Definition of technical area
the certification of energy management systems is based on two ‘technical areas’:
> standard
> Complex.
organizations in the ‘standard’ category are operating in sectors where energy consumption is determined by more or less standard facilities, equipment, systems and processes and the use of energy from public grids.
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.
> Processes with specific technological solutions or complex combinations of different technologies from the energy perspective (such as in the processing industry).
> substantial use of primary energy (not including natural gas from the public grid.
table 1 indicates sectors for which the above characteristics generally apply. organizations operating in sectors which must be classified as ‘complex’ can also be included in the ‘standard’ category (for example, those with a high energy consumption combined with the use of more than three energy types).
organizations in sectors characterized as ‘complex’ but not meeting the criteria for it can therefore be treated as ‘standard’ (for example, a dairy or chemical company that only ‘mixes and stirs’).
an assessment of whether the organization must be considered ‘complex’ is part of the contract review.
these organizations must be treated as ‘complex’ when determining time schedules and qualifications of personnel.
table 1: sectors in the category ‘complex’
IAF-I D 1 N UMBER NACE-CODE REv. 2*
SECTOR
2 07.10 and 07.20 mining of metal ores
3 10.5, 10.62 10.81
and 11.5
manufacture of dairy products, starch, sugar, beer
7 17.11 and 17.12 manufacture of pulp, paper and paperboard 10 19.10 and 19.20 manufacture of coke, refined petroleum products
11 24.46 Processing of nuclear fuel (smelting and refining of uranium)
12 20.x manufacture of chemicals and chemical products
20.13 manufacture of other inorganic basic chemicals (enrichment of uranium)
13 21.x manufacture of basic pharmaceutical products and pharmaceutical preparations
19 26.11 manufacture of electronic components (semi-conductor)
15 23.10 and 23.30 and
23.50
manufacture of other non-metallic mineral products (glass, Clay building materials and cement)
17 24.x manufacture of basic metals
25 35.11 Production of electricity
* eurostat: naCe ref. 2 statistical classification of economic activities in the european Community 2008, isBn 978-92-79-04741-1 / issn 1977-0375
Competence of personnel
table 2 indicates the areas of knowledge and skills that must be available for the functions involved in certification.
annex 2, table 2: overview of knowledge and skills by position (iso 17021 annex a) + and ++ indicate limited or extensive knowledge required
APPLICATION
1 Knowledge of business management practices + +
2 Knowledge of audit principles, practices and 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 organization
+ + +
7 Language skills appropriate to all levels within the client organization
+ +
8 note-taking and report-writing skills + +
9 Presentation skills + ++
10 interviewing skills + +
11 audit-management skills + ++
elements 1, 2, 4, 7, 8, 9, 10 and 11 are related to knowledge and skills not specific to certifying energy management systems. 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, o = other positions)
SUBJECT DEFINITION/SPECIFICATION STANDARD COMPLEX
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:
2004 certification)
X X
ea-7/05 (application of iso/ieC 17021:2006 for Combined audits) o o 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
5 knowledge of client’s business sector*
theoretical background with regard to energy management
thermodynamic principles X X
energy balance, energy monitoring and reporting X X
Process flows with regard to energy X
optimization technologies within process and operations X
Legal and other requirements regarding energy management
general Provisions act (Wabo) activities decree
Co2 and nox emissions trading Long-term energy-efficiency agreements Long-term emissions/energy covenant (‘mee’)
oX oX
Building -related energy users (applied technologies, state of the art, options for improvement)
heating, cooling, ventilation, insulation, heat recovery, automatic temperature control, etc.
X X
Lighting X X
electricity consumption of office equipment (computers, copiers, etc.) X X transport-related (applied
technologies, state of the art, options for improvement)
means of transport (cars, public transport conversion, trucks) and fuel consumption
electricity and fuel use (e.g. in boilers, incinerators) generation and use of steam, hot water Compressed air
Pumps
X X
standard production processes standard machines/processes (material processing - machining, welding, kilns, drying and cooling installations)
X X
integrated process installations X
energy generation and conversion
Use of sustainable energy such as solar, heat pumps, heating and cooling storage, bio energy and terrestrial heat
X
Co-generation plants X
6 knowledge of the client’s products, processes and organization
Knowledge of the typical physical operating environment, processes, unit operations and technologies in the sector
oX
Knowledge of key energy aspects within the sector, including: specific energy sources, energy use, efficiency and performance
oX
Basic knowledge of energy related Best available technology and equipment within sector X
ability to identify good vs. bad energy performance or practice in the sector X
Knowledge of energy metering, measurement and monitoring techniques (if specific for the sector) X specific legislation, regulations and other relevant requirements directly applicable to the industry sector
(if any)
oX
* 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. thus, it is not necessary for officials involved in certifying organizations in the ‘standard‘
category to have knowledge or experience in that particular sector. this does not apply to organizations considered ‘complex’ and operating in sectors such as those listed in table 1.
Competence of the audit team
table 3 specifies subjects about which the audit team must have knowledge.
the following principles apply:
> all iso 50001 auditors must have the general knowledge specified in the ‘standard’ column in table 3.
auditors already qualified for iso 14001 will generally have much of this knowledge. the CB must establish that this is the case.
> external experts may be brought in to provide the audit team with specific knowledge to evaluate organizations in the ‘complex’ category. these may be experts familiar with the energy consumption of the facilities, equipment, systems and processes of the organization to be certified. they are not authorized to perform an audit independently.
> the audit team may consist of one person.
Personnel qualified for the ‘standard’ category can perform certification work for any organization in a
‘standard’ sector. in other words, no sector-specific knowledge or work experience is required for this category.
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.
Evaluating competence
annex B of the iso 17021 describes a number of possible ways to evaluate competence:
> assessing documents (diplomas, work experience, audit reports).
> feedback from third parties (customers, colleagues, references).
> interviews.
> observations.
> tests (written, oral, practical case studies).
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’.
according to sCCm, an auditor cannot build up competence without having relevant work experience.
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. iso 50001 auditors not yet qualified as auditors of management systems need five years’ work experience to qualify. 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. the number of years is a guideline. meeting the competence requirements will determine eligibility. exceptions to the above rules for work experience can be made if an auditor is demonstrably qualified.
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 CB must then demonstrate to what extent the various competences are included in the curriculum of that degree programme. the CCe can make pronouncements in the future about the use of well-known programmes in demonstrating competences.
Observations on qualification
to determine the competence of an iso 50001 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 observations must take place within a period of three years. these audits do not necessarily have to be done as part of a certification procedure.
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. during these audits the auditor must be supervised by an experienced and qualified auditor.
supervision does not mean continuous supervision. the audit team leader determines to what degree the auditor performs elements of the audit independently, with final responsibility resting with the audit team leader.