GB/T 27309-2014 Requirements for Energy Management System Certification Bodies for Conformity Assessment GB/T27309-2014 Standard compression package decompression password: www.bzxz.net
This standard specifies the principles followed by energy management system certification bodies and the requirements for energy management system certification bodies, clarifies the competence, consistency and impartiality of energy management system audit and certification, the implementation and management requirements of certification-related activities, etc. This standard is applicable to accreditation, peer review or other audit processes as a criterion for implementation or evaluation.
This standard was drafted in accordance with the rules given in GB/T1.1-2009.
This standard was proposed and managed by the National Technical Committee for Certification and Accreditation of Standardization (SAC/TC261).
The drafting organizations of this standard are: China National Accreditation Service for Conformity Assessment, China National Certification and Accreditation Administration, Shenzhen Huace Testing Technology Co., Ltd., Beijing Samsung 9000 Certification Center, Fangyuan Mark Certification Group Co., Ltd., China Quality Certification Center, Shanghai Quality System Audit Center, China National Institute of Standardization, China Certification and Accreditation Association, Beijing Guojin Hengxin Management System Certification Co., Ltd., Beijing Zhongda Huayuan Certification Center, China Electricity Council (Beijing) Certification Center Co., Ltd., China Electronics Technology Standardization Institute Certification Center, Baosteel Co., Ltd.
The main drafters of this standard are: Li Yan, Wang Xiaoxia, Zhou Lu, Zhang Li, Liang Ping, Sun Chunyi, Pan Ying, Wang Gang, Zhou Ming, Qiao Liang, Du Jinping, Du Juan, Wang Geng, Pang Xiang, Wu Jing, Han Shuoxiang, Niu Dongbo, Zhang Yanxia, ​​Miao Jianya.
The following documents are indispensable for the application of this document. For any dated referenced document, only the dated version applies to this document. For any undated referenced document, its latest version (including all amendments) applies to this document.
GB/T2589—2008 General principles for comprehensive energy consumption calculation
GB/T23331—2012 Requirements for energy management systems
GB/T27000—2006 Conformity assessment vocabulary and general principles (ISO/IEC17000:2004, IDT)
ISO/IEC17021:2011 Conformity assessment—Requirements for bodies providing audit and certification of management
systems

ICS03.120.20
National Standard of the People's Republic of China
GB/T27309—2014
Conformity assessment
Requirements for bodies providing certification of energy management system
Conformity assessment--Reguirements for bodies providing certification of energy management system2014-09-03Issued
General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of ChinaStandardization Administration of the People's Republic of China
2014-10-01Implementation
Normative references
Terms and definitions
Impartiality
Openness
Confidentiality
Response to complaints
5General requirements
Legal and contractual matters
Management of impartiality
5 .3 Responsibility and financial resources
6 Structural requirements
6.1 Organizational structure and top management
6.2 Committee to maintain impartiality
7 Resource requirements
Competence of management and personnel
Personnel involved in certification activities
Use of external auditors and external technical experts7.3
Personnel records
8 Information requirements
Publicly available information
Certification documents
Directory of certified clients
References to certification qualifications and use of the logo
Information exchange between certification bodies and their clients 9 Process requirements
General requirements
Initial audit and certification
GB/T27309—2014
GB/T27309—2014
Supervision activities
Recertification
Special audit
Suspension, withdrawal or reduction of the scope of certification
9.7 Appeals
9.8 Complaints
9.9 Records of applicant organizations and clients
10 Management system requirements for certification bodies| |tt||Appendix A (Informative Appendix) Expected Results of Energy Management System Certification (from the Perspective of Stakeholders) Appendix B (Normative Appendix) Knowledge and Skills Required for Energy Management System Certification Appendix C (Normative Appendix)
Division of Technical Fields of Energy Management System Certification Appendix D (Normative Appendix)
Contents of Energy Management System Certification Documents
Appendix E (Normative Appendix) Minimum Audit Time of Energy Management System References
This standard was drafted in accordance with the rules given in GB/T1.1-2009. This standard was proposed and managed by the National Technical Committee for Certification and Accreditation of Standardization (SAC/TC261). GB/T27309—2014
The drafting organizations of this standard are: China National Accreditation Service for Conformity Assessment, China National Certification and Accreditation Administration, Shenzhen Huace Testing Technology Co., Ltd., Beijing Samsung Jiuqian Certification Center, Fangyuan Mark Certification Group Co., Ltd., China Quality Certification Center, Shanghai Quality System Audit Center, China National Institute of Standardization, China Certification and Accreditation Association, Beijing Guojin Hengxin Management System Certification Co., Ltd., Beijing Zhongda Huayuan Certification Center, China Electricity Council (Beijing) Certification Center Co., Ltd., China Electronics Technology Standardization Institute Certification Center, Baosteel Co., Ltd.
The main drafters of this standard are: Li Yan, Wang Xiaoxia, Zhou Lu, Zhang Li, Liang Ping, Sun Chunyi, Pan Ying, Wang Gang, Zhou Ming, Qiao Liang, Du Jinping, Du Juan, Wang Geng, Pang Xiang, Wu Jing, Han Shuoyang, Niu Dongbo, Zhang Yanxia, ​​Miao Jianya. GB/T27309—2014
If a certification body conducts activities for the purpose of energy management system audit and certification in accordance with GB/T23331—2012 "Energy Management System Requirements" and hopes to obtain recognition, it is necessary to add requirements and guidelines related to energy management system audit on the basis of ISO/IEC17021:2011 "Conformity Assessment Management System Certification Body Requirements". ISO/IEC170212011 "Conformity Assessment Management System Certification Body Requirements" is an international standard that proposes operating guidelines for organizations that implement management system certification. It stipulates the basic principles and requirements that management system certification bodies should follow in their operations.
This standard adds requirements and guidelines related to energy management system audits based on ISO/IEC17021:2011 "Requirements for Certification Bodies for Conformity Assessment Management Systems". It particularly stipulates specific requirements for energy management system certification and audits, such as the knowledge and skills that certification personnel should have, the management of certification-specific information, specific factors to be considered in audit planning, and the main contents of audit implementation and reporting, so that certification bodies have the ability to certify energy management systems and implement certification in a consistent and fair manner based on the actual activities and characteristics of customer energy management, thereby promoting stakeholders to recognize certification bodies and their energy management system certification results. Appendix A explains the expected results of energy management system certification from the perspective of stakeholders
Based on the requirements of 10/IEC17021:2011, and clarifies the specific requirements of energy management systems in this standard
based on the characteristics of energy management system certification.
This standard introduces the concept of "energy management system technical field", breaks through the division of the business scope of the traditional management system, highlights the characteristics of the energy management system that focuses on data and energy technology applications, and proposes the division principles of the energy management system technical field in view of the energy consumption and energy management characteristics of various economic activities. In view of the professional characteristics of energy management, it clearly stipulates the competence criteria of energy management system auditors from three aspects, and adds more professional requirements of energy management in the first part. This standard focuses on the application of relevant laws and regulations and standards for energy source management, highlights the ten quantities of energy management, energy market planning, energy network diagram, energy balance sheet, energy professional specialties such as energy planning, and clearly expresses the quantitative results of energy performance and verification methods in the certification documents (certification certificates) that express the certification results of the energy management system. In addition, this standard mainly seeks to be more in line with the objective laws of the audit process and more reasonable in determining the audit time. For example, in the relevant provisions of Appendix E audit time, the degree of complexity of energy factors in the field of energy management technology in the industry is mainly considered, and the method of calculating audit man-days for energy management is considered; in the case of multi-site certification of energy management systems, the complexity of the system is weakened, and the audit time for each site is calculated separately, considering the difference between the management activities of the sub-sites and the activities of a single site or a central functional organization. 1 Scope
Conformity Assessment Requirements for Energy Management System Certification Bodies GB/T27309—2014
This standard specifies the principles followed by energy management system certification bodies and the requirements for energy management system certification bodies, and clarifies the competence, consistency and fairness of energy management system audits and certifications, the implementation and management requirements of certification-related activities, etc. This standard applies to accreditation, peer review or other audit processes as a criterion for implementation or evaluation. 2 Normative References
The following documents are essential for the application of this document. For all dated references, only the dated version applies to this document. For any undated referenced documents, the latest version (including all amendments) shall apply to this document. GB/T2589-2008 General principles for comprehensive energy consumption calculation GB/T23331-2012 Energy management system requirements GB/T27000-2006 Vocabulary and general principles for conformity assessment (ISO/IEC17000:2004, IDT) ISO/IEC17021:2011 Requirements for conformity assessment management system certification bodies (Conformity assessment—Requirements for bodies providing audit and certification of management systems) 3 Terms and definitions
The terms and definitions defined in GB/T2589-2008, GB/T27000-2006 ISO/IEC17021:2011 and GB/T233312012 and the following terms and definitions shall apply to this document. For ease of use, some terms and definitions in GB/T2589-2008 are repeated below.
energy management system certificationEnergy management system certification
Third-party organizations independent of customers and users conduct audits to prove that the customer's energy management system continues to meet the requirements of relevant standards and can achieve its energy policies and goals. 3.2
energy management system certification bodyEnergy management system certification body
A body that audits and certifies the client's energy management system in accordance with the required energy management system standards and any required supplementary documents.
Energy management system technical fieldenergymanagementsystemtechnicalareaA field characterized by the commonalities of related energy facilities, equipment, systems and processes. 3.4bzxZ.net
Comprehensive energy consumptioncomprehensiveenergyconsumptionThe sum of the physical quantities of various energy actually consumed by an organization during the statistical reporting period, converted according to the prescribed calculation method and units. [GB/T2589-2008, Definition 3.5]
comprehensive energy consumption for unit output valueComprehensive energy consumption for unit output value
The ratio of comprehensive energy consumption to the total output value or industrial added value of the organization during the statistical reporting period. GB/T27309—2014
[GB/T25892008, definition 3.6]
The ratio of the comprehensive energy consumption for unit output of product to the output (workload, service volume) of the qualified product in the same period during the statistical reporting period.
[GB/T2589—2008. definition 3.7]
4 Principles
4.1 General
This clause shall comply with the requirements of 4.1 of ISO/IEC7021.20. 4.2 Fairness
This clause shall comply with the requirements of 4.2 of ISO/TEC17021:2011. 4.3 Capability
This clause shall comply with the requirements of 4.8 of ISO/IEC17021:2011. 4.4 Liability
This clause shall be in accordance with requirement 4.4 of ISO/IEC17021
Publicity
2011.
This clause shall be in accordance with requirement 4.5 of ISO/IEC17021.2011Confidentiality
This clause shall be in accordance with requirement 4.6 of ISO/IEC17021:2011. 4.7
Response to complaints
This clause shall be in accordance with requirement 4.7 of ISO/IEC021:2011General requirements
Legal and contractual matters
This clause shall be in accordance with requirement 5.1 of ISO/IEC17021:2011. 5.2 Management of impartiality
The following activities shall not be considered as consulting activities for the energy management system of the client: Preliminary visits for the energy management system audit, a
Service activities related to energy technology provided to the client; b)
Energy review activities provided to the client:
Open and general energy management system standard training courses provided to the client. d
Other situations shall be in accordance with 5.2 requirement of ISO/IEC17021:2011 2
5.3 Responsibility and financial resources
This clause shall be in accordance with 5.3 requirement of ISO/IEC17021:2011. 6 Structural requirements
Organizational structure and top management
This clause shall be in accordance with 6.1 requirement of ISO/IEC17021:2011. 6.2 Committee to maintain impartiality
This clause shall be in accordance with 6.2 requirement of ISO/IEC17021:2011. 7 Resource requirements
7.1 Competence of management and personnel
7.1.1 Overview
The knowledge and skills required for specific functions of energy management system certification are shown in Appendix B. In addition, this clause shall comply with the requirements of 7.1.1 of ISO/IEC17021:2011. 7.1.2 Determination of competence criteria
GB/T27309—2014
7.1.2.1 This standard divides the technical fields of energy management system according to the common characteristics with energy facilities, equipment, systems and processes (see Appendix C). The certification body shall determine the competence criteria applicable to each technical field. 7.1.2.2 The certification body shall have a documented process to determine the competence criteria of personnel involved in the management and implementation of audits and certifications, including but not limited to those who conduct application reviews to determine the required audit team competence, those who select audit team members and determine the audit time, those who review audit reports and make certification decisions, and those who audit and lead audit teams. Academic education, on-the-job training and work experience are the ways for personnel to acquire the required capabilities. Certification bodies should evaluate and verify the actual capabilities of various personnel, and should not replace the evaluation and verification of capabilities with the review of qualifications.
Note 1: Majors related to energy technology or management include but are not limited to power engineering, thermal energy and power engineering, energy engineering and automation, resource science and engineering, environmental science and engineering, wind energy and power engineering, mechanical design and manufacturing, mechatronics, automation, HVAC, refrigeration engineering, etc. Note 2: Majors similar to energy technology or management include but are not limited to metal materials engineering, metallurgical physical chemistry, mineral resources engineering, chemical engineering, polymer materials and engineering, applied chemistry, materials chemistry, wine engineering, fermentation engineering, etc. Note 3: Energy-related work experience includes work related to energy management and technology, such as energy planning and scientific research, energy conservation monitoring, energy conservation assessment, energy audit, clean production audit, energy conservation engineering design, energy conservation audit, and operation and management of energy facilities and equipment systems. 7.1.2.3 The output of this process shall be documented criteria for the required knowledge and skills necessary to effectively perform the audit and certification tasks to achieve the intended results. 7.1.3 Evaluation process
This clause shall be in accordance with 7.1.3 of ISO/IEC17021:2011. 7.1.4 Other considerations
This clause shall be in accordance with 7.1.4 of ISO/IEC17021:2011. 3
GB/T27309—2014
7.2 Personnel involved in certification activities
7.2.1 This clause shall be in accordance with 7.2.1 of ISO/IEC17021:2011. 7.2.2 This clause shall be in accordance with 7.2.2 of IS0/IEC17021:2011. 7.2.3 This clause shall be in accordance with the requirements of 7.2.3 of ISO/IEC17021:2011. 7.2.4 This clause shall be in accordance with the requirements of 7.2.4 of ISO/IEC17021:2011. 7.2.5 The certification body shall have a process to achieve and verify effective audits. The process shall ensure that the auditors and audit team leaders used have general audit knowledge and skills as well as the knowledge and skills required for audits in specific technical fields. Note: The specific knowledge and skills requirements for energy management system (EnMS) auditors should be a combination of the following three aspects. The certification body should determine the specific knowledge and skills required to implement audits in different technical fields based on the competence requirements of the audit activities. 1) Energy management technology: Mastering the knowledge and skills in this area enables the auditor to understand the basic situation of the client's energy management, so as to audit the energy management system and draw appropriate audit findings and conclusions: Energy evaluation technology: Mastering the knowledge and skills in this area enables the auditor to fully understand the client's energy use methods, processes and their current status during the audit process; Energy consumption facilities and equipment operation and maintenance technology: Mastering the knowledge and skills in this area enables the auditor to have a certain understanding of the client's process flow, energy consumption facilities and equipment and on-site operation during the audit process, and can evaluate the equipment and operation performance. This clause shall comply with the requirements of 7.2.6 of ISO/IEC17021:2011. 7.2.6
7.2.7 This clause shall comply with the requirements of 7.2.7 of ISO/IEC17021:2011. 7.2.8 This clause shall comply with the requirements of 7.2.8 of ISO/IEC17021:2011. 7.2.9 This clause shall be in accordance with 7.2.9 of ISO/IEC17021:2011. 7.2.10 This clause shall be in accordance with 7.2.10 of ISO/IEC17021:2011. 7.2.11 This clause shall be in accordance with 7.2.11 of ISO/IEC17021:2011. 7.2.12 This clause shall be in accordance with 7.2.12 of ISO/IEC17021:2011. 7.3 Use of external auditors and external technical experts This clause shall be in accordance with 7.3 of ISO/IEC17021:2011. 7.4 Personnel records
This clause shall comply with the requirements of 7.4 of ISO/EC17021:2011. 7.5 Outsourcing
This clause shall comply with the requirements of 7.5 of ISO/1EC17021:2011. 8 Information requirements
8.1 Publicly available information
This clause shall comply with the requirements of 8.1 of ISO/IEC17021:2011. 8.2 Certification documents
8.2.1 This clause shall comply with the requirements of 8.2.1 of ISO/IEC17021:2011. 8.2.2 This clause shall comply with the requirements of 8.2.2 of IS0/IEC17021:2011. 8.2.3 This clause shall comply with the requirements of 8.2.3 of ISO/IEC17021.2011. For specific requirements and examples of the content of energy management system certification documents, please refer to Appendix D. 4
8.3 Directory of certified clients
This clause shall comply with 8.3 of ISO/IEC17021:2011. 8.4 Reference to certification qualifications and use of the logoThis clause shall comply with 8.4 of ISO/IEC17021:2011. 8.5 Confidentiality
This clause shall comply with 8.5 of ISO/IEC17021:2011. 8.6 Information exchange between the certification body and its clients8.6.1 This clause shall comply with 8.6.1 of ISO/IEC17021:2011. 8.6.2 This clause shall comply with 8.6.2 of ISO/IEC17021:2011. GB/T27309—2014
8.6.3 Notification of changes to the client
The certification body shall make legally enforceable arrangements to ensure that the certified client promptly notifies the certification body of matters that may affect the ability of the energy management system to continue to meet the requirements of the certification standard, including (but not limited to) changes related to the following aspects: a) legal status, operating conditions, organizational status or ownership; organization and management (such as key management, decision-making or technical personnel); b)
Contact address and location:
Changes in the scope of the certified energy management system and the energy accounting boundary; major changes to the management system and processes.
9 Process requirements
General requirements
9.1.1 Audit program
9.1.1.1 This clause shall be in accordance with the requirements of 9.1.1.1 of ISO0/IEC17021:2011. 9.1.1.2 The audit program shall include two stages of initial audit, surveillance audit and recertification audit. The certification cycle is three years, starting from the initial certification or recertification decision.
9.1.1.3 The determination of the audit program and any subsequent adjustments shall take into account the size of the client organization, the scope and complexity of its energy management system, as well as the proven level of effectiveness of the energy management system and the results of previous audits. 9.1.1.4 This clause shall be in accordance with the requirements of 9.1.1.3 of ISO/IEC17021:2011. 9.1.1.5 The audit program shall:
Specify the needs for specific capabilities of the audit project, including professional capabilities in the technical fields involved, including: energy management, energy evaluation, energy management operation and maintenance related to the characteristics of energy-consuming equipment, facilities and systems of the client organization a
energy consumption equipment, facilities and systems;
b) Based on the coverage "scope" and "energy consumption accounting boundary" information described in the client's energy management system documents, confirm the "audit scope" and "energy consumption accounting boundary" for audit planning; including energy management activities based on sampling principles and on-site (multi-site) sampling plans. c
The certification body shall conduct a specific analysis of the client's energy management system, refer to Appendix B, effectively form an audit team and implement the audit. GB/T27309—2014
9.1.2 Audit plan
9.1.2.1 General
This clause shall be in accordance with the requirements of 9.1.2.1 of ISO/IEC17021:2011. 9.1.2.2 Determine the audit objectives, scope and criteria 9.1.2.2.1 The audit objectives shall be determined by the certification body. The audit scope and criteria, including any changes, shall be determined by the certification body after consultation with the client.
The audit objectives shall include:
9.1.2.2.2
Determine the conformity of the customer's energy management system or its parts with the audit criteria: a)
Evaluate the ability of the energy management system to ensure that the customer organization meets applicable laws, regulations and other requirements; b)
Verify the effects of key energy performance and continuous improvement; Evaluate the effectiveness of the energy management system in ensuring that the customer organization continuously achieves its specified objectives; d
When applicable, identify potential areas for improvement of the energy management system. e)
Note: Energy management system certification audit is not a compliance audit. 9.1.2.2.3The scope of the audit shall clearly indicate the content and boundaries of the audit, which may include: organizational and functional units or processes;
Energy consumption accounting boundaries;
Products (services), activities and processes (if any, including energy processing and conversion processes), etc. Audit criteria are the basis for determining conformity and should include: 9.1.2.2.4
GB/T23331-2012 "Energy Management System Requirements"; a)
Industry certification requirements for energy management systems: b)
Applicable laws, regulations and other requirements;
Customer's energy management system documents.
3 Prepare an audit plan
The audit plan should be consistent with the audit objectives and scope. The audit plan should at least include or reference: a) Audit objectives;
b) Audit criteria;
e) Audit scope;
d) The date and location of the proposed on-site audit activities (including visits to temporary locations when applicable); e) The expected time and duration of the on-site audit activities; The roles and responsibilities of the audit team members and those accompanying the audit team. The audit should focus on major energy-consuming equipment, facilities, systems and processes. Energy use and consumption should be understood by paying attention to relevant data, evaluating the identification and management of major energy use by the customer, arranging energy performance audits, and evaluating the planning, implementation and effectiveness of energy performance improvement activities.
Note: Information on the audit plan can be contained in more than one document. 9.1.3 Selection and assignment of audit team
9.1.3.1 This clause shall be in accordance with the requirements of 9.1.3.1 of ISO/IEC17021:2011. 9.1.3.2 This clause shall be in accordance with the requirements of 9.1.3.2 of ISO/IEC17021:2011. The knowledge and skills required for energy management system audits are shown in Appendix B, and the division of technical areas of energy management systems is shown in Appendix C. 9.1.3.3 This clause shall be in accordance with the requirements of 9.1.3.3 of ISO/IEC17021:2011. 6
9.1.3.4 This clause shall be in accordance with the requirements of 9.1.3.4 of ISO/IEC17021:2011. 9.1.3.5 This clause shall comply with the requirements of 9.1.3.5 of ISO/IEC17021:2011. 9.1.4 Determine the audit time
GB/T27309—2014
9.1.4.1 The certification body shall have a documented procedure for determining the audit time and determine the time required for planning and completing a complete and effective audit of its energy management system for each customer. The certification body shall record the determined time and its rationality. When determining the audit time, the certification body shall consider (but not limited to) the following aspects: a) the requirements of GB/T 23331;
the energy use and consumption levels associated with the organization's products, processes or activities; b)
the scale of the organization related to energy management, especially the number, scale and distribution of major energy uses; the complexity of the client's organization's energy management, such as: the type and quantity of energy, the number and complexity of priority energy use, the complexity of energy source processing and conversion, etc.;
the number of organizational sites and considerations for multiple sites, such as the number, size, distribution, e)
degree of energy consumption and energy management;
conditions of main energy-consuming processes and equipment and facilities; quantity of data related to energy management and statistical methods; technical and regulatory environment related to energy management; subcontracting of activities within the scope of the energy management system; i
maturity of the energy management system and proven performance of the previous energy management system; k)
results of previous audits;
whether it is a combined audit, joint audit or integrated audit. The minimum time for energy management system audits is shown in Appendix E. The certification body shall indicate the additional time and rationality based on the minimum audit time.
2This clause shall comply with the requirements of 9.1.4.2 of ISO/IEC17021:2011. 9.1.4.2
9.1.5 Sampling of multiple sites
9.1.5.1 Sites sampled from multiple sites
9.1.5.1.1 A multi-site client is an organization that has a defined central function to plan, control or manage activities related to energy consumption, and has a network of local offices or branches (i.e. sites) to implement (or partially implement) energy management activities. 9.1.5.1.2 If the energy management activities covered by the certification are carried out in a similar manner at different sites, and these activities are under the authorization and control of the client, the certification body may adopt appropriate procedures to sample these sites during the initial audit and subsequent surveillance and recertification audits.
Note: Carrying out activities in a similar manner means that the sites operate under the same energy management system, have similar energy use and energy consumption, the same type of production capacity, energy-using processes and equipment and facilities, and the main factors affecting energy performance such as site size, process, raw materials, product types, measurement methods, energy laws and regulations, and similar energy management levels. And each site is included in the client's energy management system internal audit plan and management review plan. 9.1.5.2 When the certification body conducts sampling audits on multiple sites of the client organization, it should have procedures: determine the appropriate sampling level and representative sites according to the specific conditions of the energy consumption systems in different sites, and indicate the rationality of the sampling a)
;
, on the premise that their products/services and energy-consuming equipment, facilities, and systems are roughly the same or similar, the sampling should also take into account the differences in energy data collection and aggregation modes, energy types, and energy consumption of the sub-sites; to ensure the rationality of such sampling, the certification body should identify the differences between sites to the greatest extent possible during the initial certification application review to determine the appropriate sampling method and level; d) In a certification cycle, the surveillance audit should cover all sites. 7
Tip: This standard content only shows part of the intercepted content of the complete standard. If you need the complete standard, please go to the top to download the complete standard document for free.