1、November 2016 English price group 13No part of this translation may be reproduced without prior permission ofDIN Deutsches Institut fr Normung e. V., Berlin. Beuth Verlag GmbH, 10772 Berlin, Germany,has the exclusive right of sale for German Standards (DIN-Normen).ICS 03.100.70; 03.120.20; 27.015!%v
2、.“2588311www.din.deDIN ISO 50003Energy management systems Requirements for bodies providing audit and certification of energy management systems (ISO 50003:2014),English translation of DIN ISO 50003:2016-11Energiemanagementsysteme Anforderungen an Stellen, die Energiemanagementsysteme auditieren und
3、 zertifizieren (ISO 50003:2014),Englische bersetzung von DIN ISO 50003:2016-11Systmes de management de lnergie Exigences pour les organismes procdant laudit et la certification de systmes de management de lnergie (ISO 50003:2014),Traduction anglaise de DIN ISO 50003:2016-11www.beuth.deDocument compr
4、ises 22 pagesDTranslation by DIN-Sprachendienst.In case of doubt, the German-language original shall be considered authoritative.11.16 Contents PageNational foreword 3Introduction 41 Scope . 52 Normative references 53 Terms and definitions . 54 Characteristics of energy management system auditing 65
5、 Auditing process requirements 65.1 General .65.2 Confirming the scope of certification 65.3 Determining audit time . 75.4 Multi-site sampling 75.5 Conducting audits . 75.6 Audit report . 85.7 Initial certification audit . 85.8 Surveillance audit . 85.9 Recertification audit . 86 Competence requirem
6、ents . 86.1 General . 86.2 General competence . 96.3 Technical competence . 9Annex A (normative) Duration of EnMS audits .12Annex B (normative) Multi-site sampling 16Annex C (informative) Continual improvement of energy performance .21Bibliography .22DIN ISO 50003:2016-11 2National Annex A (informat
7、ive) Bibliography 3A comma is used as the decimal marker. National foreword This standard (ISO 50003:2014) has been prepared by Technical Committee ISO/TC 242 “Energy management (Secretariat: ANSI, USA) in collaboration with ISO/CASCO, Committee on conformity assessment. The responsible German body
8、involved in its preparation was DIN-Normenausschuss Grundlagen des Umweltschutzes (DIN Standards Committee Principles of Environmental Protection), Working Committee NA 172-00-09 AA Energieeffizienz und Energiemanagement. The DIN Standards corresponding to the International Standards referred to in
9、this document are as follows: ISO/IEC 17021:2011 (replaced by ISO/IEC 17021-1:2015) DIN EN ISO/IEC 17021-1:2015-11 ISO 50001 DIN EN ISO 50001 IEC 60027 (all parts) DIN EN 60027 (all parts) National Annex NA (informative) Bibliography DIN EN ISO/IEC 17021-1:2015-11, Conformity assessment Requirements
10、 for bodies providing audit and certification of management systems Part 1: Requirements (ISO/IEC 17021-1:2015) DIN EN ISO 50001, Energy management systems Requirements with guidance for use DIN EN 60027 (all parts), Letter symbols to be used in electrical technology DIN ISO 50003:2016-11 3 Introduc
11、tionThis International Standard is intended to be used in conjunction with ISO/IEC 17021:2011. At the time of publication of this International Standard, ISO/IEC 17021:2011 is under revision and is to be cancelled by replaced by ISO/IEC 17021-1. For the purposes of this International Standard, ISO/I
12、EC 17021:2011 and ISO/IEC 17021-1 are considered to be equivalent. Upon publication of ISO/IEC 17021-1, all references in this International Standard to ISO/IEC 17021:2011 will be considered to be references to ISO/IEC 17021-1.In addition to the requirements of ISO/IEC 17021:2011, this International
13、 Standard specifies requirements reflecting the specific technical area of energy management systems (EnMS) that are needed to ensure the effectiveness of the audit and certification. In particular, this International Standard addresses the additional requirements necessary for the audit planning pr
14、ocess, the initial certification audit, conducting the on-site audit, auditor competence, duration of EnMS audits, and multi-site sampling.Clause 4 describes the characteristics of EnMS auditing, Clause 5 describes EnMS auditing process requirements and Clause 6 describes competence requirements for
15、 personnel involved in the EnMS certification process. Annexes A, B and C provide additional information to complement ISO/IEC 17021:2011. This International Standard deals with energy management system audits for certification purposes, but it does not deal with energy audits whose purpose is to es
16、tablish a systematic analysis of energy consumption and energy use and which are defined in ISO 50002.DIN ISO 50003:2016-11 4 Energy management systems Requirements for bodies providing audit and certification of energy management systems1 ScopeThis International Standard specifies requirements for
17、competence, consistency and impartiality in the auditing and certification of energy management systems (EnMS) for bodies providing these services. In order to ensure the effectiveness of EnMS auditing, this International Standard addresses the auditing process, competence requirements for personnel
18、 involved in the certification process for energy management systems, the duration of audits and multi-site sampling. This International Standard is intended to be used in conjunction with ISO/IEC 17021:2011. The requirements of ISO/IEC 17021:2011 also apply to this International Standard.2 Normativ
19、e referencesThe following referenced documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amend
20、ments) applies.ISO/IEC 17021:20111), Conformity assessment Requirements for bodies providing audit and certification of management systemsISO 50001, Energy management systems Requirements with guidance for use3 Terms and definitionsFor the purposes of this document, the terms and definitions given i
21、n ISO 50001 and ISO/IEC 17021:2011 and the following apply.3.1audit evidencerecords, statements of fact or other information which are relevant to the audit criteria and verifiableNote 1 to entry: Audit evidence can be qualitative or quantitative.3.2central officelocation or network of local offices
22、 or branches (sites) of a multi-site organization, at which EnMS activities are fully or partially planned, controlled or managedNote 1 to entry: The central office is not necessarily the headquarters or a single location.3.3EnMS effective personnelpeople who actively contribute to meeting the requi
23、rements of an EnMSNote 1 to entry: EnMS effective personnel contribute to the requirements of the EnMS within the scope and boundaries for establishing, implementing or maintaining energy performance improvements.1) To be revised by ISO/IEC 17021-1.DIN ISO 50003:2016-11 5 Note 2 to entry: EnMS effec
24、tive personnel impact energy performance or the effectiveness of the EnMS and may include contractors.Note 3 to entry: Annex A contains more information on EnMS effective personnel.3.4EnMS improvementimprovement in effectiveness of the management system3.5energy performance improvementimprovement in
25、 measurable results related to energy efficiency, energy use, or energy consumption compared to the energy baselineNote 1 to entry: Additional information can be found in Annex C.3.6major nonconformitynonconformity that affects the capability of the management system to achieve the intended resultsN
26、ote 1 to entry: Classifying nonconformities as major could be as follows: audit evidence that energy performance improvement was not achieved; a significant doubt that effective process control is in place; a number of minor nonconformities associated with the same requirements or issue could demons
27、trate a systemic failure and thus constitute a major nonconformity.3.7sitelocation with boundaries within which energy source(s), energy use(s) and energy performance are under the control of the organization4 Characteristics of energy management system auditingEnergy management systems enable an or
28、ganization to follow a systematic approach in achieving continual improvement of energy performance, including energy efficiency, energy use and energy consumption. This International Standard specifies additional requirements to those specified in ISO/IEC 17021:2011 for effective conformity assessm
29、ent audits of an EnMS.5 Auditing process requirements5.1 GeneralAll the requirements defined in ISO/IEC 17021:2011 and this International Standard shall be applied to the EnMS auditing process.5.2 Confirming the scope of certificationThe organization shall define the scope and boundaries of the EnMS
30、; however, the certification body shall confirm the suitability of the scope and boundaries at each audit.The scope of the certification shall define the boundaries of the EnMS including activities, facilities, processes and decisions related to the EnMS. The scope may be an entire organization with
31、 multi-site, a site within an organization, or a subset or subsets within a site such as a building, facility or process. When defining the boundaries, an organization shall not exclude energy sources.DIN ISO 50003:2016-11 6 5.3 Determining audit time5.3.1 Audit timeIn determining the audit time, th
32、e certification body shall include the following factors:a) energy sources;b) significant energy uses;c) energy consumption;d) the number of EnMS effective personnel.The audit time includes the on-site time at the organizations location, audit planning, document reviewing and audit reporting. The au
33、dit duration table provided in Annex A shall be used to determine audit duration. The calculation method of audit duration is described in Annex A. In cases where the actual processes and organizational structure are such that reduction in audit duration can be justified, the certification body shal
34、l provide the rationale for the decision and ensure that it is recorded.The audit duration may be reduced if the organization has integrated the EnMS with another certified management system. The adjustment in time due to another certified management system shall not exceed a 20 % reduction.The audi
35、t man days are based on eight hours per day. Adjustments may be required based on local, regional, or national legal requirements.5.3.2 EnMS effective personnelThe number of EnMS effective personnel and complexity criteria, as defined in Annex A, is used as the basis for the calculation of the audit
36、 duration. The certification body shall define and document a process for determining the number of EnMS effective personnel for the scope of the certification and for each audit in the audit programme. The process for determining the number of EnMS effective personnel shall ensure the persons who a
37、ctively contribute to meeting the requirements of the EnMS are included. When regulation requires personnel for operations and maintenance of the EnMS activities to be identified, those personnel shall be part of the EnMS effective personnel.5.4 Multi-site samplingCertification of multi-sites based
38、on sampling is allowed. The requirements of multi-site sampling as defined in Annex B shall be followed.5.5 Conducting auditsWhen conducting the audit, the auditor shall collect and verify audit evidence related to energy performance which includes at a minimum: energy planning (all sections); opera
39、tional control; monitoring measurement and analysis.When classifying nonconformities for ISO 50001, the definition of major nonconformity for EnMS (see 3.6) will be used by the auditor.DIN ISO 50003:2016-11 7 5.6 Audit reportAn audit report shall include:a) scope and boundaries of the EnMS being aud
40、ited;b) statement of achievement of continual improvement of the EnMS and energy performance improvement with audit evidence to support the statements.5.7 Initial certification audit5.7.1 Stage 1 auditThe Stage 1 audit shall include the following:a) confirmation of scope and boundaries of the EnMS f
41、or certification;b) review of a graphical or narrative description of the organizations facilities, equipment, systems and processes for the identified scope and boundaries;c) confirmation of the number of EnMS effective personnel, energy sources, significant energy uses and annual energy consumptio
42、n, in order to confirm the audit duration;d) review of the documented results of the energy planning process;e) review of a list of the energy performance improvement opportunities identified as well as the related objectives, targets and action plans.5.7.2 Stage 2 auditDuring the Stage 2 audit, the
43、 certification body shall gather the necessary audit evidence to determine whether or not energy performance improvement has been demonstrated prior to making a certification decision. Confirmation of energy performance improvement is required for granting the initial certification. Examples on how
44、an organization may demonstrate energy performance improvement are provided in Annex C.5.8 Surveillance auditDuring the surveillance audits, the certification body shall review the necessary audit evidence to determine whether or not continual energy performance improvement has been demonstrated.5.9
45、 Recertification auditDuring the recertification audit, the certification body shall review the necessary audit evidence to determine whether or not continual energy performance improvement has been demonstrated prior to making a recertification decision. The recertification audit shall also take in
46、to account any major change in facilities, equipment, systems or processes. Confirmation of continual energy performance improvement is required for granting the recertification.NOTE Energy performance improvement can be affected by changes in facilities, equipment, systems or processes, business ch
47、anges, or other conditions that result in a change or a need to change the energy baseline.6 Competence requirements6.1 GeneralThe competence requirements for the auditor(s) and personnel involved in the EnMS certification process are defined in 6.2 and 6.3.DIN ISO 50003:2016-11 8 6.2 General competenceAll personnel involved in the EnMS audit and certification activities shall have a level of competence that includes the generic competencies described in ISO/IEC 17021:2011 as well as the EnMS general knowledge described in Table 1 of this International Standard, where “X” indicates that th
