance status (EA-7/04 art. 2.2 Internal audit of the energy management system (ISO 50001 section 4. The higher the risk connected to a given requirement.2) An organization must periodically evaluate its compliance with every applicable requirement of applicable legislation and regulations. the evaluation is an operation with a different goal than the internal audit and management review.6.4) Nonconformities can occur at various levels: > The management system’s meeting the ISO 50001 standard.3) Internal audits for ISO 14001 and ISO 50001 may be combined.2). This will differ for each requirement. The frequency with which an evaluation of compliance is performed depends on the chances of nonconformities.7. or nonconformities that have no direct effect. the more frequently the evaluation must be done and the more rigorous the method must be. Performance of this evaluation must be verifiable. One instrument which can be used to evaluate compliance is the ‘compliance audit’. and if the organization is aware of its compliance status. Not all requirements necessarily have to be evaluated each year. Ultimately. correction.6. The internal audits must evaluate whether the procedure for evaluating compliance also functions properly.2. > Working in accordance with the procedures.

along with the text in boxes in this document.requirements for bodies providing audit and certification of management systems’. Any interpretations or additions by the CCE are in text boxes. Chapters 1 through 8 and 10 of the ISO 17021 contain organizational requirements. is binding. The CCE can interpret these requirements where necessary and can set additional requirements. These threats can be related to both the organization and people within it. The following aspects play an important part with regard to confidence in the certification body. the impartiality and competence of the certification body. The ISO 17021 contains both structural and procedural requirements. for example if the CB or people within it have interests or too-close contacts with the client after an earlier assignment. The value of certification is determined by the confidence of parties in. the text of the NEN-EN-ISO/IEC ISO 17021:2011 (and not its translation into this certification scheme). Action must be taken to eliminate or minimize potential threats. > The CB must identify. In evaluating compliance with this certification scheme.2 and 5.1 Principles and general requirements (ISO 17021 chapters 4 and 5) The aim of ISO 50001 certification is to give all interested parties the confidence that the energy management system meets all the requirements. a CB must meet the NEN-EN-ISO/IEC ISO 17021:2011 standard ‘Conformity Assessment .1. The requirements for a CB include the following: > It must have a publicly accessible statement in which the CB’s management assures its commitment to impartiality and objectivity.1 Impartiality (ISO 17021 sections 4. among other things. 3. It is therefore essential that a CB can use objective evidence to make its decisions as to whether or not requirements are being met.chapter 3 Organization of the certification body To be accredited to perform certification work. The ISO 17021 recognizes that the fact that a CB is paid by the organization to be certified constitutes a potential threat to its impartiality. The decisions made on the basis of this evidence must not be influenced by other interests or parties. 3. All information must be submitted to a committee created by the CB in which all interested parties are represented (see ISO 17021 section 6.2). N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 14 . The most important requirements from these chapters are summarized in this chapter of the certification scheme.3) A CB’s impartiality can be at issue in several ways.2. 5. analyze and document all potential threats to its impartiality.

3) Competence is the demonstrated capacity to apply knowledge and skills. To provide confidence in certification. This requirement does not apply to individuals who are hired as auditors.> The CB must regularly evaluate its financing and income sources to demonstrate to this committee that there is no commercial. Personnel may not have been involved as consultants for the organization to be certified about either its energy management system or any other management systems. those resulting from complaints).3 Responsibility (ISO 17021 section 4. financial or other pressure influencing its impartiality. a CB should provide appropriate groups with information (as far as confidentiality permits) about the conclusions of certain audits (for example. > The CB must require both in-house and external personnel to inform the CB of situations that may possibly constitute a conflict of interest with them or the CB. Competence is a basic requirement for personnel entrusted with performing certification work.3 has more information on the required competence. Section 3.1.1. not the certification body. the CB must make sure that this person is not. If an employee has worked for the CB for less than two years. Since every audit is based on sampling.5) A CB must provide public access to information about the audit and certification process and the status of issued certificates (including suspensions. and has not been. > The CB. 3. a consultant for the organization to be certified. 3.4) The client organization. or a division within the same legal entity. The requirements are elaborated in section 3. > The CB shall not outsource certification work to consultancy firms working with management systems. a CB cannot guarantee 100% conformity. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 15 . > The CB may not use personnel for certification work who have been associated with the company to be certified during the previous 2 years. Performing a ‘pre-audit’ is not considered consultancy as long as it only involves an evaluation of the implemented system.4.1.2 Competence (ISO 17021 section 4. withdrawal and changes of scope). The certification body has the responsibility to gather sufficient objective evidence upon which to base a certification decision. may not offer or provide consultancy services in the area of management systems. has the responsibility for meeting the requirements for certification in the 14001 standard. or works part-time for the CB. > The CB or a division within the same legal entity may not offer or perform internal audits for clients being certified.4 Openness (ISO 17021 section 4. and no advice is given about rectifying eventual violations or non-compliance. 3. Clients for whom the CB has performed internal audit services may not be certified by this CB for two years afterwards.

7 and 9. > The decision in response to the complaint must be taken by a person (or persons) not previously involved with the subject of the complaint. > If possible. The requirements for a CB include the following: > It must have a publicly accessible complaint procedure. not objections from organizations certified by the CB) about a certificate it has issued.5 Confidentiality (ISO 17021 section 4. but in any case within two weeks. 3.e. > The CB must evaluate the risks associated with performing certification work and take action (such as insurance and financial reserves) to cover any eventual liabilities. and procedures for ensuring that corrective action is taken. 3. as well as for the protection of both certified organizations and other users of certification. If the CB has multiple offices or if the client has multiple certified locations.3. SCCM will report the number and nature of the complaints in its annual report. so that it can be legally responsible for its activities. and to what degree the complaint and resolution are made public.3) A CB must meet the following legal requirements: > The CB must be an independent legal entity or a clearly defined part of a legal entity. > The CB must determine if. it is essential that a certification body keep confidential any proprietary information about a client. > The CB must have a contract with its clients on the basis of which the agreements about performing certification work are also legally enforceable.1 and 5. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 16 . the procedures for tracking and documenting of complaint. The CB must inform SCCM as soon as possible. in consultation with the client and the complainant. and the action taken in response. of complaints submitted by third parties (i.1.7 Legal aspects (ISO 17021 sections 5. > The complaint procedure contains at least the following: a description of the process of receiving. evaluating and investigating the complaint.6 Response to complaints (ISO 17021 sections 4. complainants must be kept informed about the receipt of the complaint. handling process and the outcome.1.8) Adequate handling of complaints is important for creating confidence in certification. the contract will apply to the office that awards and issues the certificate and to all sites covered by the certificate.1.6) To gain the privileged access to information that is needed for the certification body to assess conformity to requirements for certification adequately.

Every CB must have its own committee. showing duties. responsibilities and authorities (of personnel. 3. The committee shall counteract any commercial or other considerations which stand in the way of working impartially. for example. The ISO 17021 section 6. certification and its internal decision-making processes.5.1) The CB shall document its organizational structure. and for each function in the certification activity.2 > Committee for safeguarding impartiality (ISO 17021 section 6. by informing authorities. the committee performs an assessment of the CB’s impartiality in its performing audits. > Audit team leader. the structure shall include the line of authority and the relationship to other parts within this legal entity. > The committee assists and advises in developing policy having to do with impartiality and creating confidence in certification activities. > Competence evaluator (for assessing competence of auditors and other personnel).2) The structure of the CB must be such that it safeguards the impartiality of the various certification activities. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 17 . If the CB is one part of a legal entity. A committee must be appointed for this purpose.2 lists nine areas for which top management is responsible. The ISO 17021 makes an explicit distinction between the following positions: > Top management. and the various interested parties must be invited to take part. the committee shall take into consideration the confidentiality requirements in 8.1 Competence of management and personnel (ISO 17021 section 7.1 Organizational structure and top management (ISO 17021 section 6.2. > The CB must document the composition. > Auditors. > The CB shall determine the competence necessary for all relevant technical areas. > The CB shall determine the means for demonstrating competence to perform particular functions. The committee must have the right to undertake independent action. > Decision maker(s). 3. responsibilities and competence of its members. > At least once a year. In doing so.3 Personnel within the CB (ISO 17021 chapter 7) 3. if management does not respect the committee’s recommendations. however.2 Organizational structure within the CB (ISO 17021 chapter 6) 3. The committee’s work is independent of the work of SCCM.3. duties authorities.3.1) > The CB must have a process for ensuring that personnel have relevant knowledge for certifying energy management systems and the geographic areas in which it operates.1. accreditation bodies and stakeholders. management and committees).2.

A CB must have available the expertise to carry out a contract review and must be able to demonstrate it is capable of performing the following: > Defining the operations and processes of the organization wanting certification. including technical experts and audit team leaders. to perform all activities and all of the audit work. management and administrative personnel with information about. > Auditors and technical experts may only be used in areas for which they have demonstrated competence. > Defining the most significant energy users connected to the operations and processes of the > organization wanting certification.2 and 7.2 Personnel involved in the certification activities (ISO 17021 sections 7. audit standards and other relevant requirements.4) The requirements in ISO 17021 include the following: > The CB must have personnel within its own organization with sufficient competence to organize the certification of energy management systems. training and formally authorizing auditors and technical experts used in certification activities. > The CB must have a demonstrably effective auditing process. > The CB must ensure that auditors are kept up to date about all certification requirements. > The CB must have enough available auditors (internal or external).3.Annex 2 shows a system for determining the necessary competences for the relevant positions in the organization. Define to what degree the necessary expertise is actually available. experience. The CB must identify its training needs and offer training opportunities. > The CB must have documented procedures for monitoring and measuring the performance of both individual auditors and other personnel. competence and all relevant consulting activities. 3. A CB can use the system described in annex 2 or its own system if it provides comparable results. relevant qualifications. including the use of auditors and audit team leaders with general auditing skills and knowledge as well as skills and knowledge for auditing in specific technical areas. > The person or group taking the decision whether to certify must be familiar with the ISO 50001 standard and requirements for certification and must be demonstrably competent to evaluate audit processes and evaluate the conclusions of an audit team. training. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 18 . among other things. > The CB must maintain records for auditors. > The CB must have a defined process for selecting. periodically observing audits in practice and asking clients for feedback. These procedures include evaluating audits.

‘Outsourcing’ may be understood to mean subcontracting to another organization to provide part of the certification activities on behalf of the certification body. The CB will draw up a legally enforceable contract for each body providing outsourced services in which these agreements. dates of granting and expiry. impartiality and confidentiality. certification activities and geographic locations where certification activities are being provided. > The certificate will include the name of the certified organization and location of its head office. > The CB remains responsible for all activities outsourced and must ensure that both the body that provides outsourced services and the individuals working for it meet the requirements of the CB and of ISO 17021. scope of the certificate. > The CB has documented procedures for qualification and monitoring of all bodies that provide outsourced services which it uses for certification activities. on request).1. suspending or withdrawing a certificate cannot be outsourced. > The CB has a process describing the conditions under which services may be outsourced. renewing. This does not apply to external auditors and experts who are under contract.2. As a minimum. also with regard to competence. > The CB shall make information public about certificates it has awarded. the list shall show the name.3. unique identification number. 3. the CB shall provide information in order to demonstrate the accuracy of a certificate it has issued. are dealt with.3. 8. maintaining.3 and 8. name and address of the CB. suspended or withdrawn. standard. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 19 . The agreement shall address the aspects of confidentiality and independence from commercial and other interests.3 > Use of external auditors and outsourcing (ISO 17021 sections 7. 8.1 Publicly accessible information (ISO 17021 sections 8.5) The CB shall have external auditors and technical experts sign a written agreement committing themselves to the CB’s policy and procedures.4. The CB shall ensure that information about the competence of auditors and technical experts is kept up to date. including confidentiality and possible conflict of interest.4) > The CB shall make information publicly available (or provide it on request) about the certification process. The CB shall maintain a list of valid certificates and make this list public (if it chooses. > If requested. The statement shall require external auditors and experts to inform the CB of existing or former contacts with an organization they are assigned to audit. the standard used as the basis for the certificate and the name of the accreditation body.3 and 7. scope and geographical location (such as city and country) for each certified client.4 Information exchange between CB and third parties (ISO 17021 chapter 8) 3. > Decisions about awarding.

suspension and withdrawal of certificates. All other information will be treated as confidential information. In particular: > The name of the organization as it appears on the certificate must correspond with the level of hierarchy at which the management review is performed. with this information. it will inform SCCM of the withdrawal as soon as possible. but in any case within 1 week. decision-making process. complaining parties. unless this violates the law.4. The CB shall monitor compliance with the new requirements by all certificate holders.4. arrangements and legally enforceable contracts to safeguard the confidentiality of the information it has acquired at all levels of the organization. information about a particular client or individual may not be given to third parties without written permission from the client or individual concerned. initial audits. enforcement authorities) shall be treated as confidential information.2 > Confidentiality (ISO 17021 section 8. and will indicate the > suspension on its Internet database. it will inform the client or individual in advance. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 20 . This description may not contain value judgements. The name of the organization on the > certificate may have a lower hierarchical level but not a higher one. The following apply to suspension or withdrawal of a certificate: > SCCM shall be informed immediately if a certificate has been suspended. SCCM publishes the certificates on the Internet.The CBs must include on the certificate the fact that the certificate was issued on the basis of the SCCM certification scheme. It is recommended that it be made clear whether all or some of the organization’s operations are covered by the certificate. > changes in the requirements for certification. The scope contains a concise description of the operations of the organization covered by the certificate. If there is a need to indicate in more detail what the ISO 50001 certificate relates to (such as addresses of branch offices. The information on the certificate must make it clear to potential users which organization is certified for what activities. > The CB shall inform the client in advance about information it will make public. changes of scope. certified by the CB. surveillance audits. > Branches of the organization at other addresses and/or cities will be included on the certificate in > such a way that they are traceable. If the CB withdraws a certificate. SCCM will remove the certificate from its directory of certified organizations. complaint procedures and recertification) including the costs of the activities. A copy of the certificate or a modified certificate must be provided to SCCM immediately. If the CB is legally required to pass confidential information on to third parties. 3. > Information about the client from sources other than the client (for example.6) The CB must provide clients with the following information: > a detailed description (including normative requirements) of the various steps in the certification process (application. and must not be misleading.5) The CB shall have a policy.3 Information exchange between a CB and its clients (ISO 17021 section 8. 3. names of products or services) there can be a reference on the certificate to an annex. in accordance with the CB’s policy. > Unless required by the international standard.

which can be solved quickly. 3.6. commercial or organizational status or ownership. The organization with a certified energy management system is responsible for continuing to comply with all requirements. > contact address and sites. See also section 4. for example. If this is no longer the case. This is not a question of nonconformities identified in internal audits. > scope of production under the certified management system. > major changes in the management system or processes.The CB must arrange with certificate holders that they immediately provide all information that could influence the functioning of their energy management system or their compliance with the ISO 50001 standard. the organization itself must report this to the CB. > organization and management (for example. which discusses nonconformities for which a CB must perform an additional interim audit. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 21 . key management positions or technical staff).5 Management system within the CB (ISO 17021 chapter 10) The CB must have a management system meeting the ISO 9001 standard or the requirements as they appear in section 10. These include the following changes: > legal. The management system must aim to meet the requirements of clauses 5-9 of ISO 17021 and demonstrate their application. but of nonconformities of a structural nature and which have or can have consequences for the environment or its neighbours such that complaints or action from the authorities can be expected.3 of the ISO 17021.

These audits may also be audits done by the certification body for other areas. The CCE can provide an interpretation of these requirements.1. the EA-7/04 also applies to legislation and regulations related to energy.1.8 and 9. the dates and locations to be inspected.1. where necessary. The three-year cycle begins with the decision to certify (or re-certify). As a minimum.4 and 4. the amount of time to be spent. In any assessment by the Council for Accreditation (CA). 9. Chapter 9 of ISO 17021 contains requirements related to the procedures used during the certification process.1) The certification process consists of an initial audit (which has two phases). 4. products and processes. The audit plan is based on documented requirements of the CB. the audit plan will contain the objectives. 4. The EA-7/04 lays down the way in which the CB must evaluate elements of the ISO 14001 standard related to compliance with legislation and regulations. According to the CCE.1 Audit plan and audit team (ISO 17021 sections 9. as well as on the demonstrated level of effectiveness of the management system and the results of previous audits. 9. 4.7. criteria and scope of the audit. The details of the audit programme and the adjustments to the programme will vary depending on the size of the client’s organization.2.1.1. surveillance audits in the first and second years and a re-assessment in the third year before the certificate expires. the text of the NEN-EN-ISO/IEC ISO 17021. Certification bodies must satisfy the EA-7/04 ‘Legal Compliance as a part of Accredited ISO 14001: 2004 certification’. Any interpretations or additions by the CCE are in text boxes. The ISO 17021 standard contains requirements for both the CB’s organizational structure and procedures. The most important requirements from these chapters are summarized in this chapter of the certification scheme.9) The following apply with regard to the audit plan: > The CB will ensure that an audit plan is drawn up for each audit to provide the basis for planning and carrying out of the audit activities.1. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 22 . in connection with the boxed texts in this document.requirements for bodies providing audit and certification of management systems’. 9.1 General requirements (ISO 17021 section 9.6. 9.3. the scope and complexity of the management system. is binding. and may set additional requirements as well. This involves all the audits mentioned in 4.chapter 4 Procedures used by the certification body A CB wanting to be accredited for performing certification must meet the ‘NEN-EN-ISO/IEC ISO 17021 Conformity Assessment .5.2.1.3. 4.

any inconsistencies found between the client’s policy. The CB has a process for selecting and appointing the audit team. web-based and electronic verification). Spending more than 50% of the audit time ‘off-site’ is not considered desirable. electronic files may be read from off-site. > The audit plan and the dates agreed for the audit will be communicated to the client in advance. The tasks to be given to the audit team shall be defined and made known to the client. If the CB identifies one or more nonconformities. In addition to the audit plan. the CB must be able to substantiate which parts are involved and that the audit method in the situation concerned is justified (for example because the CB is quite familiar with the energy management system and the situation is stable). web meetings. and shall require that the audit team: > examine and verify the structure. factors such as whether audits are being combined. In selecting the members of the audit team.> The CB will inform the client of the names (and backgrounds. When more than 20% of the time is used off-site. the CB must demand that the client analyze the cause of the nonconformity and describe the correction and corrective action that has been or will be taken. procedures. processes. In addition to on-site visits. > determine that the processes and procedures have been established. Modern means of communication make it possible to use methods of investigation in which specific parts of the audit can be done off-site (such as teleconferences. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 23 . this may also be considered ‘on-site’. > communicate with the client about the activities performed. objectives and targets. including the audit team leader. to provide a basis for confidence in the client’s management system. if there is a good argument for doing so. and the results of the audit. 80% of the audit time must be spent ‘on site’. > determine that these elements meet all requirements relevant for the scope agreed for certification. which takes into account the competence necessary to achieve the objectives of the audit. Time spent on these activities may be considered ‘on-site’ auditing. The client must be given sufficient time to respond so that the CB has sufficient time to change the members of the team. fax or e-mail) to the organization to be certified at least one week before an audit is held. if it so desires) of the members of the audit team. The CB shall have a documented description of the procedure for performing on-site audits for the client in accordance with the guidelines from ISO 17021. the CB must use the qualifications based on the competence analysis performed for the client concerned. and the language and culture and involvement of auditors in previous audits must be considered. policy. implemented and maintained effectively. According to IAF MD 5: 2009. records and related documents of the client’s organization that are relevant for the management system. The CB must submit an audit plan in writing (by post. using the system in Annex 2.

then the time needed according to IAF MD 5 may be reduced by at most 70%. If the client‘s energy management system involves the same activities at several sites.5) The CB has a documented procedure for determining the time spent on an audit.1. and if the ISO 50001 audit is being performed by auditors who also performed the ISO 14001 audit. If the organization does have an ISO 14001 certificate. finances). The CB must develop a spot-check plan that ensures a proper audit of the management system. In IAF MD 5: 2009. The complexity and the number of employees are used to determine how much time to spend.1. using the IAF MD 5 (Annex B). With regard to number of employees.2 Audit time (ISO 17021 sections 9. the number of employees is determined by adding the following: > number of employees on staff and support services (such as management. The following points apply when using this table: > > > If the organization does not have an ISO 14001 certificate.4 and 9. then 100 % of the time based on IAF MD 5 must be spent. the time must be kept in the ‘low’ column. The number of days in the ‘medium’ column applies to organizations in the ‘complex’ category. In this case. If the ISO 50001 audit is being combined with an ISO 14001 audit. For each client. then the time needed according to IAF MD 5 may be reduced by at most 50%. low. there is an exception when certifying organizations whose energy use is 90% or more building-related. The CCE uses the principles for EMS of the IAF MD 5: 2009 (Duration of QMS and EMS audits) as a frame of reference for making the time schedules. the time reduction may be at most 20%). such as the method described in Annex 2 of this certification scheme.4. To determine the audit time for the ‘standard’ category (see Annex 2). The rationale for the plan must be documented for each client. Although the times indicated in this guideline are not prescriptive. the CB may use multi-site sampling. Annex B table EMS-1 gives an indication of the number of days needed to perform audits of differing degrees of complexity (limited. Sectors in the ‘complex’ category are listed in table 1 in Annex 2. facilities services. the CB shall determine how much time is needed to perform a complete effective audit of the energy management system. call-centre employees). The audit time as determined by the CB and the justification for the determination shall be recorded. The EA-7/05 (Guidance for combined audits) does not apply here (according to this guide. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 24 . > √ number of operational employees (such as carers. IAF MD 5 (chapter 8) indicates the basis on which the time spent can be increased or reduced. medium and high) and differing numbers of employees. The CB must have a method for systematically determining complexity.1. the CB must be able to justify deviations from it. This document can be found on the SCCM website. nurses. The complexity of the organization (as far as the energy users concerned) will play a part in determining how much time is spent.

9). A CB must account for the results of the certification audit to the organization to be certified and in doing so must formulate opportunities for improvement.6 times the square root of the number > of sites.10) The CB shall provide a written report of every audit. according to the CCE. The CB is not permitted to make recommendations for altering the energy management system and/or to make suggestions for concrete solutions based on the results of this report. In addition to the above points. the number of sites is calculated as 0. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 25 . In a reassessment.1. In the event of combined systems. Criteria will be provided for selective sampling.8 times the square root of the number of > sites. According to the CCE. the assessment of the energy management system based on the ISO 50001 standard must be readable on its own in the report. The number of sites to visit if sampling must be calculated as follows: > In an initial audit. based on the guidance in ISO 17021. rounding up to the nearest whole number. The total number of days is based on the IAF MD 5: 2009. > then at least 2 sites must be sampled in the spot check.1.The term ‘multi-site’. Sampling is not permitted when auditing organizations with sites where different activities take place. the number of sites is calculated as 0.3 Audit reports (ISO 17021 section 9. according to the CCE. If there are 4 sites. The audit team may indicate opportunities for improvement but shall not suggest particular solutions. In the event that the hazards and risks of the activities at the sites are in the ‘high’ category. rounding up to the nearest whole number. the report must include sufficient information after the fact to account for its procedures. Audit time for multi-site audits should > meet the requirements of the IAF MD 1: 2007 (Certification of multiple sites based on sampling). The audit report remains the property of the CB. the surveillance audit report must pay particular attention to the solution of previously identified nonconformities. In a surveillance audit. for example because they use more energy or internal audits indicate implementation problems. rounding up to the nearest whole number. The CB must maintain records with information about the audits performed (see ISO 17021 section 9. the CB must consider a larger check than indicated. 4. The CCE would like to point out that the sites with nonconformities are the precisely the ones to select. the number of offices/plants (sites) to visit is the square root of the number of sites (not including the head office). The sampling must be partly selective and partly random. This is not considered a recommendation to be paid for separately. The result of the application for a certificate for one of the management systems must not affect the result for any other part. applies to organizations with more than one site where highly similar activities take place. for example if there are any objections/appeals.

1).1. an organization must realize that many of its energy-related legal requirements are fairly obvious. In brief. > Assess whether operational control is such that compliance can be proved.5. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 26 . and if there is agreement as to what action to take to return to compliance and mitigate any damage. > Assess whether the organization’s procedures for evaluating its own compliance have been implemented and/or if all legal requirements are periodically evaluated (including through taking spot checks and evaluating procedures)(EA-7/04 3.1.4. the CB must consider the degree to which an organization can also reasonably be expected to be familiar with applicable legislation and regulations. action against the organization (EA-7/04 sec. It must also have the intention to familiarize itself with. > Assess whether the commitment and procedures for evaluating compliance with legal requirements are evaluated during the organization’s internal audits (EA-7/04 3. and that procedures and operating instructions are in place where they are needed (EA-7/04 3.6). Written proof of approval from the competent authority is acceptable as conforming to the commitment to compliance (EA-7/04 3. 4.15) Before the CB takes the decision to certify. > Assess whether the competent authority is notified at the point corrective action does not result in compliance. it must establish that: > the audit team has supplied sufficient information in the light of the requirements set and the scope of the certification.1 Compliance with legislation and regulations The EA-7/04 sets the CB’s procedures for evaluating compliance with legal requirements.3).1. > the effectiveness of correction and corrective actions has been evaluated and accepted.4).2. > Assess whether corrective and preventive action (including informing the competent authority if necessary) are undertaken immediately and properly carried out (EA-7/04 3. > Assess whether all applicable environmental legal requirements have been identified.2). and comply with.9). In its evaluation.2). According to the CCE. however. the EA-7/04 requires the CB to perform the following during certification audits: > Assess whether commitment to compliance is enshrined in the organization’s policy (EA-7/04 3.8). Compliance can be understood to mean that the government is not taking.14 and 9. > Assess whether the results of the evaluation of compliance and any changes in legal requirements are included in the management review (EA-7/04 3. are publicly available and are kept up to date (EA-7/04 3.10). > Assess whether compliance with legal requirements is effectively incorporated in the energy management system and its control system (EA-7/04 3. or expected to take.1. 1.7). the less obvious legislation and regulations.2 Procedure for assessing compliance with legislation and regulations and continual improvement 4.4 Decision making (ISO 17021 sections 9. The CB must ensure that the committee or person responsible for the certification decision has not been involved in performing the audit.

N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 27 . the CB will also carry out spot checks of compliance with legislation and regulations. the competent authority’s public information sources may be consulted in order to evaluate whether: > the organisations records of communication with the government are complete. unless other agreements have been made between the organization and the CB. To evaluate the effective functioning of the energy management system. for example whether the emission limits in the licence incorporate the use of best available technologies. > there are new developments regarding differences of opinion between the organisation and the government. > all sites and facilities of the organisation to be certified are also covered by the current licence. > If the environmental management system operates properly. If the CB wishes information from the competent authority other than that already in publicly available sources. then in principle the organization itself shall request this information. having well-grounded confidence does not necessarily mean that compliance with legislation and regulations can be guaranteed.It is important to distinguish between a CB’s task and the government’s task of enforcement: > The CB evaluates whether the energy management system is capable of complying with legal requirements. The CB may take advantage of this opportunity if it contributes to providing a justified confidence. The quality of environment and energy requirements. > in the event of lack of licences. the degree of compliance can be correlated to the results of the system. If it has reason to do so the CB may consult public sources of information in order to verify whether the information provided by the organization is correct. This spot check is meant to evaluate the effectiveness of the energy management system and not to report about actual compliance. This is the difference between the task of a CB and that of the government as enforcement authority. > The functioning of the energy management system must be the basis for the CB’s justified confidence that the organization is indeed in compliance with legislation and regulations. An organization lacking a necessary license can still be certified as long as the lack of licence is not deliberate neglect on its part. The organization’s lack of culpability must be obvious from its correspondence with the authorities. This is then documented within the energy management system. This is a task for the government. is not evaluated by the CB. Under the Open Government Act (Wet Openbaarheid Bestuur). It is assumed that in principle the CB uses information provided by or available from within the organization. there is no deliberate neglect on the organisations part. > Since the evaluation is based on a spot check and on a limited period of time.

This is certainly the case if. The duration of this period depends on the nature of the nonconformity.2. > has a plan in which the improvement process is expressed and in which the application or > non-application of the identified options in the future is explained. carries out the plans it has made. for organizations that are members of a branch with a covenant. the certification body shall allow the organization concerned a period during which it can repair the nonconformity. The CB only considers whether the organization has incorporated legislation and regulations and other agreements in its objectives. For example. > Procedures for reporting incidents and/or violations of legal requirements to the competent authority do not work properly. or withdraw2 the certificate if one or more of the following situations occurs: > The procedure and responsibilities for applying for permits laid down in the environmental management system. the company energy plans and/or implementation plans in principle contain the frame of reference for the objectives for continual improvement. > > The organization cannot prove that it is compliant with the requirements in legislation and regulations through its energy management system Procedures for corrective and preventive action are not effective. This period can be considered a suspension if the certification body determines that the certificate must no longer be used and/or that the certified organization must notify its clients of the major nonconformities. 2 3 This is only the case when the organization’s written procedure within the energy management system for the application for an environmental permit or the notification of changes does not function. > has an understanding of the options available for reducing energy consumption. the suspension is terminated.The CB must in any case decide against certification. If not. If there is no covenant for that branch of industry. 4. do not function3. for example. or the way in which the continuation of the application or notification of changes is dealt with. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 28 .2 Review of continual improvement The organization must be investigated as to whether it: > has an understanding of its significant energy consumers. environmental requirements for significant environmental aspects have been systematically violated and written agreements with authorities regarding this matter are not available. the certificate is withdrawn. If the non-compliances have been repaired within the stated period. Before a certificate is withdrawn. The CB does not evaluate the level of the requirement or energy savings objectives in the licence(s) and/or other plans. there are no fixed criteria for the level of the objectives in the plan. the environmental impact analysis and an inspection of the location. The CB determines if procedures are functioning based on the description of activities of the organization.

4 Procedures for handling violations of legislation and regulations In the Netherlands.2. article 1. whether deliberately or not.3 Procedures for dealing with incomplete or incorrect information The CCE considers it an undesirable situation if an organization creates an incorrect image of the energy consumption (or carbon footprint) of its products.One or more of the following conditions can constitute grounds for refusing or withdrawing a certificate (see footnote 3): > The organization has not built up insight into its significant energy consumers or its available options for reducing energy consumption. > If an organization has recently improved its energy performance considerably. If the organization’s own energy policy is not grounds for a nonconformity.1 of the Activities decree are relevant as they establish ‘duty of care’. Not fully informing the public damages the value of the ISO 50001 certificate. The degree to which the company must report the violation/exceedance to the authorities will be determined on a case by case basis. > There is no plan. A conflict constitutes a nonconformity. with the knowledge of its top management. 4. The CB/auditor may be expected to: > report violations of legislation and regulations to the top management. > The plans made are repeatedly not implemented. the plan is probably not well grounded. > If an organization has planned and/or undertaken very little action to improve its energy performance. the CCE expects that: > > > The CB shall determine whether the incomplete providing of information conflicts with the organization’s formulated energy policy. 4. among other things. The CB must then consider whether it wishes its name connected to an ISO 50001 certificate for this organization. If during a subsequent audit the CB finds that the organization has not made improvements. > suspend or withdraw certification if the energy management system does not result in violations being prevented or exceedances being resolved. This action should be considered reasonable. an organization is creating a better image of itself with respect to energy than is the case. has deliberately presented a better image than is the case. or the plan lacks a firm basis4. > Exchange of experience between years of certification. it can conclude that the organization. concrete plans of action to ensure continual improvement. 4 Evaluating this element is subjective in nature. 2. If a CB determines that. while there have been improvements in technology that many of its competitors have used. this can be considered in the CB’s evaluation. The following must be taken into consideration: > Improvement in energy performance may be evaluated over several years.1a of the Environment Act and art. and there is no convincing argument for not having done so. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 29 . This implies that an entity will do all that can reasonably be expected.2. This concerns programmes of. operations and/or services by not providing complete information in its external communications. the CB will bring incomplete provision of information to the attention of the organization’s top management.

2. 4. An application from the client must be processed before the audit process can be started.2) The CB must require the following information from the applicant: > the desired scope of the certificate. the client’s sites.4.3 Initial certification audit (ISO 17021 section 9. > the use of consultants in relation to the management system. one key question is to what degree the scopes of the environmental and energy management systems correspond. the CB must determine the competences that must be included in the audit team and decision makers. > general information relevant to the field about the organization’s activities. the CB must investigate the reason. and any relation to a larger corporation to which it may belong. > the scope of certification sought.1 and 9. If the organization to be certified has an ISO 14001 certificate.1 Application process and review (ISO 17021 sections 9. personnel. Based on the review of the application. technical resources. Before the audit process can begin. > the most important characteristics of the organization: name.2. > the CB has the competence and the ability to perform the certification activity. address(es). functions. the time required for performing the audits and other matters which can have an influence on certification activities (language. If they do not correspond.2) The initial certification audit is performed in two phases: stage 1 audit (preliminary audit) and stage 2 audit (certification audit). the CB must review the application to ensure that: > the information available to the CB about the client and its energy management system are sufficient to conduct an audit. threats to impartiality) have been taken into account. and on that basis must determine what implications it has for the certification audit. The audit team must be composed of members (and technical experts if necessary) who between them have the necessary competences. safety conditions. significant aspects of process and operations and legal obligations.3. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 30 .

the intensity and distribution of the spot checks can be varied by production unit at such a site. subsidiaries. The CB must evaluate the degree to which this is possible. there are two possible courses of action: > > certifying the organization having total responsibility. it must demonstrate grounds for the decision. > If a similar audit set-up is proposed during the bidding phase. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 31 . In the certification audit. it is important that conditions are set for the organization regarding the quality of implementation of its energy management system and the internal audits performed as part of it. the significant energy users in particular will be evaluated for each production unit and the quality of internal audits for each production unit. for example. are operating. whether or not the same audit team is used on the site and the way in which contacts with > the government are coordinated. Factors include the use of a similar system for the energy management system. and may do so under the following conditions: > A thorough preliminary audit is necessary to determine if. > has its own production facilities with their own responsibility for developing and implementing energy policy. In that case the organization shall have procedures ensuring that these contractors apply the agreed-upon criteria. business units. If the CB opts for differences in intensity of the spot checks.The CCE has gone into greater detail for some special situations about the procedure for determining the scope: Certifying an operation within a large organization with multiple operations If there is a situation within an organization in which multiple divisions. considering the staff organizations as the contractors. and to what degree the intensity of spot checks can be varied. a separate operation may be certified if this operation > has its own management. Certifying a large site Basic principles for certifying a large site with multiple production units are: > Spot checks of production units within the site are not allowed unless there are multiple facilities of the same kind on the site. a staff organization which is responsible for energy management. The activities/sites covered by the certificate are stated on the certificate. etc. Site of an organization with a distinct matrix structure If it is not the site to be certified but. > It must be verified that the energy management system of every production unit is operational and that the internal audits of this production unit have been performed in such a way that there is justified confidence in the functioning of the energy management system. The results of the preliminary audit could be a resolutive condition for the rest of the audit. During the preliminary audit.

the CB must determine whether the area of application chosen by the organization corresponds with the factual situation.i) are satisfied. nonconformities (and resolutions) from stage 1 must be in the full report of stages 1 and 2. related legislation and regulations and compliance with them.1). so that it can be demonstrated that stage 1 was carried out in accordance with the requirements (in section 9. This can be done in some cases when certifying very small organizations. > assess whether the audit time allowed and the composition of the audit team are appropriate. including areas in which a nonconformity may be found in stage 2. The findings. The initial audit consists of a preliminary (stage 1) audit and the certification audit performed on the premises of the organization.2 Stage 1 (preliminary) audit (ISO 17021 section 9. The CB’s conclusions and measures from stage 1 for planning and implementation of stage 2 will be identified in the CB’s file on this client. According to SCCM.2.2. Any changes will be communicated to the client. The findings in stage 1 can be grounds for the CB to modify its agreements for stage 2.4. audit evidence. and the operation of the management system. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 32 . and that the degree of implementation of the management system indicates that the client is ready for certification.15 b and c) shall be documented and communicated to the client in writing. > to determine whether the client has understood the requirements of the standard and has implemented it. through discussions with personnel.1) The preliminary audit (stage 1 audit) shall be performed to: > audit the client’s management system documentation. to determine whether the organization is ready for stage 2.2. objectives for reducing use. unless an alternative can be defended. processes and site(s) of the client. > evaluate the site and site-specific conditions and.3. > collect the necessary information with regard to the scope of the management system. The CB is free to report in any way it likes as long as the requirements of 17021 (9.1.10. Audit findings from stage 1 (in conformance with ISO 17021 sections 9. It is recommended that at least one part of the stage 1 audit be performed on the premises of the client. > evaluate whether the internal audits and the management system assessment are being planned and performed.1. particularly with regard to identification of the significant users. and determine the details for stage 2 with the client.3.3. > build a foundation for planning stage 2 of the audit by gaining a sufficient understanding of the client’s management system and the activities at the site in relation to potential significant aspects.

responsibilities.1.2. it must not jeopardize the quality and depth of the audit. performance of objectives and targets (consistent with the requirements in the management system standard or other normative document). measuring.One element of the preliminary audit is a document audit (see ISO 17021 section 9. > links between the standard’s requirements. an alternative setup may be considered in exceptional cases. If the total certification process will take two to three person-days.2) The goal of the stage 2 audit is to evaluate the implementation of the client’s management system. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 33 . in which the implementation of all the elements in the standards has been assessed.3. including its effectiveness. The preliminary audit must determine whether the energy management system has been implemented long enough to ascertain that it operates properly. The preliminary audit may be combined with audits of other management sys­tems. > management responsibility for the client’s policies. However. The stage 2 audit includes at least the following: > information and evidence related to conformity to all requirements in the applicable management system standard. According to the CCE. > monitoring. The place where the preliminary audit is to be performed can be determined in consultation with the organization. In any case an internal audit. competence of personnel. policy. > the client’s management system and its performance with regard to legal compliance. > internal audit and management review. If parts of the preliminary audit are combined. applicable legislation and regulations. the time for an on-site audit is out of proportion with the total time required. very small organizations) it may not be necessary to perform the on-site visit in stage 1 (preliminary audit).e. operations. assessment and reporting against key objectives and targets (consistent with the expectations in the applicable management system standard or other normative document). The stage 2 audit is performed at the site of the client.3 stage 2 (initial certification audit) (ISO 17021 section 9. must have been performed for all important energy users and organizational elements. that it is clear how internal audits are implemented (for example in planning. programme and composing the audit team). The organization must demonstrate that it has procedures for performing internal audits and that they work properly.3.3. 4. Annex 3 has a list of documents important for the preliminary audit. The internal audits are one way to measure this. the various elements of the preliminary audit must still be performed under any alternative setup of the preliminary audit. procedures. data about performance and internal audit findings and conclusions. In a combined audit as well. The results of the internal audits must show that a process of improvement has been started and that the results are included in the management review. > operational control of the client’s processes. and an alternative plan may be considered. In certain cases (for example. the report must clearly indicate all the aspects relevant to the environmental management system.1).2. i.

6. they can use the EMAS verification system.4 Initial certification audit conclusions and initial certification (ISO 17021 sections 9.5) The audit team shall analyze all information and evidence gathered during the stage 1 and 2 audits.3. > a recommendation about whether or not to grant the certificate. More and more. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 34 . > A review of the comprehensiveness and reliability of the measurement and recording system. environmental information is being requested in aggregate form. it does mean that: > > > during the certification audit random checks will be performed for a number of important energy users to determine how and under what circumstances the measuring and recording are performed. including an investigation of the implementation of the energy > management system on the work floor (among other things by conducting interviews). > confirmation of the information provided by the client in the application. however. audit evidence. to assess the audit findings and establish conclusions of the audit. the corrections and corrective actions taken by the client. 4. > An inspection of the site. evaluation will be made of how reports made in the framework of agreements with the authorities are created. together with any conditions and observations. since these have only been evaluated on a random basis. and in this sense lend a positive value to the information generated using the energy management system. the procedures for processing the measuring and recording data and.2. Thus the information-processing system is being evaluated. An ISO 50001 certificate is not.1). If a certified organization wishes to have a statement about the quality of the environmental information provided. An ISO 50001 certificate means that various elements have been evaluated which are important for generating reliable environmental information. The CCE expects that besides the points mentioned in the ISO 17021 the certification audit also will include: > An interview with the management responsible for the site. for example in a legally required environmental annual report or emissions-trading report in electronic form.4 and 9. Spot checks to assess requirements in legislation and regulations within the elements of the energy management system which are being evaluated. nonconformities (and resolutions) of stages 1 and 2. for example. adapting them into energy information will be evaluated. The certification audit must focus on the monitoring and measuring procedures necessary to trace compliance with the energy objectives and targets (ISO 50001 section 4. the audit team must provide the CB with at least the following information: > the audit reports including the findings.Legislation and regulations usually include obligations to report. if the systems allow for the report to be reproducible and if the energy- related information can be compared to previous and future periods. where applicable. Although this does not mean that figures must be evaluated separately. In making a decision on certification. > comments on nonconformities and. a value judgement about the reliability of individual measurements. and not primarily the individual figures.2. if appropriate.

4. The programme for the surveillance audits will include at least the following subjects: > the internal audit and management review. > effectiveness of the management system in relation to the client’s objectives. > requesting the client for documents and records (paper or electronic).3. Other surveillance activities can be: > enquiring the certified client on aspects of certification.1) The CB shall develop its surveillance activities so that all representative activities and functions within the scope of the management system are assessed on a regular basis. > reviewing of any changes.4. The date of the first surveillance audit after initial certification shall not be performed later than 12 months from the last day of the stage 2 audit. > use of identifying marks or other references to the certificate. > checking actions related to nonconformities from the previous audit. > continuing operational control.1 General (ISO 17021 section 9. and > all other means of monitoring the client’s performance. As a minimum. > complaint handling.3) 4. Surveillance audits are performed at least once a year.2 Surveillance audit (ISO 17021 section 9. > reviewing the client’s communications regarding its activities (for example. Changes to the client organization and its management system will be taken into account. but are not necessarily full system audits and shall be planned along with other surveillance activities so that the CB maintains confidence that the certified system remains continually in compliance with the requirements. > progress of the activities planned aimed at continual improvement.The CB takes its certification decision on the basis of an evaluation of the audit findings and conclusions and all other relevant information (such as public information and the client’s response to the audit report).4.2) Surveillance audits are performed on the site of the client.3. promotional materials.4 Surveillance activities (ISO 17021 section 9. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 35 . website). surveillance activities consist of on-site audits in which the client’s management system is assessed as to compliance with specific requirements from the ISO 50001 standard. 4.

4. to ensure confidence in the certificate. 4. However. and includes the review of the reports of previous surveillance audits.3) The CB shall maintain certification if the client has proved continual compliance with the requirements in the standard. this must not jeopardize the quality and depth of the audit.5.1) The purpose of the recertification audit is to confirm that the requirements of the standard are continually being met. including monitoring of the auditors’ reports. provided that: > the CB has a system in which the audit team leader shall report to the CB about the necessity to begin an independent decision-making procedure for every nonconformity or other situation that could lead to suspension or withdrawal of the certificate.4.4) 4. the client or the context in which the management system is operating (such as changes in legislation). a stage 1 audit (preliminary audit) may be necessary for recertification audit activities. without an additional independent decision-making procedure. the management system is effective and is applicable to the scope of the certificate. In the case of multiple sites or certification of a management system for multiple standards by the same CB. care should be taken in planning the audit for an adequate coverage of audits over the sites.1 Recertification audit planning (ISO 17021 section 9. Surveillance audits can be combined with audits of other management systems. > the functioning of procedures related to the communications with interested third parties. > an interview with the person(s) responsible for the site’s management system. The decision can be based on a positive conclusion by the audit team leader. The recertification audit assesses the performance of the management system during the entire period of certification. In situations where significant changes have been made in the management system. 4. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 36 .5 Recertification (ISO 17021 section 9. In a combined audit. the report must clearly indicate all the aspects relevant to the energy management system. to confirm that the certification activity is operating effectively. > the functioning of procedures for periodically evaluating and assessing compliance with legislation and regulations (including correspondence with government authorities).The CCE expects the following points to be given attention in a surveillance audit: > the consequences of changes to the scope of the energy management system.3 Maintaining certification (ISO 17021 section 9.3. > competent personnel of the CB monitor the surveillance activities.

3) The CB shall base decisions about renewing the certificate on the results of the recertification audit. the CB must determine what audit activities are necessary. > Demonstrated commitment to maintaining and improving the effectiveness of the management system in order to enhance the performance of the whole. investigating changes and as the result of suspensions. The CB can sometimes make a judgement by requesting the relevant information. A CB must perform an additional interim audit if: > it has been informed of a renewal decision taken by the competent authority (formulated in an official or administrative letter) in which the authorities have identified exceedances or violations of important environmental requirements. If nonconformities or a lack of evidence for conformity are identified during a recertification audit. An interim audit does not always have to be performed at the site of the certified organization. > Short-notice audits can be planned in connection with the handling of complaints. These activities can be combined with a surveillance audit. in the light of internal and external changes and the continued relevance and applicability within the scope of the certificate. > there are other signals which give the CB reason to doubt the proper functioning of the energy management system. > The contribution of the certified management system to the achievement of the organization’s policy and objectives. These measures must have been implemented before the certificate expires.2 Recertification audit (ISO 17021 section 9. the CB shall set a time limit for modification or taking corrective measures. Based on the application. 4.3 Information for renewing the certificate (ISO 17021 section 9.4.2) The recertification audit includes an on-site audit addressing at least the following: > The effectiveness of the management system as a whole.4. as well as on the results of the review of the system during the certification period and on complaints from users of the certificate.5) The following interim audits can be distinguished: > Audits resulting from an application for expansion of the scope by an organization with an existing certificate. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 37 . The conditions for these audits will be explained to the client beforehand.5.5.6 Special audits (ISO 17021 section 9. using the application as a basis.4. 4.

the certificate for the client’s management system is temporarily invalid. > the client does not allow surveillance audits and re-audits to be conducted at the required times.6) The CB must have a policy and documented procedures for suspending. The CB must have enforceable agreements with the client that the client will not use the certificate for promotional purposes during the period of suspension and after withdrawal. for example: > the client’s management system persistently or essentially does not meet the requirements. and/or if there has been a suspension. The results of the internal audits must also be available for the management review. According to the CCE. withdrawing or reducing the scope of certification. The aspects of the energy management system related to compliance with legislation and regulations and the continual improvement of energy performance are essential. The CB must supply information to every party requesting it about the status of a certificate. withdrawal or reduction of the scope.7 Suspension. in which the CB’s sequence of actions is specified.4. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 38 . In most cases this period will not be longer than six months. In a suspension. the internal audit system must have been implemented in such a way that the degree of implementation of the energy management system can be assessed based on the internal audit reports. withdrawal or reducing the scope of certification (ISO 17021 section 9. including the requirements for effectiveness of the management system. Failure to remedy the cause must result in withdrawal of the certificate. The CCE has worked out the way in which these aspects must be dealt with in the assessment in more detail. The CB will make an overview of suspended certificates accessible to the public. The CB must suspend a certificate if. The CB must set the period of time in which the cause of the suspension must be remedied. > the client voluntarily requests a suspension.

> documentation of the certification decisions. The CB must keep the records in such a way that confidentiality is maintained.4. > certification documents including the scope of certification. The description of this process shall be made accessible to the public. insofar as applicable. > The decision about the appeal must be taken or approved by a person or group not involved with its handling. The records will be kept for the duration of the current audit cycle plus one complete audit cycle. > information about complaints and appeals and subsequent correction/corrective actions. The following apply with regard to the process for handling appeals: > The persons involved with handling appeals must not have been involved in the audit or the decision making. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 39 . > justification for determining time schedules. surveillance and recertification audits. evaluating and making decisions about appeals.8 Appeals (ISO 17021 section 9. > The CB shall acknowledge receipt of the appeal and keep the submitting party informed of the progress and outcome. The records of certified clients must consist of at least: > application by the client and reports of the initial.7) The CB shall have a documented process for receiving. > certification agreement. 4.9) The CB shall maintain records about the audits and other certification activities of all its certified clients and clients for whom certificates have been suspended or withdrawn. > related documents necessary to support confidence in the certificate such as the competence of auditors and technical experts.9 Records of applicants and certificate holders (ISO 17021 section 9. > There must not be any discriminatory actions in handling the appeal against the party submitting an appeal. > committee deliberations and decisions. > verification of correction and corrective actions. > justification of the methods used for sampling.

N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 40 . > A plan in which the concept of continual improvement is made tangible. > The evaluation of the organization’s energy use and where improvements can be made. > A summary of the correspondence with the competent authorities. An index showing which parts of the documentation refer to specific requirements of the ISO 50001 standard is appreciated. and other agreements with the authorities to which the organization subscribes (such as for example. > The reports of the management review. > A record of consumption. covenants).annex 1 Documents for the preliminary (phase 1) audit The organization to be certified is expected to have the following documents available for the preliminary audit: > The document describing the current procedures. > A description of the company’s processes on the site. on the basis of which an assessment can be made of the extent to which the regula­tions in the licence are being complied with. > The most important regulations in the licence. and an analysis of the energy consumption and energy use for its different operations. > A list of the relevant legislative and regulatory requirements. > The reports of the internal audits.

An assessment of whether the organization must be considered ‘complex’ is part of the contract review. systems and processes and the use of energy from public grids. Table 1 indicates sectors for which the above characteristics generally apply. Organizations in the ‘standard’ category are operating in sectors where energy consumption is determined by more or less standard facilities.annex 2 Determining competence for ISO 50001 certification Definition of technical area The certification of energy management systems is based on two ‘technical areas’: > Standard > Complex. > Processes with specific technological solutions or complex combinations of different technologies from the energy perspective (such as in the processing industry). A ‘complex’ organization’s energy consumption is determined by one or more of the following characteristics: > Energy consumption directly linked to control of the primary process. a dairy or chemical company that only ‘mixes and stirs’). those with a high energy consumption combined with the use of more than three energy types). N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 41 . These organizations must be treated as ‘complex’ when determining time schedules and qualifications of personnel. > Substantial use of primary energy (not including natural gas from the public grid. equipment. Organizations in sectors characterized as ‘complex’ but not meeting the criteria for it can therefore be treated as ‘standard’ (for example. Organizations operating in sectors which must be classified as ‘complex’ can also be included in the ‘standard’ category (for example.

20 Mining of metal ores 3 10. paper and paperboard 10 19.Table 1: sectors in the category ‘complex’ I A F .11 Manufacture of electronic components (semi-conductor) 15 23. 10.50 cement) 17 24.46 Processing of nuclear fuel (Smelting and refining of uranium) 12 20. starch.x Manufacture of basic pharmaceutical products and pharmaceutical preparations 19 26. Clay building materials and 23.I D 1 number N AC E .30 and Manufacture of other non-metallic mineral products (Glass.x Manufacture of basic metals 25 35. 2 Statistical classification of economic activities in the European Community 2008. ISBN 978-92-79-04741-1 / ISSN 1977-0375 N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 42 .62 10.20 Manufacture of coke.12 Manufacture of pulp.code S ector R e v.10 and 07.13 Manufacture of other inorganic basic chemicals (Enrichment of uranium) 13 21. beer and 11. sugar.11 and 17. refined petroleum products 11 24.10 and 23.x Manufacture of chemicals and chemical products 20.5 7 17. 2 * 2 07.81 Manufacture of dairy products.5.11 Production of electricity * Eurostat: NACE Ref.10 and 19.

Annex 2. 10 and 11 are related to knowledge and skills not specific to certifying energy management systems. energy monitoring and reporting X X 5 Knowledge of client’s business sector* Theoretical background with regard to energy management Process flows with regard to energy X Optimization technologies within process and operations X Energy metering and monitoring X N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 43 . o = other positions) S U BJ E CT DE F I N I T I O N/S PECI FICATION STAN DAR D COM PLEX 3 Knowledge of specific management system standards and management practices Standards ISO 50001 oX X EA-7/04 (Legal Compliance as part of Accredited ISO 14001: X X o o 2004 certification) EA-7/05 (Application of ISO/IEC 17021:2006 for Combined Audits) IAF MD 1: 2007 (Certification of multiple sites based on sampling) o o IAF MD 5: 2009 (Duration of QMS and EMS audits) o o Thermodynamic principles X X Energy balance. 9.Competence of personnel Table 2 indicates the areas of knowledge and skills that must be available for the functions involved in certification. 4. 8. practices and Auditteam leader + + + ++ ++ + + ++ ++ techniques 3 Knowledge of specific management system standards/normative documents 4 Knowledge of certification body’s processes + + + + 5 Knowledge of client’s business sector + + ++ ++ 6 Knowledge of client’s products. processes and + + + + + Note-taking and report-writing skills + + organization 7 Language skills appropriate to all levels within the client organization 8 9 Presentation skills + ++ 10 Interviewing skills + + 11 Audit-management skills + ++ Elements 1. 7. The criteria used by the CB are followed for these points. Table 3: Knowledge and skills specific to ISO 50001 certification (X= auditor and lead auditor. 2. table 2: Overview of knowledge and skills by position (ISO 17021 Annex A) + and ++ indicate limited or extensive knowledge required A pplication R e v ie w er and Auditor re v ie w er / planner decision ma k er 1 Knowledge of business management practices 2 Knowledge of audit principles.

hot water equipment Compressed air Pumps Standard production processes Standard machines/processes (material processing . welding. etc. temperature control. in boilers. unit operations and technologies in oX the sector Knowledge of key energy aspects within the sector.g. heat pumps. processes. heat recovery. it is not necessary for officials involved in certifying organizations in the ‘standard‘ category to have knowledge or experience in that particular sector. drying and cooling installations) Integrated process installations X Energy generation and Use of sustainable energy such as solar. options for Lighting improvement) Electricity consumption of office equipment (computers. consumption X X X X options for improvement) Internal transport Energy consumption of Electricity and fuel use (e. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 44 . bio energy and terrestrial heat Co-generation plants X 6 Knowledge of the client’s products. regulations and other relevant requirements directly applicable to the industry sector oX (if any) * general knowledge relevant for all sectors ** knowledge by sector (NACE codes specified in table 1) It is assumed that organizations in the category of ‘standard ‘ technological principles have comparable energy users. This does not apply to organizations considered ‘complex’ and operating in sectors such as those listed in table 1. state of the art. Thus.machining. bad energy performance or practice in the sector X Knowledge of energy metering. processes and organization Knowledge of the typical physical operating environment. etc. incinerators) production-supporting Generation and use of steam. ventilation. measurement and monitoring techniques (if specific for the sector) X Specific legislation. trucks) and fuel X X technologies.) X X Transport-related (applied Means of transport (cars. insulation. state of the art. cooling. efficiency oX and performance Basic knowledge of energy related Best Available Technology and equipment within sector X Ability to identify good vs. automatic (applied technologies. including: specific energy sources.Legal and other requirements General Provisions Act (Wabo) oX oX X X X X regarding energy management Activities Decree CO2 and NOx emissions trading Long-term energy-efficiency agreements Long-term emissions/energy covenant (‘Mee’) Building -related energy users Heating. kilns. copiers. energy use. heating and cooling X conversion storage. public transport conversion.

The number of years is a guideline. These may be experts familiar with the energy consumption of the facilities. Meeting the competence requirements will determine eligibility. A CB must have a written analysis of the additional competence needed for the audit team for the sectors in the ‘complex’ category in which it intends to work. > Feedback from third parties (customers. They are not authorized to perform an audit independently. Use of documents SCCM expects that the education and experience of ISO 50001 auditors gives them an intellectual and professional level at least equivalent to having completed Dutch ‘higher professional education’. Evaluating competence Annex B of the ISO 17021 describes a number of possible ways to evaluate competence: > Assessing documents (diplomas. references). practical case studies). ISO 50001 auditors not yet qualified as auditors of management systems need five years’ work experience to qualify. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 45 . > External experts may be brought in to provide the audit team with specific knowledge to evaluate organizations in the ‘complex’ category. Personnel qualified for the ‘standard’ category can perform certification work for any organization in a ‘standard’ sector. no sector-specific knowledge or work experience is required for this category. Exceptions to the above rules for work experience can be made if an auditor is demonstrably qualified.Competence of the audit team Table 3 specifies subjects about which the audit team must have knowledge. oral. The following principles apply: > All ISO 50001 auditors must have the general knowledge specified in the ‘standard’ column in table 3. audit reports). > Tests (written. > Observations. The number of years necessary can be reduced by a maximum of one year if a relevant post-secondary continuing-education course has been taken. colleagues. systems and processes of the organization to be certified. > Interviews. The CB must establish that this is the case. Auditors already qualified for ISO 14001 will generally have much of this knowledge. According to SCCM. In other words. work experience. > The audit team may consist of one person. SCCM expects that an ISO 14001 auditor (with or without experience as a management system auditor) needs a minimum of two years of work experience in positions where they have gained experience relevant to evaluating environmental and/or energy management systems. equipment. an auditor cannot build up competence without having relevant work experience.

Having a particular degree (such as a master’s or bachelor’s degree in energy management) can demonstrate that one or more of the standard competence criteria has been met. A prospective ISO 50001 auditor who is already qualified as a management system auditor for ISO 9001 and/or ISO 14001 must be observed for at least two ISO 50001 audits with a total duration of at least four work days. These audits do not necessarily have to be done as part of a certification procedure. A CB must then demonstrate to what extent the various competences are included in the curriculum of that degree programme. Supervision does not mean continuous supervision. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 46 . The audit team leader determines to what degree the auditor performs elements of the audit independently. Observations on qualification To determine the competence of an ISO 50001 auditor. During these audits the auditor must be supervised by an experienced and qualified auditor. he or she must be observed during at least four ISO 50001 audits with a total duration of at least ten work days. During these audits the auditor must be supervised by an experienced and qualified auditor. The CCE can make pronouncements in the future about the use of well-known programmes in demonstrating competences. with final responsibility resting with the audit team leader. The observations must take place within a period of three years.

5 Openness 4.annex 3 Table of Contents of NEN-EN-ISO/IEC 17021:2011 Conformity assessment .7 Responsiveness to complaints 5 General requirements 5.1 Organizational structure and top management 6.1 General 4.2 Personnel involved in the certification activities 7.3 Use of individual external auditors and external technical experts 7.5 Outsourcing Personnel records N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 47 .1 Competence of management and personnel 7.6 Confidentiality 4.4 Responsibility 4.3 Competence 4.1 Legal and contractual matters 5.2 Committee for safeguarding impartiality 7 Resource requirements 7.2 Impartiality 4.Requirements for bodies providing audit and certification of management systems 1 Scope 2 Normative references 3 Terms and definitions 4 Principles 4.4 7.2 Management of impartiality 5.3 Liability and financing 6 Structural requirements 6.

6 Suspending.5 Confidentiality 8.2 Initial audit and certification 9.9 Records of applicants and clients 10 Management system requirements for certification bodies 10.3 Option 2: General management system requirements Bibliography N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 48 .1 Options 10.3 Directory of certified clients 8.8 Complaints 9.6 Information exchange between a certification body and its clients 9 Process requirements 9.7 Appeals 9.2 Option 1: Management system requirements in accordance with ISO 9001 10.4 Recertification 8. withdrawing or reducing the scope of certification 9.4 Reference to certification and use of marks 8.5 Special audits 9.3 Surveillance activities 9.1 General requirements 9.2 Certification documents 8.8 Information requirements 8.1 Publicly accessible information 8.

nl > Accreditation Council for Accreditation www. Information from third parties Information about some subjects mentioned in the ISO 14001 certification scheme is available from the parties below. > background of the foundation and a list of names of the organizations and persons involved. The mentioned EA/IAF guidelines can be downloaded via the website of SCCM or the European co-operation for Accreditation. N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 49 . > information leaflets (with explanation of implementation of elements of the ISO 14001 standard).rva. about various subjects including: > background information about certification. > benefits and added value of ISO 14001 certification.nl) has more information including documents (downloadable).nl European co-operation for Accreditation www. > list of affiliated certification bodies.rvo.annex 4 Additional information Information from SCCM The SCCM website (www.sccm.nl. some in English. > case studies with questions and answers used at the auditor ‘harmonization’ meetings. > brochures from SCCM. > Best available technologies Rijksdienst voor Ondernemend Nederland www.nen. > list of certified companies (can be searched for in a database).european-accreditation.org The standards mentioned in this certification scheme can be ordered from NEN (Nederlands Normalisatie Instituut) in Delft. +31 (0)15-2690391 or www.

supervisors.sccm. Stichting Coördinatie Certificatie Milieu.nl www. organizations. Den Haag N 110 615 V e r s i o n o f 1 0 D e c e m b e r 201 3 Certi fication sch eme for en ergy management systems accordi ng to ISO 50001 | 50 . certification bodies and other interested parties.en arbomanagementsystemen PO Box 13507 2501 EM The Hague The Netherlands T +31 70 3623981 info@sccm.nl Uitgave SCCM. We are happy to help companies.Contact Please feel free to ask questions. consultants.