ANSI ASQ E14065-2007 Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition (T845E).pdf

1、 AMERICAN NATIONAL STANDARD Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition AMERICAN SOCIETY FOR QUALITY P.O. BOX 3005 MILWAUKEE, WI 53201-3005 ANSI/ISO E14065-2007AMERICAN NATIONAL STANDARD Greenhouse gases R

2、equirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition Approved as an American National Standard by: American Society for Quality August 17, 2007 American National Standards: An American National Standard implies a consensus of those

3、substantially concerned with is scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether he or she has approved the standar

4、d or not, from manufacturing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards are subject to periodic review and users are cautioned to obtain the latest edition. Caution Notice: This American National Standard may be revised or wit

5、hdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffirm, revise, or withdraw this standard no later than five years from the date of publication. Purchasers of American National Standards may receive current information on all standard

6、s by calling of writing the American National Standards Institute. ANSI/ISO E14065-2007iii 2007 by ASQCopyright Protection Notice for the ANSI/ISO E14065-2007 Standard.This standard is subject to copyright claims of ISO, ANSI, and ASQ. Not for resale. No part of this publication may be reproduced in

7、 any form, including an electronic retrieval system, without the prior written permission of ASQ. All requests pertaining to the ANSI/ISO E14065-2007Standard should be submitted to ASQ.Note: As used in this document, the term “International Standard” refers to the American National Standard adoption

8、 of this and other International Standards.ASQ will consider requests for change and information on the submittal of such requests regarding this Standard. All requests should be in writing to the attention of the Standards administrator at the address below.ASQ Mission: The American Society for Qua

9、lity advances individual and organizational performance excellence worldwide by providing opportunities for learning, quality improvement, and knowledge exchange.Published by:ANSI/ISO E14065-2007ivAlso available from ASQ Quality Press: Greenhouse gases Part 1: Specification with guidance at the orga

10、nization level for quantification and reporting of greenhouse gas emissions and removal ANSI/ISO/ASQ E14064-1:2006 Greenhouse gases Part 2: Specification with guidance at the project level for quantification, monitoring and reporting of greenhouse gas emission reductions or removal enhancements ANSI

11、/ISO/ASQ E14064-2:2006 Greenhouse gases Part 3: Specification with guidance for the validation and verification of greenhouse gas assertions ANSI/ISO/ASQ E14064-3:2006 Environmental labels and declarations Type III environmental declarations Principles and procedures ANSI/ISO 14025-2006(E) Environme

12、ntal management systems General guidelines on principles, systems and support techniques (e-standard) ANSI/ISO/ASQ E14004-2004 Environmental Management Quick and Easy: Creating an Effective ISO 14001 EMS in Half the Time Joe Kausek Effective Implementation of ISO 14001 Marilyn R. Block To request a

13、complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http:/www.qualitypress.asq.org. ANSI/ISO E14065-2007v(This page is intentionally left blank.) Contents Page1 Scope 12 Normative references 13 Terms and definitions 14 Principles 54.1 General . 54.2 I

14、mpartiality . 54.3 Competence . 54.4 Factual approach to decision making . 64.5 Openness . 64.6 Confidentiality . 65 General requirements 65.1 Legal status . 65.2 Legal and contractual matters . 65.3 Governance and management commitment . 65.4 Impartiality . 75.5 Liability and financing 86 Competenc

15、ies 86.1 Management and personnel . 86.2 Competencies of personnel . 86.3 Deployment of personnel . 96.4 Use of contracted validators or verifiers . 106.5 Personnel records . 116.6 Outsourcing . 117 Communication and records . 117.1 Information provided to a client or responsible party . 117.2 Commu

16、nication of responsibilities to a client or responsible party 127.3 Confidentiality . 127.4 Publicly accessible information . 127.5 Records 128 Validation or verification process 138.1 General . 138.2 Pre-engagement . 138.3 Approach 138.4 Validation or verification . 148.5 Review and issuance of val

17、idation or verification statement . 148.6 Records 148.7 Facts discovered after the validation or verification statement . 159 Appeals . 1510 Complaints . 15ANSI/ISO E14065-2007vii11 Special validations or verifications 1612 Management system 16Annex A (informative) Relationships between the applicat

18、ion of ISO 14065 and ISO 14064-1, ISO 14064-2 and ISO 14064-3 17Annex B (informative) Impartiality . 18Annex C (informative) Comparison of validation and verification process requirements of ISO 14065 and ISO 14064-3 . 22Annex D (informative) Example of management system documentation . 23Bibliograp

19、hy . 24ANSI/ISO E14065-2007viiiForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies(ISO member bodies). The work of preparing International Standards is normally carried out through ISOtechnical committees. Each member body intereste

20、d in a subject for which a technical committee has beenestablished has the right to be represented on that committee. International organizations, governmental andnon-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the InternationalElectrotechnical Commis

21、sion (IEC) on all matters of electrotechnical standardization.International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.The main task of technical committees is to prepare International Standards. Draft International Standardsadopted by the technical co

22、mmittees are circulated to the member bodies for voting. Publication as anInternational Standard requires approval by at least 75 % of the member bodies casting a vote.Attention is drawn to the possibility that some of the elements of this document may be the subject of patentrights. ISO shall not b

23、e held responsible for identifying any or all such patent rights.ISO 14065 was prepared by Technical Committee ISO/TC 207, Environmental management, in collaborationwith the ISO Committee on conformity assessment (CASCO).ANSI/ISO E14065-2007ixIntroductionClimate change has been identified as one of

24、the greatest challenges facing nations, governments, businessand citizens for the coming decades. Climate change has implications for both human and natural systems andcould lead to significant changes in resource use, production and economic activity. In response, international,regional, national a

25、nd local initiatives are being developed and implemented to limit greenhouse gas (GHG)concentrations in the Earths atmosphere. Such GHG initiatives rely on the quantification, monitoring, reportingand verification of GHG emissions and/or removals.The overall aim of GHG validation or verification act

26、ivities is to give confidence to all parties that rely upon aGHG assertion. The party making the GHG assertion is responsible for conformity with requirements of therelevant standard or GHG programme. The validation or verification body is responsible for completing anobjective assessment and provid

27、ing a validation or verification statement concerning the responsible partysGHG assertion based on evidence. This International Standard provides requirements for bodies thatundertake GHG validation or verification using ISO 14064-3 or other relevant standards or specifications. Itcontains a number

28、of principles that these bodies should be able to demonstrate and provides specificrequirements that reflect these principles. General requirements relate to matters such as legal and contractualarrangements, responsibilities, the management of impartiality, and issues of liability and financing. Sp

29、ecificrequirements include provisions related to structures, resource requirements and competencies, informationand records management, validation and verification processes, appeals, complaints and managementsystems.This International Standard provides GHG programme administrators, regulators and a

30、ccreditors with a basisfor assessing and recognizing the competence of validation and verification bodies. It can also be used in otherways, such as in peer assessment within groups of validation or of verification bodies or between such groups.Figure 1 and Annex A show relationships between the app

31、lication of this International Standard andISO 14064-1, ISO 14064-2 and ISO 14064-3.ANSI/ISO E14065-2007xANSI/ISO E14065-2007xi.viiiINTERNATIONAL STANDARD ANSI/ISO E14065-2007Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms o

32、f recognition1ScopeThis International Standard specifies principles and requirements for bodies that undertake validation orverification of greenhouse gas (GHG) assertions.It is GHG programme neutral. If a GHG programme is applicable, the requirements of that GHG programme areadditional to the requi

33、rements of this International Standard.2 Normative referencesThe following referenced documents are indispensable for the application of this document. For datedreferences, only the edition cited applies. For undated references, the latest edition of the referenced document(including any amendments)

34、 applies.ISO 14064-3:2006, Greenhouse gases Part 3: Specification with guidance for the validation and verificationof greenhouse gas assertions3 Terms and definitionsFor the purposes of this document, the following terms and definitions apply.3.1 Terms related to greenhouse gases3.1.1greenhouse gasG

35、HGgaseous constituent of the atmosphere, both natural and anthropogenic, that absorbs and emits radiation atspecific wavelengths within the spectrum of infrared radiation emitted by the Earths surface, the atmosphere,and cloudsNOTE GHGs include carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O

36、), hydrofluorocarbons (HFCs),perfluorocarbons (PFCs) and sulfur hexafluoride (SF6).ISO 14064-3:2006, definition 2.13.1.2greenhouse gas assertionfactual and objective declaration made by the responsible partyNOTE 1 The GHG assertion could be presented at a point in time or could cover a period of tim

37、e.NOTE 2 The GHG assertion provided by the responsible party should be clearly identifiable and capable of consistentevaluation or measurement against suitable criteria by a validator or verifier.NOTE 3 The GHG assertion could be provided in the form of a GHG report or GHG project plan.NOTE 4 Adapte

38、d from ISO 14064-3:2006, definition 2.11.13.1.3greenhouse gas consultancy servicesprovision of organization-specific or project-specific GHG quantification, GHG data monitoring or recording,GHG information system or internal auditing services, or training that supports a GHG assertion3.1.4greenhouse

39、 gas information systempolicies, processes and procedures to establish, manage and maintain GHG informationISO 14064-3:2006, definition 2.123.1.5greenhouse gas projectactivity or activities that alter the conditions identified in the baseline scenario which cause GHG emissionreductions or removal en

40、hancementsISO 14064-3:2006, definition 2.143.1.6greenhouse gas programmevoluntary or mandatory international, national or sub-national system or scheme that registers, accounts ormanages GHG emissions, removals, emission reductions or removal enhancements outside the organization orGHG projectISO 14

41、064-3:2006, definition 2.163.2 Terms related to people and organizations3.2.1clientorganization or person requesting validation or verificationNOTE The client could be the responsible party, the GHG programme administrator or other stakeholder.ISO 14064-3:2006, definition 2.273.2.2intended userindiv

42、idual or organization identified by those reporting GHG-related information as being the one who relies onthat information to make decisionsNOTE The intended user could be the client, the responsible party, GHG programme administrators, regulators, thefinancial community or other affected stakeholde

43、rs, such as local communities, government departments or non-governmental organizations.ISO 14064-3:2006, definition 2.263.2.3organizationcompany, corporation, firm, enterprise, authority or institution, or part or combination thereof, whetherincorporated or not, public or private, that has its own

44、functions and administrationISO 14064-3:2006, definition 2.233.2.4personnelpersons working with or on behalf of the validation or verification body3.2.5responsible partyperson or persons responsible for the provision of the GHG assertion and the supporting GHG informationANSI/ISO E14065-20072NOTE Th

45、e responsible party can be either individuals or representatives of an organization or project and can be the partywho engages the validator or verifier. The validator or verifier may be engaged by the client or by other parties, such as theGHG programme administrator.ISO 14064-3:2006, definition 2.

46、243.2.6technical expertperson who provides specific knowledge or expertise to the validation or verification teamNOTE 1 Specific knowledge or expertise is that which relates to the organization or project to be validated or verified, orrelevant language or culture.NOTE 2 A technical expert does not

47、act as a validator or verifier in the validation or verification team.NOTE 3 Adapted from ISO 19011:2002, definition 3.10.3.2.7top managementperson or group of people who directs and controls an organization at the highest levelISO 9000:2005, definition 3.2.73.3 Terms related to validation and verif

48、ication3.3.1validationsystematic, independent and documented process for the evaluation of a GHG assertion related to a GHGproject plan against agreed validation criteriaNOTE 1 In some cases, such as in first-party validations, independence can be demonstrated by the freedom fromresponsibility for t

49、he development of GHG data and information.NOTE 2 The content of a GHG project plan is described in ISO 14064-2:2006, 5.2.NOTE 3 Adapted from ISO 14064-3:2006, definition 2.32.3.3.2validatorcompetent and independent person or persons with responsibility for performing and reporting on the results ofa validationNOTE Adapted from ISO 14064-3:2006, definition 2.35.3.3.3validation or verification bodybody that performs validations or verifications of GHG assertions in accordance with this International St