BS ISO 50003-2014 Energy management systems Requirements for bodies providing audit and certification of energy management systems《能源管理系统 能源管理体系审核和认证机构的要求》.pdf

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1、BSI Standards PublicationBS ISO 50003:2014Energy managementsystems Requirementsfor bodies providing auditand certification of energymanagement systemsBS ISO 50003:2014 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 50003:2014.The UK participation in its prepar

2、ation was entrusted to TechnicalCommittee SEM/1/1, Energy Management Systems and EnergyAudits.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are responsible

3、 for its correctapplication. The British Standards Institution 2014. Published by BSI Standards Limited 2014ISBN 978 0 580 76917 7ICS 27.010Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandards Policy a

4、nd Strategy Committee on 30 November 2014.Amendments issued since publicationDate Text affectedBS ISO 50003:2014 ISO 2014Energy management systems Requirements for bodies providing audit and certification of energy management systemsSystmes de management de lnergie Exigences pour les organismes proc

5、dant laudit et la certification de systmes de management de lnergieINTERNATIONAL STANDARDISO50003First edition2014-10-15Reference numberISO 50003:2014(E)BS ISO 50003:2014ISO 50003:2014(E)ii ISO 2014 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2014All rights reserved. Unless otherwise specifi

6、ed, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs

7、 member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 50003:2014ISO 50003:2014(E) ISO 2014 All rights reserved iiiContents PageForeword ivIntrod

8、uction v1 Scope . 12 Normative references 13 Terms and definitions . 14 Characteristics of energy management system auditing 25 Auditing process requirements 25.1 General . 25.2 Confirming the scope of certification 25.3 Determining audit time . 35.4 Multi-site sampling 35.5 Conducting audits . 35.6

9、 Audit report . 45.7 Initial certification audit . 45.8 Surveillance audit . 45.9 Recertification audit . 46 Competence requirements . 46.1 General . 46.2 General competence . 56.3 Technical competence . 5Annex A (normative) Duration of EnMS audits 8Annex B (normative) Multi-site sampling 12Annex C

10、(informative) Continual improvement of energy performance .17Bibliography .18BS ISO 50003:2014ISO 50003:2014(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is

11、 normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part

12、 in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particula

13、r the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).Attention is drawn to the possibility that some of the elements of this d

14、ocument may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso

15、.org/patents).Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO

16、 principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information.Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such pat

17、ent rights.ISO 50003 was prepared by Technical Committee ISO/TC 242, Energy management, in collaboration with the ISO Committee on conformity assessment (CASCO).iv ISO 2014 All rights reservedBS ISO 50003:2014ISO 50003:2014(E)IntroductionThis International Standard is intended to be used in conjunct

18、ion 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/IEC 17021:2011 and ISO/IEC 17021-1 are considered to be equivalent.

19、 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 Standard specifies requirements reflecting the specific technical

20、 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 process, the initial certification audit, conducting the on-site aud

21、it, 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 personnel involved in the EnMS certification process. Annexes A,

22、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 establish a systematic analysis of energy consumption and energy use

23、 and which are defined in ISO 50002. ISO 2014 All rights reserved vBS ISO 50003:2014BS ISO 50003:2014Energy management systems Requirements for bodies providing audit and certification of energy management systems1 ScopeThis International Standard specifies requirements for competence, consistency a

24、nd 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 involved in the certific

25、ation 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 Normative referencesThe following

26、 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 amendments) applies.ISO/IEC 17

27、021:20111), 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 in ISO 50001 and ISO/IEC 1

28、7021:2011 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 or branches (sites) of a

29、 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 requirements of an EnMSNote 1

30、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.INTERNATIONAL STANDARD ISO 50003:2014(E) ISO 2014 All rights reserved 1BS IS

31、O 50003:2014ISO 50003:2014(E)Note 2 to entry: EnMS effective 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 manageme

32、nt system3.5energy performance improvementimprovement in 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 o

33、f the management system to achieve the intended resultsNote 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 ass

34、ociated with the same requirements or issue could demonstrate 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 manageme

35、nt system auditingEnergy management systems enable an organization 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 specifie

36、d in ISO/IEC 17021:2011 for effective conformity assessment 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 organi

37、zation shall define the scope and boundaries of the EnMS; 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 t

38、o the EnMS. The scope may be an entire organization with 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.2 ISO 2014 All rights reservedBS ISO 50003:

39、2014ISO 50003:2014(E)5.3 Determining audit time5.3.1 Audit timeIn determining the audit time, the 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 ti

40、me at the organizations location, audit planning, document reviewing and audit reporting. The audit 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 s

41、tructure are such that reduction in audit duration can be justified, the certification body shall 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 adjustme

42、nt in time due to another certified management system shall not exceed a 20 % reduction.The audit 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 c

43、omplexity criteria, as defined in Annex A, is used as the basis for the calculation of the audit 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. T

44、he process for determining the number of EnMS effective personnel shall ensure the persons who actively 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

45、 part of the EnMS effective personnel.5.4 Multi-site samplingCertification of multi-sites based 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

46、related to energy performance which includes at a minimum: energy planning (all sections); operational 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. ISO 2014 All right

47、s reserved 3BS ISO 50003:2014ISO 50003:2014(E)5.6 Audit reportAn audit report shall include:a) scope and boundaries of the EnMS being audited;b) statement of achievement of continual improvement of the EnMS and energy performance improvement with audit evidence to support the statements.5.7 Initial

48、certification audit5.7.1 Stage 1 auditThe Stage 1 audit shall include the following:a) confirmation of scope and boundaries of the EnMS for certification;b) review of a graphical or narrative description of the organizations facilities, equipment, systems and processes for the identified scope and b

49、oundaries;c) confirmation of the number of EnMS effective personnel, energy sources, significant energy uses and annual energy consumption, 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 certification body shall gather the necessary audit evidence to determine whether or not energy per