1、 Error! Reference source not found.AMERICAN NATIONAL STANDARD ANSI/MSE 50028-2016 Superior Energy Performance Requirements for verification bodies for use in accreditation or other forms of recognition Secretariat: Georgia Tech Energy and Sustainability Services (GTESS) Approved an an American Natio
2、nal Standard on November 22, 2016 ANSI/MSE 50028-2016 iiAmerican National Standard Approval of an American National Standard requires review by the American National Standards Institute (ANSI) that the requirements for due process, consensus, and other criteria for approval have been met by the stan
3、dards developer. Consensus is established when, in the judgment of the ANSI Board of Standards Review, substantial agreement has been reached by directly and materially affected interests. Substantial agreement means much more than a simple majority, but not necessarily unanimity. Consensus requires
4、 that all views and objections be considered, and that a concerted effort be made towards their resolution. The use of American National Standards is completely voluntary; their existence does not in any respect preclude anyone, whether he has approved the standards or not, from manufacturing, marke
5、ting, purchasing, or using products, processes, or procedures not conforming to the standards. ANSI does not develop standards and will in no circumstances give an interpretation of any American National Standard. Moreover, no person shall have the right or authority to issue an interpretation of an
6、 American National Standard in the name of the American National Standards Institute. Requests for interpretations should be addressed to the secretariat or sponsor whose name appears on the title page of this standard. CAUTION NOTICE: This American National Standard may be revised or withdrawn at a
7、ny time. The procedures of the American National Standards Institute require that action be taken periodically to reaffirm, revise, or withdraw this standard. Users are cautioned to obtain the latest edition. Purchasers of American National Standards may receive current information on all standards
8、by calling or writing the American National Standards Institute. Published by Georgia Tech Energy and Sustainability Services Enterprise Innovation Institute 75 Fifth Street, N.W., Suite 300, Atlanta, GA 30332-0640 2016 Georgia Tech Research Corporation. All Rights Reserved. Copyright Protection Not
9、ice for the ANSI/MSE 50028-2016 Standard Standard Developer: Georgia Tech Energy and Sustainability Services (GTESS) Enterprise Innovation Institute Georgia Institute of Technology 75 Fifth Street, N.W. Suite 300 Atlanta, GA 30332-0640 770-605-4474 energyinnovate.gatech.edu www.energymanagementstand
10、ards.org PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be viewed but shall not be edited or printed. In downloading this file, parties therein the responsibility of not infringing Adobes licensing policy. GTESS accepts no liabi
11、lity in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF creation parameter were optimized for printing. Every care has been taken to ensure that the file is sui
12、table for use by our customers. ANSI/MSE 50028-2016 iiiTable of Contents Foreword . v Introduction . vi 1 Scope. 1 2 Additional normative references 1 3 Terms and definitions 1 4 General requirements 2 4.1 General 2 4.2 Confidentiality 2 4.3 Legal requirements 2 4.4 Conflict of interest . 3 5 Compet
13、ence of personnel . 3 6 Accreditation 4 7 Information requirements 4 7.1 Certificate information . 4 7.2 Certificate Conditions 4 7.3 Directory of certified clients 4 7.4 Information exchange between a VB and its clients 5 8 Pre-audit activities for certification and recertification . 5 8.1 General
14、5 8.2 Application review . 5 8.3 Audit program. 5 8.4 Audit time 5 8.5 Multi-site sampling . 5 8.6 Audit team selection and assignments . 5 8.7 Audit plan 6 9 Audit activities for certification and recertification 6 9.1 Stage 1 . 6 9.2 Stage 2 audit . 7 9.3 Initial certification and recertification
15、audit conclusions 8 9.4 Opening and closing meetings for certification and recertification audits . 9 9.5 Actions prior to making a decision 9 9.6 Recertification decision . 9 9.7 Audit report . 9 10 Audit activities after the certification and recertification 10 10.1 Effectiveness of corrections an
16、d corrective actions . 10 10.2 Notification of certification or recertification decisions 10 10.3 Additional audits 10 11 Surveillance audits 10 ANSI/MSE 50028-2016 iv12 Appeals . 10 13 Records on certified clients shall include the following 10 14 Management system requirements 10 Annex A (normativ
17、e) Audit Day Requirements . 11 A.1 Minimum Audit Day Requirements . 11 Annex B (normative) Multi-site Sampling 12 B.1 EnMS Sampling applied to SEP Certification 12 B.1.1 Multi-Site Sampling for ISO 50001 EnMS . 12 B.1.2 Surveillance audits 12 B.2 EnMS and Energy Performance Verification Sampling 13
18、B.3 Certificates for multi-site . 13 Annex C (normative) Certificate Conditions . 14 ANSI/MSE 50028-2016 vForeword The American National Standards Institute (ANSI) is a private, non-profit organization 501(c)(3) that administers and coordinates the U.S. voluntary standardization and conformity asses
19、sment system. ANSI is the official U.S. representative to the International Organization for Standardization (ISO). ANSI is a U.S. representative to the International Accreditation Forum (IAF), and, via the U.S. National Committee,represents the U.S. to the International Electrotechnical Commission
20、(IEC). ANSI is also the U.S. member of the Pacific Area Standards Congress (PASC) and the Pan American Standards Commission (COPANT). ANSI approval of a standard verifies the principles of openness and due process have been followed in the approval procedure and a consensus of those directly and mat
21、erially affected by the standards has been achieved. A Draft National Standard was circulated to the Georgia Tech Energy and Sustainability Services (GTESS) Consensus Board, consisting of a balanced group of materially affected interests and to those responding to the public announcements in ANSI St
22、andards Action. Approval of this Standard as an American National Standard requires acceptance by a minimum of 80 percent of the Consensus Board members casting a vote. ANSI/MSE 50028-2016, Superior Energy PerformanceRequirements for verification bodies for use in accreditation or other forms of rec
23、ognition, was developed by GTESS. No patent rights or requirements for specific equipment or services are included in this Standard. ANSI/MSE 50028-2016 addresses requirements for bodies performing Superior Energy Performance energy management system audit and certification and energy performance ve
24、rification. ANSI/MSE 50028-2016 contains three normative annexes (Annex A, Annex B, and Annex C) that provide requirements which are considered mandatory to this Standard. Submit formal requests for interpretations of ANSI/MSE 50028-2016 requirements to GTESS Standards Coordinators, Holly Grell-Lawe
25、 (holly.laweinnovate.gatech.edu) or Deann Desai (deann.desaigatech.edu), Georgia Tech Energy and Sustainability Services, Enterprise Innovation Institute, 75 Fifth Street, N. W., Suite 300, Atlanta, GA 30332-0640; Telephone: 770-605-4474; Web: www.energymanagementstandards.org. The GTESS Interpretat
26、ions Committee will review and determine disposition of each request. ANSI/MSE 50028-2016 has been developed with the assistance of the following cooperating organizations: 3M AdvanTek, Inc. American Council for an Energy-Efficient Economy ARCADIS U.S., Inc. Arkema Association of Energy Engineers (U
27、niversity of Florida, Department of Industrial and Systems Engineering) DEKRA Certification, Inc. DNV GL - Energy Dow Chemical TCO Energy PRO-USA Expo Energy b) Providing consultancy on developing or implementing the energy management system or energy performance improvements. 5 Competence of person
28、nel Competency for the VB personnel shall be demonstrated by use of personnel who hold a certification for the SEP Scheme through an ISO/IEC 17024 ANSI-accredited Personnel Certification Body. Table 5.1 defines the additional knowledge and skills not defined in ISO 50003 or ISO 17021-1. NOTE 1 Accre
29、dited Personnel Certification Bodies can be identified using the link: https:/www.ansi.org/Accreditation/credentialing/personnel-certification/Directory.aspx Table 5.1 Knowledge and SkillsKnowledge Conducting the application review to determine audit team competence required to select the audit team
30、 members and determine audit time Reviewing audit reports and making certification decisions SEP terminology X X General knowledge of SEP program and requirements X X General understanding of SEP performance levels X X Communication processes with SEP Administrator X X Interpretations X X For auditi
31、ng and leading the audit team, certified SEP LA is required. For conducting the performance verification, certified SEP PV is required. In initial certification and recertification audits, the personnel shall include a currently certified SEP PV and a SEP LA from an accredited Scheme for SEP through
32、 an ANSI ISO/IEC 17024 accredited program. NOTE 2 The SEP PV and the SEP LA can be one person with both certifications. In surveillance audits, personnel shall include a certified SEP LA. In special audits, the VB shall be responsible for determining appropriate competence of audit personnel. The VB
33、 shall maintain records of competency for SEP LAs and SEP PVs. Records shall include, for each member of the audit team, the audits performed, including their role in the activity. ANSI/MSE 50028-2016 4NOTE 3 Certification and certificate are distinct terms. A certificate reflects completion of a tr
34、aining and/or education program and accomplishment of intended learning outcomes. Certificates are issued for life or for a specific time period, and cannot be revoked, which means they do not require ongoing maintenance or renewal. A certification reflects attainment of established criteria for pro
35、ficiency or competency in a profession or occupation, and is granted upon an assessment of an individuals knowledge, skills, and abilities. Certification is valid for a specific time period. A certification program has ongoing requirements for maintaining proficiency or competency, and can be revoke
36、d if ongoing requirements are not met. 6 Accreditation Accreditation levels are offered in two parts: technical areas and performance levels. Technical areas are identified in ISO 50003. Performance levels are identified in the SEP Certification Protocol as: 1. Bronze and Silver, and 2. Gold and Pla
37、tinum If a VB is witnessed in an accreditation audit at the Gold or Platinum level, they may be granted accreditation for all four performance levels. However, if a VB is witnessed in an accreditation audit at the Bronze or Silver level, they may be granted accreditation only for the Bronze and Silv
38、er levels. A VB can only offer SEP certification services for the performance levels for which they are accredited. 7 Information requirements 7.1 Certificate information The SEP certificate, issued by the VB, shall include the level of performance achieved. The energy performance requirements are i
39、n the SEP Certification Protocol. NOTE Use of the SEP logo is addressed in the SEP Certification Protocol. 7.2 Certificate Conditions In order for SEP certification to be valid the following conditions must be met: The ISO 50001 certificate is valid The transition requirements of GTESS are met, as a
40、pplicable The client has implemented the GTESS Interpretations, as applicable The SEP scope and boundaries have not changed within the period of the SEP certification For additional discussion, see Annex C. 7.3 Directory of certified clients The SEP Administrator will review the certification applic
41、ations and provide them to the VB for review. The VB shall be responsible for providing data to the SEP Administrator necessary for the maintenance of the SEP certification database and related website information. The VB shall inform the SEP Administrator of certifications to SEP and any change in
42、certification status. ANSI/MSE 50028-2016 57.4 Information exchange between a VB and its clients The client is responsible for making necessary arrangements for access to energy performance data and records. Notices of changes by a client shall include suspension or withdrawal of ISO 50001 certifica
43、tion. 8 Pre-audit activities for certification and recertification 8.1 General The SEP Administrator receives the SEP Application and if a pre-approval is required, processes the pre-approval. The SEP Administrator shall forward the SEP Application and any pre-approvals to the VB. 8.2 Application re
44、view Before proceeding with the audit, the VB shall ensure as a part of the application review: uni2015 Energy information and data is sufficient for planning the audit; uni2015 Appropriate confidentiality issues have been addressed; uni2015 An appropriate SEP LA and SEP PV are available for the aud
45、it. 8.3 Audit program In the audit program, both the SEnPI performance verification and the SEP Scorecard verification are performed at certification and recertification. The audit program will take into account the information review, verification plan, and data sampling plan. The extent of the ver
46、ification activities depend on: uni2015 the level of performance claimed, uni2015 the SEP Scorecard credits claimed (as applicable), uni2015 the complexity (as defined in ISO 50003), and uni2015 the objectives of the verification activities. 8.4 Audit time Audit time is equal to: 1) audit planning t
47、ime + 2) ISO 50003 audit duration + 3) Annex A audit duration + 4) time needed as a result of SEP Administrator pre-approvals (if applicable) + 5) audit reporting time. 8.5 Multi-site sampling Additional information on multi-site sampling is found in normative Annex B. 8.6 Audit team selection and a
48、ssignments The audit team shall be appointed to include: uni2015 a certified SEP LA in the appropriate technical area; ANSI/MSE 50028-2016 6uni2015 a certified SEP PV in the appropriate technical area (certification and recertification only). NOTE The SEP PV and the SEP LA can be one person with bot
49、h certifications. The audit team may also include an SEP team member or technical area technical expert. SEP audits do not include auditors-in-training as referenced in ISO 17021-1. A technical expert may also be certified as a SEP LA or as an SEP PV. If the technical expert is not certified as a SEP LA or SEP PV, they shall only act in an advisory capacity and shall not have assignments as an auditor, lead auditor, or verifier in the audit. The team may include an ISO 50001 auditor if the ISO 50001 auditor is not responsible for any of the SEP specific requ
