Issue：A/1 Revise No. ：3 Issue Date：May 10, 2023
1.目的purpose
为确保华凯提供提供能源管理体系（英文缩写EnMS，下同）认证过程的有效性，本文件规定了开展能源管理体系认证的基本过程和特定要求。
To ensure the effectiveness of the energy management system (EnMS) certification process provided by Huakai, this document specifies the basic process and specific requirements for conducting energy management system certification.
2.适用范围Scope of application
本文件规定了HIC对能源管理体系认证审核实施全过程的管理和控制。为确保能源管理体系认证审核的工作质量符合相关标准要求，并进行有效的控制，且能适应HIC有关部门和岗位职责的需要，特制定本文件。
This document specifies the management and control of the entire process of HIC's energy management system certification audit implementation. To ensure that the quality of the energy management system certification audit meets relevant standard requirements, is effectively controlled, and can adapt to the needs of HIC related departments and job responsibilities, this document is formulated.
本文件适用于能源管理体系认证过程管理，仅包括CNAS-CC190：2021《能源管理体系认证机构要求》（ISO50003：2021）的特殊要求，对于ISO17021的通用要求已在管理程序文件中说明，此处不再详述。
This document is applicable to the process management of energy management system certification, and only includes the special requirements of CNAS-CC190:2021 "Requirements for Energy Management System Certification Bodies" (ISO50003:2021). The general requirements for ISO17021 have been explained in the management procedure document and will not be elaborated here.
3.引用文件Reference files
GB/T23331‐2020《能源管理体系‐要求》（idt ISO/50001:2018）
GB/T23331-2020 "Energy Management Systems - Requirements" (idt ISO/50001:2018)
《能源管理体系认证规则》（国家认监委、发改委2014年 第21号公告）
Certification Rules for Energy Management Systems (Announcement No. 21 of 2014 by the National Certification and Accreditation Administration and the National Development and Reform Commission)
CNAS‐SC190:2021《能源管理体系认证机构认可方案》
CNAS-SC190:2021 "Accreditation Scheme for Energy Management System Certification Bodies"
ISO 50003:2021《能源管理体系认证机构要求》（idt CNAS-CC190:2021）
ISO 50003:2021 "Requirements for Energy Management System Certification Bodies" (idt CNAS-CC190:2021)
ISO/IEC 17021-1:2015《管理体系认证机构要求》（idt CNAS-CC01:2015）
ISO/IEC 17021-1:2015 "Requirements for Management System Certification Bodies" (idt CNAS-CC01:2015)
CNAS-TRC-015:2018《能源管理体系能源绩效改进及确认方法》
CNAS-TRC-015:2018 Energy Performance Improvement and Confirmation Method for Energy Management System
CNAS-TRC-016:2023《能源管理体系认证文件技术内容确定指南》
CNAS-TRC-016:2023 "Guidelines for Determining Technical Content of Energy Management System Certification Documents"
CNAS-TRC-017:2023《能源管理体系审核时间关键因素确定指南》
CNAS-TRC-017:2023 "Guidelines for Determining Key Factors in Energy Management System Audit Time"
《能源管理体系行业认证要求》(国家认监委发布或备案)
Industry Certification Requirements for Energy Management Systems (issued or filed by the State Administration for Market Regulation)
4.管理职责Management Responsibilities
4.1市场部门负责客户接洽、市场开发与合同接收、签订，负责认证证书发送和回收过程中的联络。
The marketing department is responsible for customer communication, market development, contract reception, and signing, as well as liaison during the process of sending and retrieving certification certificates
4.2技委会负责组织合同评审；负责审核资料的跟踪、验收与归档管理和组织审核资料认证决定的评定；以及向CNAS/IAS报送与认证有关的信息；负责对认证实施过程的监控。负责对审核和认证人员的能力评定。
The Technical Committee is responsible for organizing contract reviews; Responsible for tracking, accepting, and archiving audit materials, as well as organizing the evaluation of certification decisions for audit materials; And submit information related to certification to CNAS/IAS; Responsible for monitoring the implementation process of certification. Responsible for assessing the abilities of auditors and certification personnel
4.3审核部负责编制审核方案，进行审核准备，组成审核组实施现场审核，和对审核过程的监督与控制，负责对审核人员的管理。
The audit department is responsible for preparing the audit plan, preparing for the audit, forming an audit team to conduct on-site audits, supervising and controlling the audit process, and managing the audit personnel
4.4客服部、技委会负责获证客户的注册管理。
The customer service department and technical committee are responsible for the registration management of certified customers
4.5合同评审人员和审核方案管理人员在进行人员评定时统称为项目管理人员。
Contract review personnel and audit plan management personnel are collectively referred to as project management personnel during personnel evaluation
4.6管理部负责认证证书的制作；
The management department is responsible for the production of certification certificates
4.7总经理负责认证证书的签发和认证注册资格（包括授予、保持、更新、扩大、缩小、暂停和撤销认证）的批准。
The general manager is responsible for issuing certification certificates and approving certification registration qualifications (including granting, maintaining, updating, expanding, shrinking, suspending, and revoking certifications)
5.认证接洽和认证申请 Certification negotiation and certification application
5.1市场部门与拟申请认证的客户接洽，在了解客户的申请目的、拟认证的范围及基本情况后，应向客户提供HIC的《管理体系认证申请书》、《管理体系认证合同》。
The marketing department should contact the client who intends to apply for certification, and after understanding the client's application purpose, scope of certification, and basic information, provide the client with HIC's "Management System Certification Application Form" and "Management System Certification Contract"
5.2市场部门在确认客户的意见后，应要求其提交正式申请材料，能源管理体系认证的申请应包括下列相关信息：
After confirming the customer's opinion, the marketing department should require them to submit formal application materials. The application for energy management system certification should include the following relevant information
a)由授权代表签署的《管理体系认证申请书》；
Application for Management System Certification signed by authorized representative
b)国家工商行政管理部门或有关机构注册登记的法人资格或其组成部分复印件（如：企业法人的营业执照、组织机构代码证等）；
Copy of the legal person qualification or its components registered by the national administration for industry and commerce or relevant institutions (such as the business license, organization code certificate, etc. of the enterprise legal person)
c)按照GB/T23331《能源管理体系要求》标准及相应的《能源管理体系行业认证要求》建立了能源管理体系且正常运行至少六个月以上的管理手册、程序文件；
Establish an energy management system in accordance with the GB/T23331 "Energy Management System Requirements" standard and the corresponding "Energy Management System Industry Certification Requirements", and provide management manuals and procedural documents that have been operating normally for at least six months
d)申请认证的范围，包括能源种类、能源管理体系边界和范围描述、能源使用和消耗情况（如前一年的能源利用状况报告）、用能设施、设备及系统、主要能源使用等信息；
The scope of certification application includes information on energy types, energy management system boundaries and scope descriptions, energy use and consumption (such as the previous year's energy utilization report), energy facilities, equipment and systems, and major energy use
e)申请组织的一般特征及能源管理基础信息，包括其名称、物理场所的地址、能源管理体系有效人数、过程和运作的重要信息；
General characteristics of the applying organization and basic information on energy management, including its name, address of physical premises, number of effective personnel in the energy management system, important information on processes and operations
f)申请组织与其所属的技术领域相关的一般信息，包括其产品活动和服务，人力与技术资源，以及适用时，其在一个较大实体中的职能和关系；
General information related to the technical field to which the applying organization belongs, including its product activities and services, human and technical resources, and, where applicable, its functions and relationships within a larger entity
g)申请组织采用的所有影响符合性和能源绩效的外包过程；
All outsourcing processes that affect compliance and energy performance adopted by the applying organization
h)申请组织寻求认证的标准或其他要求。
Applying for organization to seek certification standards or other requirements
i)申请组织任何相关的法律义务，及取得相关法律法规规定的行政许可文件（适用时）；
Apply for any relevant legal obligations of the organization and obtain the administrative license documents required by relevant laws and regulations (when applicable)
j)组织遵守有关主管部门对能源管理方面要求的信息（适用时）；
Information on compliance with energy management requirements by relevant regulatory authorities (where applicable)
k)组织承诺获得认证后发生与能源有关的重大事故将及时向HIC报告；
The organization promises to promptly report major energy related accidents to HIC after obtaining certification
5.3业务部门或办事处对申请客户报送的材料进行初步审查，确认符合5.2条要求后进行登记，并将所有申请材料移交合同评审人员。
The business department or office conducts a preliminary review of the materials submitted by the client, confirms compliance with the requirements of Article 5.2, registers them, and hands over all application materials to the contract review personnel
6.申请评审和合同签订 Application review and contract signing
6.1 HIC合同评审人员应对合同及申请材料进行评审。合同评审前，合同评审人员应确认申请客户已理解了HIC关于认证的要求。
HIC contract reviewers should review the contract and application materials. Before the contract review, the contract reviewer should confirm that the client has understood HIC's certification requirements
6.2合同评审人员对能源管理体系认证的合同评审应达到如下目的：
The contract review personnel for energy management system certification should achieve the following objectives in the contract review:
a)申请资料齐全，申请组织及其能源管理体系的信息充分，可以进行审核策划并开展审核； The application materials are complete, and the information of the application organization and its energy management system is sufficient to carry out audit planning and audit
b)申请组织从事的活动符合相关法律法规的规定
The activities undertaken by the applying organization comply with relevant laws and regulations
c)申请组织对认证的要求已确定并形成文件，且已提供给申请组织；
The certification requirements of the applying organization have been determined and documented, and have been provided to the applying organization
d)解决了HIC与申请组织之间任何已知的理解差异；
Resolved any known differences in understanding between HIC and the applying organization
e)HIC具备与受审核组织申请认证范围相关的专业能力和其他资源条件，并能够实施认证活动；
HIC has the professional competence and other resource conditions related to the scope of certification application by the audited organization, and is able to implement certification activities
f)考虑了申请的认证范围、申请组织的运作场所、完成审核需要的时间和任何其他影响认证活动的因素（语言、安全条件、对公正性的威胁等）；
Considering the scope of certification application, the operating location of the applying organization, the time required to complete the audit, and any other factors that may affect the certification activities (such as language, security conditions, threats to impartiality, etc.)
g)明确申请组织是否属于国家/地方的重点用能单位，了解申请组织是否存在国家明令淘汰的用能设备或工艺等；
Clarify whether the applying organization belongs to a national/local key energy consuming unit, and understand whether the applying organization has any energy consuming equipment or processes that have been officially phased out by the state
h)保持了决定实施审核的理由的记录。合同评审应保持决定实施审核的理由的记录，填写《合同评审表》并保存。
Maintained records of the reasons for implementing the audit decision. Contract review should maintain a record of the reasons for implementing the review decision, fill out the "Contract Review Form" and save it
6.3评定专业范围Assess professional scope。
6.4合同评审人员经对以上各条的评审，认为申请方及其管理体系的信息充分，可以进行审核，方可接受合同。当客户提供的信息不充分时，应设法澄清和要求补充信息。合同评审人员认为HIC不能受理该认证项目时，应记录拒绝申请的原因，并自申请之日起30日内通知客户，说明理由，退回申请资料。
After reviewing the above items, the contract reviewer believes that the applicant and its management system have sufficient information to conduct an audit before accepting the contract. When the information provided by the customer is insufficient, efforts should be made to clarify and request additional information. When the contract review personnel believe that HIC cannot accept the certification project, they should record the reasons for rejecting the application and notify the customer within 30 days from the date of application, explain the reasons, and return the application materials.
6.5授权人对合同评审结果进行确认，签署《能源管理体系认证服务合同》。合同一经签字生效后，就成为具有强制实施力的法律性质的协定，双方必须认真执行，如签订合同一方不能执行合同时，经提出后协商解决。若终止合同，则所产生的经济损失由责任方承担。
The authorized person confirms the contract review results and signs the Energy Management System Certification Service Contract. Once a contract is signed and becomes effective, it becomes a legally binding agreement with enforceable force, and both parties must conscientiously execute it. If one party is unable to execute the contract, it shall be resolved through negotiation after being raised. If the contract is terminated, the economic losses incurred shall be borne by the responsible party
7 .审核方案的制定和管理 Development and management of audit plan
7.1 审核方案策划人员应根据申请评审的结果，按照《审核方案策划管理办法》 的过程要求进行审核方案策划，并将审核方案策划结果传递到审核组，由审核组在现场确认，必要时根据审核组在现场确认的结果调整审核方案。
The planning personnel of the audit plan should plan the audit plan according to the process requirements of the "Management Measures for Audit Plan Planning" based on the results of the application review, and transmit the audit plan planning results to the audit team for on-site confirmation. If necessary, the audit plan should be adjusted based on the results confirmed by the audit team on site.
根据申请评审时已识别的特定的申请组织的具体情况分析对其实施审核和认证所需的能力，委派具备相应能力的审核组实施审核。当了解到特定的获证组织的EnMS 已发生变化时（特别是在监督审核、再认证审核方案策划时），审核方案管理人员应对原有的能力分析进行审查，必要时进行更新，并按更新后的能力需求委派具备相应能力的审核组实施审核，确保审核的有效性。
Based on the specific situation of the identified application organization during the application review, analyze the necessary capabilities for conducting audits and certifications, and assign an audit team with the corresponding capabilities to carry out the audit. When it is learned that the EnMS of a specific certified organization has changed (especially in the planning of supervision audits and re certification audit plans), the audit plan management personnel should review the original capability analysis, update it if necessary, and assign an audit team with corresponding capabilities to implement the audit according to the updated capability requirements to ensure the effectiveness of the audit
审核时间的策划按要求策划每个申请EnMS认证的组织的初次审核（含一、二阶段）、监督审核及再认证审核所需的审核时间。初次认证审核分为第一阶段和第二阶段。 确定受审核组织的审核时间时，应考虑组织的EnMS范围所涉及的服务活动种类、 组织规模及业务的复杂程度等因素对核定审核活动所需的审核时间的影响。安排审核时间应考虑一下因素:
Plan the audit time according to the requirements for the initial audit (including stages one and two), supervisory audit, and re certification audit of each organization applying for EnMS certification. The initial certification review is divided into the first stage and the second stage. When determining the audit time for the audited organization, factors such as the types of service activities involved in the EnMS scope of the organization, the size of the organization, and the complexity of the business should be considered in determining the audit time required for the approved audit activities. The following factors should be considered when arranging the audit time:
a）客户能源管理体系的范围和复杂程度，包含年度综合能耗、能源种类的数量、主要能源使用的数量；
The scope and complexity of the customer's energy management system, including annual comprehensive energy consumption, the number of energy types, and the quantity of primary energy used
b）产品和过程Products and processes；
c）能源管理体系有效人员的确定，包括最高管理层、管理者代表、能源管理团队、对可能会影响能源绩效的重要变更负有责任的人员、对建立、实施和保持能源绩效改进（包括目标、指标及实施方案）负有责任的人员、对主要能源使用负有责任的人员；
The identification of effective personnel for the energy management system includes the top management, management representatives, energy management team, personnel responsible for significant changes that may affect energy performance, personnel responsible for establishing, implementing, and maintaining energy performance improvements (including goals, indicators, and implementation plans), and personnel responsible for major energy use
d）拟审核的场所Place to be audited；
e）客户组织的语言和所讲的语言；
The language of the client organization and the language spoken
f）客户及其顾客的要求和期望；
Customers and their requirements and expectations
g）工作班次的数量和时间安排The number and schedule of work shifts；
h）每次审核活动所要求的审核时间The audit time required for each audit activity；
i）审核临时场所的需求Review the demand for temporary venues；
j）以前任何审核的结果Any previous audit results。
能源管理体系审核时间参照附录A的要求执行。
The audit time of the energy management system shall be carried out in accordance with the requirements of Appendix A
7.2 HIC 整个认证周期的审核方案是在三年认证周期内（从初次认证或再认证算起）安排一次两阶段的初审，第一年和第二年的监审，以及第三年在认证到期前进行的再认证审核。特殊情况下可以安排特殊审核。审核方案中应确定以下各项：
The audit plan for the entire certification cycle of HIC is to arrange a two-stage initial review within the three-year certification cycle (starting from the initial certification or re certification), followed by a supervision review in the first and second years, and a re certification audit before the certification expires in the third year. Special audits can be arranged in special circumstances. The following items should be determined in the audit plan
a) 确定各次审核的目的、范围和审核时间，确定各次审核活动所需的资源并对审核组的能力提出要求；
Determine the purpose, scope, and duration of each audit, determine the resources required for each audit activity, and set requirements for the capabilities of the audit team
b) 确定审核所依据的标准、法律法规和合同的要求；
Determine the standards, laws, regulations, and contractual requirements on which the audit is based
c) 关于对“多场所运行同一套体系”的定义和审核的安排。
Regarding the definition and audit arrangement of "operating the same system in multiple locations"
7.3多场所抽样（多场所组织相关要求参照附录C执行）
Multi site sampling (refer to Appendix C for requirements related to multi site organization)
组织抽样的资格要求如下：
The qualification requirements for organizational sampling are as follows
— 客户组织应有单一的EnMS；
Customer organizations should have a single EnMS
— 客户组织应确定其中心职能，中心职能是客户组织的一部分并且不应分包给外部组织；Customer organizations should determine their central functions, which are part of the customer organization and should not be subcontracted to external organizations
— 中心职能应获得组织的授权以确定、建立并保持单一EnMS；
The central function should be authorized by the organization to determine, establish, and maintain a single EnMS
— 中心职能应收集适合于显示能源绩效的数据并进行分析；
The central function should collect and analyze data suitable for displaying energy performance
— 客户组织的单一EnMS应进行集中的管理评审；
The single EnMS of the customer organization should undergo centralized management review
— 所有场所均应服从客户组织的内部审核程序。
All locations should comply with the internal audit procedures of the client organization
7.4 在审核方案的实施过程中，审核方案管理人员应进行监督和管理，并根据审核的情况对审核方案进行适当的调整和改进。
During the implementation of the audit plan, the audit plan management personnel should supervise and manage it, and make appropriate adjustments and improvements to the audit plan based on the audit situation
审核方案的确定和后续调整均应考虑7.1的各项因素。如果是考虑了客户已获的认证或接受的其他审核，对审核方案作出调整，则应收集充足的、可验证的信息，以证明对审核方案的调整的合理性，并予以记录。
The determination and subsequent adjustments of the audit plan should take into account all factors in section 7.1. If adjustments are made to the audit plan taking into account the certifications already obtained or other audits accepted by the client, sufficient and verifiable information should be collected to demonstrate the reasonableness of the adjustments to the audit plan and recorded.
8 .审核的启动 Initiation of Audit
8.1 审核方案管理人员应根据审核方案审核启动，做好以下工作：
The management personnel of the audit plan should initiate the audit according to the audit plan and do the following work well
a) 确定该次审核的目的、范围和审核准则；
Determine the purpose, scope, and audit criteria of this audit
b) 为该次审核选定合适的审核组长和审核组成员。审核组成员的选择应确保他们是经过HIC的审核能力和专业能力评定，而且是有能力完成本次审核任务的人员。审核组成员的选择要求是：
Select a suitable audit team leader and audit team members for this audit. The selection of audit team members should ensure that they have undergone HIC's assessment of audit and professional abilities, and are capable of completing the audit task. The selection requirements for audit team members are
——审核组中至少有一名有申请组织专业能力的审核员参加；
At least one auditor with the professional ability to apply for organization should participate in the audit team
——审核组中至少有一名专职审核员参加；
At least one full-time auditor shall participate in the audit team
——审核组成员之间应有协同工作的能力，所有成员均应确保公正性；
Members of the audit team should have the ability to work collaboratively, and all members should ensure impartiality
——当审核组中已安排人员不能够满足专业要求时，审核组中可安排技术专家；
When the personnel already arranged in the audit team cannot meet the professional requirements, technical experts can be arranged in the audit team
——审核组应能满足所用语言及受审核组织文化特点的要求。
The audit team should be able to meet the requirements of the language used and the cultural characteristics of the audited organization
b)审核方案管理人员还应与受审核组织进行联系，以确定审核的可行性。联系事项包括向客户提供审核组每位成员的姓名，预定审核的日期和时间等，以便确认受审核组织的充分合作、识别审核需要的资源，并建立与受审核组织的正式联系渠道。以上联系可通过向受审核客户发送《审核行程通知函》的方式进行，但通知应留出足够时间，以便在客户对审核组某一成员表示反对后，来得及重组审核组。
The management personnel of the audit plan should also contact the audited organization to determine the feasibility of the audit. The contact matters include providing the name of each member of the audit team, the scheduled date and time for the audit, etc. to the client, in order to confirm the full cooperation of the audited organization, identify the resources needed for the audit, and establish a formal contact channel with the audited organization. The above contact can be made by sending a 'Audit Schedule Notification Letter' to the audited client, but the notification should leave enough time for the audit team to be reorganized in case the client expresses opposition to a member of the audit team
8.2 审核方案管理人员在作好以上工作的基础上编制《审核任务书》，其内容应对本次审核对象、目的、范围等要求，以及应提醒审核组长的注意事项作出明确规定。任务书经授权人确认批准后，正式向审核组长下达。此外，还应将受审核客户的体系文件、审核用的文件包以及相关文件和资料发给审核组长。
On the basis of completing the above work, the management personnel of the audit plan shall prepare the "Audit Task Book", which shall clearly specify the requirements for the audit object, purpose, scope, etc., as well as the precautions to be reminded to the audit team leader. After the task book is confirmed and approved by the authorized person, it will be officially issued to the audit team leader. In addition, the system documents of the audited client, the file package used for the audit, and related documents and materials should be sent to the audit team leader.
8.3 审核组长应将编制好的审核计划在审核实施前与受审核客户沟通，若客户无异议可进行现场审核。
The audit team leader should communicate the prepared audit plan with the audited client before implementation. If the client has no objections, an on-site audit can be conducted.
9. 初次认证审核 Initial certification review
能源管理体系的初次认证审核分为两个阶段实施，即第一阶段和第二阶段。审核方案管理人员应对第一阶段审核进行策划，并根据第一阶段的审核结果对第二阶段审核做出安排。
The initial certification audit of the energy management system is implemented in two stages, namely the first stage and the second stage. The management personnel of the audit plan should plan the first stage audit and make arrangements for the second stage audit based on the results of the first stage audit.
在审核过程中，如发现企业能源管理体系有效人员覆盖人数与任务书上人数不符，和（或）企业建立的管理体系与其申请标准的要求不符，和（或）其他应传递变更的情况，应填写《HIC-217 管理体系变更申请表》，并及时和审核管理人员联系、沟通确认是否需要修订审核方案。
During the audit process, if it is found that the number of effective personnel covered by the enterprise's energy management system does not match the number stated in the task book, and/or the management system established by the enterprise does not meet the requirements of its application standards, and/or other situations that require changes to be transmitted, the "HIC-217 Management System Change Application Form" should be filled out, and timely contact and communication with the audit management personnel should be made to confirm whether the audit plan needs to be revised.
9.1 第一阶段审核 Phase One Audit
9.1.1 第一阶段审核包括文件审核和现场审核，第一阶段审核的目的是为了提供策划第二阶段审核的关注点，并确定进行第二阶段审核的可行性，包括：
The first stage audit includes document review and on-site audit. The purpose of the first stage audit is to provide focus points for planning the second stage audit and determine the feasibility of conducting the second stage audit, including
——了解组织的能源管理体系建立和运行的情况，并确认是否做好了认证审核阶段的准备； Understand the establishment and operation of the organization's energy management system, and confirm whether preparations have been made for the certification audit phase
——了解组织能源评审的实施以及能源基准的建立情况；
Understand the implementation of organizational energy review and the establishment of energy benchmarks
——确定审核策划的重点，识别组织对能源绩效和能源管理体系绩效的评价方式以及能源管理体系确定的主要能源使用，将影响主要能源使用的重要运行参数和其它相关变量控制确定为重要审核点，识别应配备的专业审核资源并与组织就第二阶段审核的详尽安排取得共识。
Determine the focus of audit planning, identify the evaluation methods of energy performance and energy management system performance by the organization, as well as the main energy uses determined by the energy management system. Identify important operating parameters and other related variable controls that affect the main energy uses as important audit points, identify the professional audit resources that should be equipped, and reach consensus with the organization on the detailed arrangement of the second stage audit.
9.1.2 第一阶段应对以下内容进行审核：
The first stage should review the following content
a)评审范围和边界的文件化信息；
Documented information on the scope and boundaries of the review
b)评审组织设施、设备、系统和过程的图形或文字说明，以确定范围和边界；
Review graphical or textual descriptions of organizational facilities, equipment, systems, and processes to determine scope and boundaries
c)确认能源管理体系有效人数（必要时）、能源种类、主要能源使用和年度综合能耗，以确认审核时间；
Confirm the number of effective personnel (if necessary), types of energy, main energy use, and annual comprehensive energy consumption of the energy management system to confirm the audit time;
d)评审能源管理体系策划过程的文件化信息；
Documented information on the planning process of the energy management system review;
e)评审确认客户组织确定能源绩效所使用的能源绩效参数和相应的能源基准；
Review and confirm the energy performance parameters and corresponding energy benchmarks used by the client organization to determine energy performance;
f)评审能源绩效改进机会的确定和排序以及目标、能源指标、措施计划的文件化信息；
Identify and prioritize opportunities for improving energy performance, as well as document information on goals, energy indicators, and action plans;
g)审查第二阶段审核所需资源的配置情况，与客户商定第二阶段审核的细节。
Review the allocation of resources required for the second stage audit and agree with the client on the details of the second stage audit.
并审查及确认以下信息And review and confirm the following information：
1）客户能源管理体系文件Customer Energy Management System Documents；
2）能源使用、主要能源使用、能源基准、能源绩效参数，及其与体系各要素的关系；
Energy use, primary energy use, energy benchmarks, energy performance parameters, and their relationship with various elements of the system;
3）能源方针与目标指标、能源绩效参数，能源监视、测量和分析机制的建立与运行；
Establishment and operation of energy policies and target indicators, energy performance parameters, energy monitoring, measurement, and analysis mechanisms
4）最高管理者对于能源管理在组织经营活动中的定位、策略和行动，对管理者代表和能源管理团队的任命和批准；
The top management's positioning, strategy, and actions regarding energy management in organizational business activities, as well as the appointment and approval of management representatives and energy management teams
5）主要适用的能源法律、法规和产业政策的符合性，可能包括：客户与政府签订的节能责任书、各主要工序能源绩效指标是否符合行业能耗限额标准、国家明令淘汰的落后设备和工艺的管理、能源计量器具的配备率和准确度等
The compliance of the main applicable energy laws, regulations, and industrial policies may include: energy-saving responsibility agreements signed between customers and governments, whether the energy performance indicators of each major process meet the industry's energy consumption limit standards, management of outdated equipment and processes explicitly phased out by the state, and the availability and accuracy of energy measuring instruments
6）客户能源管理体系的建立及与能源管理方针的一致性；
Establishment of Customer Energy Management System and Consistency with Energy Management Policy
7）客户的内部审核和管理评审的策划和实施情况。
Planning and implementation of internal audits and management reviews for clients
9.1.3 第一阶段审核应在申请组织的现场进行。
The first stage of the review should be conducted on-site by the applying organization
9.1.4 审核方案管理人员根据上述要求对受审核组织的能源管理体系情况进行分析后，应确定第一阶段审核的有关安排：
After analyzing the energy management system of the audited organization according to the above requirements, the management personnel of the audit plan should determine the relevant arrangements for the first stage audit:
a) 审核组至少有一名专职审核员The audit team shall have at least one full-time auditor；
b) 审核组应具有申请组织的能源管理体系范围专业能力；
The audit team should have the professional ability to apply for the organization's energy management system scope;
c) 第一阶段审核的审核组长宜尽可能也是第二阶段审核的审核组长，以确保对审核的延续。否则第一阶段审核完成后的相关文件和资料应全部及时传递给第二阶段审核组长；
The audit team leader for the first stage audit should also be the audit team leader for the second stage audit as much as possible to ensure the continuity of the audit. Otherwise, all relevant documents and materials after the completion of the first stage audit should be promptly transmitted to the leader of the second stage audit team;
d) 确认第一阶段审核是否可以不在客户的场所进行,第一阶段非现场审核可由审核组长通过文件及资料的审查和远程访问的方式完成；
Confirm whether the first stage audit can be conducted outside of the client's premises. The first stage off-site audit can be completed by the audit team leader through document and material review and remote access;
e) 确定第一阶段审核的审核人日数，依照附录A 能源管理体系审核时间；
Determine the number of audit person days for the first stage audit, in accordance with Appendix A Energy Management System Audit Time;
9.1.5 审核方案管理人员应根据审核方案的要求对第一阶段审核进行策划，策划的安排应形成第一阶段《审核任务书》，报授权人审批，审批后传递给审核组长。一阶段的审核应在二阶段之前完成。
The management personnel of the audit plan should plan the first stage audit according to the requirements of the audit plan. The planned arrangement should form the first stage "Audit Task Book", which should be submitted to the authorized person for approval and then passed on to the audit team leader after approval. The first stage audit should be completed before the second stage.
第二阶段审核的策划应根据第一阶段审核的结果进行安排。第二阶段审核应与第一阶段审核保持适宜间隔。
The planning for the second stage audit should be arranged based on the results of the first stage audit. The second stage audit should maintain an appropriate interval from the first stage audit.
9.1.6 审核组长接到《审核任务书》后应按任务书的要求和《审核员工作手册》以及《能源管理体系认证规则》开展工作。审核组长应按《审核任务书》对企业相关文件进行审查，确认其是否满足相关要求；
After receiving the 'Audit Task Book', the audit team leader should carry out work in accordance with the requirements of the task book, the 'Auditor Work Manual', and the 'Energy Management System Certification Rules'. The audit team leader should review the relevant documents of the enterprise according to the "Audit Task Book" to confirm whether they meet the relevant requirements;
9.1.7 第一阶段审核完成后，审核组长应编制一阶段审核报告。对于审核中发现的问题应在审核报告中对应的条款写明，可附上《第一阶段审核问题点》，以便审核组长与受审核组织商定整改日期，为第二阶段审核作好准备。
After the completion of the first stage audit, the audit team leader should prepare a first stage audit report. For the problems found during the audit, they should be clearly stated in the corresponding clauses of the audit report, and the "First Stage Audit Problem Points" can be attached, so that the audit team leader and the audited organization can agree on a rectification date and prepare for the second stage audit.
9.1.8 审核方案管理人员在接到第一阶段审核报告后，应确认第一阶段审核任务是否已完成，并根据审核组长对受审核组织准备工作的评估，以及对于第二阶段审核的建议，策划安排第二阶段审核。
After receiving the first stage audit report, the audit plan management personnel should confirm whether the first stage audit task has been completed, and plan and arrange the second stage audit based on the evaluation of the audit team leader on the preparation work of the audited organization and the suggestions for the second stage audit.
9.2 第二阶段审核 Stage 2 Audit
9.2.1 第二阶段审核的目的是评价客户能源管理体系的实施情况及有效性，包括：
The purpose of the second stage audit is to evaluate the implementation and effectiveness of the customer's energy management system, including
a) 确认客户持续遵守了其方针、目标和程序；
Confirm that the customer has consistently complied with their policies, objectives, and procedures;
b) 确认客户的能源管理体系符合标准的所有要求，并且正在实现组织的方针与目标；
Confirm that the customer's energy management system meets all requirements of the standard and is achieving the organization's policies and goals;
c) 确认客户的能源绩效改进已得到证实。
Confirm that the customer's energy performance improvement has been confirmed
9.2.2 第二阶段审核应在客户的现场进行，HIC应根据第一阶段的审核结果确认第二阶段审核方案，制订第二阶段的审核计划。审核至少覆盖以下方面：
The second stage audit should be conducted on-site by the client, and HIC should confirm the second stage audit plan based on the results of the first stage audit and develop a second stage audit plan. The audit should cover at least the following aspects:
a) 对能源使用的识别和随后对主要能源使用的判定；
Identification of energy usage and subsequent determination of primary energy usage;
b) 确保符合法律、法规及其他要求；
Ensure compliance with laws, regulations, and other requirements;
c) 经评审而制定的绩效参数、能源目标、能源指标、能源管理实施方案；
Performance parameters, energy targets, energy indicators, and energy management implementation plans formulated through evaluation;
d) 运行控制与维护Operation Control and Maintenance；
e) 对照能源目标、指标、绩效参数而实施的测量、分析、报告和评价；
Measurement, analysis, reporting, and evaluation implemented against energy targets, indicators, and performance parameters;
f) 不符合的识别与评价，纠正措施和预防措施的完成情况；
Identification and evaluation of non conformities, completion status of corrective and preventive measures;
g) 内部审核和管理评审Internal audit and management review；
h) 能源方针和管理职责 Energy policy and management responsibilities；
9.2.3 在第二阶段审核期间，审核组应审查必要的审核证据，以确定在做出推荐意见前持续的能源绩效改进是否已得到证实。
During the second stage of the audit, the audit team should review necessary audit evidence to determine whether ongoing energy performance improvements have been confirmed before making recommendations.
9.2.4 HIC应分析必要的审核证据，以确定在做出认证决定之前持续的能源绩效改进是否已得到证实。授予初次认证应要求对持续的能源绩效改进进行确认。
HIC should analyze necessary audit evidence to determine whether continuous energy performance improvement has been confirmed before making certification decisions. Granting initial certification should require confirmation of ongoing energy performance improvement.
注：GB/T23331-2020 A.10提供了客户组织如何证实能源绩效改进的例子。本文件附录C提供了能源绩效改进的补充信息。
Note: GB/T23331-2020 A.10 provides examples of how customer organizations can demonstrate improvements in energy performance. Appendix C of this document provides supplementary information on energy performance improvement.
9.2.5 审核方案管理人员应根据审核方案的要求和第一阶段审核的结果安排和启动第二阶段审核。第二阶段审核和第一阶段审核的最大间隔时间不得超过3个月。
The management personnel of the audit plan should arrange and initiate the second stage audit based on the requirements of the audit plan and the results of the first stage audit. The maximum interval between the second stage audit and the first stage audit shall not exceed 3 months.
审核方案管理人员应选定审核组。通常情况下第二阶段审核的组长应尽可能由第一阶段审核的组长担当，以有利于审核的连续性。特殊情况下，必须更换组长时，则应选择能力相近的审核员担当，此时应将第一阶段审核资料全部交给第二阶段的审核组长；
The management personnel of the audit plan should select the audit team. Normally, the team leader for the second stage audit should be taken on by the team leader for the first stage audit as much as possible to facilitate the continuity of the audit. In special circumstances where it is necessary to change the team leader, auditors with similar abilities should be selected to take on the role. At this time, all the first stage audit materials should be handed over to the second stage audit team leader;
审核方案管理人员编好第二阶段《审核任务书》，经授权人审批后，应连同第一阶段审核的所有资料和需用的文件包一并发给第二阶段审核组长。
The management personnel of the audit plan shall prepare the second stage "Audit Task Book", which shall be approved by the authorized person and sent to the second stage audit team leader together with all the materials and required document packages for the first stage audit.
审核组长接到《审核任务书》后应按任务书和8.2.2的要求编制第二阶段审核计划，并与受审核组织进行沟通，无异议后，方可进入现场审核。
After receiving the "Audit Task Book", the audit team leader should prepare the second stage audit plan according to the requirements of the task book and 8.2.2, and communicate with the audited organization. Only after there are no objections can they enter the on-site audit.
9.2.6 审核组长在按《审核任务书》的要求完成第二阶段审核任务后，应根据第一阶段审核和第二阶段审核中收集的所有信息和证据进行分析，评价审核发现，做出审核结论，编制审核报告。另外，审核报告还应包括：
After completing the second stage audit tasks according to the requirements of the "Audit Task Book", the audit team leader should analyze and evaluate all the information and evidence collected during the first and second stage audits, make audit conclusions, and prepare audit reports. In addition, the audit report should also include:
a）被审核的能源管理体系的范围和边界；
The scope and boundaries of the audited energy management system;
b）在认证结论中：
In the certification conclusion:
1）能源管理体系持续改进成果的陈述，并有支持该陈述的审核证据记录；
A statement of the continuous improvement results of the energy management system, with supporting audit evidence records;
注1：在初次审核时，体系的实施可视为能源管理体系的持续改进。
Note 1: During the initial audit, the implementation of the system can be considered as a continuous improvement of the energy management system.
2）持续的能源绩效改进成果的陈述，并有支持该陈述的审核证据记录。
A statement of continuous energy performance improvement results, with supporting audit evidence records.
注2：在初次审核时，能源绩效改进的证实可被视为持续的能源绩效改进。
Note 2: Confirmation of energy performance improvement during the initial audit can be considered as continuous energy performance improvement.
注3：关于能源绩效改进的补充信息见附录C。
Note 3: Supplementary information on energy performance improvement can be found in Appendix C.
c）在监督审核中，确认客户组织已证明其实施了能源绩效改进措施的陈述。
In the supervision and audit, it is confirmed that the client organization has demonstrated the implementation of energy performance improvement measures.
9.2.7 审核组长应对两个阶段的所有不符合项进行验证关闭后，连同审核报告及所有资料最迟在审核后3个月内移交，若不能按时移交，应及时联系，说明原因。
The audit team leader should verify and close all non conformities in the two stages, and transfer them along with the audit report and all materials no later than 3 months after the audit. If they cannot be transferred on time, they should contact them promptly and explain the reasons.
9.3认证决定 Certification decision
9.3.1在审核方案管理人员收集整理好审核资料后，应交给认证决定人员进行资料评定（担任本次审核的人员不能对该审核资料进行评定）。
After the audit plan management personnel have collected and organized the audit materials, they should be handed over to the certification decision personnel for data evaluation (the personnel responsible for this audit cannot evaluate the audit materials)
9.3.2 认证决定人员应对以下资料和内容进行评审：
The certification decision personnel shall review the following materials and contents
a)申请认证的有关信息，包括申请书、合同评审单以及申请人的法律法规文件和体系文件等；
The relevant information for applying for certification, including the application form, contract review form, as well as the applicant's legal and regulatory documents and system documents;
b)第一阶段和第二阶段审核的报告及所有在审核中收集的信息和证据，通过这些信息和证据足以确定认证要求的满足情况和认证范围；
The reports of the first and second stage audits, as well as all the information and evidence collected during the audits, are sufficient to determine the compliance with certification requirements and the scope of certification;
c)所有不符合项的内容以及受审核方采取的纠正和纠正措施的意见及验证结果；
The content of all non conformities and the opinions and verification results of the corrective and corrective measures taken by the auditee;
d)审核组对是否授予认证的推荐性意见及附带的任何条件或评论。
The review team's recommendation on whether to grant certification and any accompanying conditions or comments.
e)组织的能源管理及绩效符合国家及行业的相关法律法规要求，包括达到国家和地方政府发布的单位产品能源消耗限额标准要求（适用时）；
The organization's energy management and performance comply with relevant national and industry laws and regulations, including meeting the energy consumption limit standards for unit products issued by national and local governments (where applicable)
f)组织的能源管理及绩效满足《能源管理体系 行业认证要求》中规定的相关条件；
The organization's energy management and performance meet the relevant conditions specified in the "Energy Management System Industry Certification Requirements";
g)通过能源管理体系的运行，组织的能源管理水平得到了有效提升；
Through the operation of the energy management system, the organization's energy management level has been effectively improved;
h)认证审核期间没有受到相关执法监管部门的处罚；
During the certification review period, no punishment was imposed by relevant law enforcement and regulatory departments;
i)复核必要的审核证据以确定持续的能源绩效改进已得到证实。
Review necessary audit evidence to confirm that continuous energy performance improvement has been confirmed.
9.3.3如果组织的能源管理体系不符合上述9.3.2的要求，不得予以通过认证。
If the organization's energy management system does not meet the requirements of 9.3.2 above, it shall not be certified.
9.3.4 认证决定人员在对以上资料和内容进行评审的同时还应注意其他相关信息（如公共信息，受审核方对审核和审核报告的意见等）。资料评审过程中发现问题，应参《认证决定管理办法》执行。认证决定人员在评审后应独立作出能否授予认证的明确的结论。
The certification decision personnel should also pay attention to other relevant information (such as public information, opinions of the auditee on the audit and audit report, etc.) while reviewing the above materials and content. If problems are found during the data review process, they should be addressed in accordance with the "Certification Decision Management Measures". The certification decision personnel should independently make a clear conclusion on whether certification can be granted after the review.
9.3.5在认证决定作出最终批准后，证书管理人员根据《HIC-108 认证证书确认单》制作认证证书。
After the final approval of the certification decision, the certificate management personnel will produce the certification certificate based on the "HIC-108 Certification Certificate Confirmation Form"
9.4认证证书的发放和认证公布 Issuance and publication of certification certificates
9.4.1 证书管理人员依据客户确认过的《证书信息确认表》制作证书。证书的生效日期不应早于作出认证决定批准的日期。证书应标明以下的信息：
Certificate management personnel create certificates based on the "Certificate Information Confirmation Form" confirmed by the customer. The effective date of the certificate should not be earlier than the date of approval of the certification decision. The certificate should indicate the following information:
n证书编号Certificate No；
n获证组织名称、地址和组织机构代码；
Name, address, and organizational code of the certified organization
n能源管理体系认证覆盖的范围（主要的能源生产、供应和使用场所）；
Scope of Energy Management System Certification Coverage (Main Energy Production, Supply, and Use Sites)
n认证依据及版本号; Certification basis and version number
n颁证日期、证书有效期； Date of issuance and validity period of the certificate
n发证机构名称、地址； Name and address of issuing authority
n获证组织能源管理体系边界和能源绩效的表述；
Statement of the boundary and energy performance of the certified organization's energy management system
n认证证书在有效期内的监督情况；
Supervision of the validity period of the certification certificate
n其它相关信息。 Other related information
9.4.2 认证证书的管理 Management of certification certificates
a)能源管理体系认证证书有效期三年
The energy management system certification certificate is valid for three years
b)证书查询方式HIC除应当公布认证证书在本机构网站查询的方式外，还应当在证书上注明：“本证书信息可在国家认证认可监督管理委员会公示的网站（www.cnca.gov.cn）上查询”，以便于社会监督。
The certificate inquiry method of HIC shall not only disclose the method of querying the certification certificate on the website of this institution, but also indicate on the certificate that "the information of this certificate can be queried on the website (www.cnca. gov.cn) publicly announced by the Certification and Accreditation Administration of China" for the purpose of social supervision.
c)当认证证书的认证范围与认证决定表和证书信息确认表中不一致时，应填写《HIC-217管理体系变更申请表》，记录认证范围修改的原因，并由审核组组长及认证决定人员沟通确认是否可以修改。保留相关的确认记录。
When the certification scope of the certification certificate is inconsistent with the certification decision form and the certificate information confirmation form, the "HIC-217 Management System Change Application Form" should be filled out to record the reasons for the modification of the certification scope, and the audit team leader and certification decision personnel should communicate to confirm whether it can be modified. Keep relevant confirmation records.
d)发放证书前，证书管理人员应与财务核实，确认认证费用已到帐。
Before issuing the certificate, the certificate management personnel should verify with the finance department to confirm that the certification fee has been received
e)HIC对获证客户（受审核方）的有关认证信息及HIC需向社会公开的事项，应在电子媒体上以公告的形式发布。
HIC shall publish certification information related to certified clients (auditees) and matters that HIC needs to disclose to the public in the form of announcements on electronic media.
f)证书及认证标志使用说明、证书有效性查询方法应随证书一同发放至客户；
The instructions for using the certificate and certification mark, as well as the method for checking the validity of the certificate, should be issued to the customer together with the certificate;
9.5 认证资料的归档和管理 Archiving and management of certification materials
审核方案人员应将认证有关的全部文件、资料进行收集、分类、编目整理、归档，执行《审核文档管理办法》，作好管理和保管工作。保存期限应不少于三年。
The personnel responsible for reviewing the plan should collect, classify, catalog, organize, and archive all documents and materials related to certification, and implement the "Audit Document Management Measures" to ensure proper management and storage. The retention period should not be less than three years.
10.监督活动 Oversight Activities
10.1总则 general principles
10.1.1HIC对获证客户在证书有效期内应实施监督活动，定期对能源管理体系范围内有代表性的区域和职能进行现场审核，并考虑获证客户及其能源管理体系的变更情况，以保证能源管理体系认证证书的有效性。
HIC shall implement supervision activities for certified clients during the validity period of the certificate, regularly conduct on-site audits of representative areas and functions within the scope of the energy management system, and consider changes in the certified clients and their energy management systems to ensure the validity of the energy management system certification certificate
10.1.2 审核方案管理人员负责安排获证客户的监督审核。
The management personnel of the audit plan are responsible for arranging the supervision and audit of certified clients
客户管理部门协调监督活动的管理。通常应在上次审核实施后的10个月进行客户联络并预安排监督审核以确保在上次审核12个月内完成。
The customer management department coordinates and supervises the management of activities. Usually, customer contact should be conducted 10 months after the implementation of the last audit, and supervision audits should be scheduled in advance to ensure completion within 12 months of the last audit.
10.2 监督审核 Surveillance audit
10.2.1监督频次 Supervision frequency
（1）HIC根据获证组织的供能、用能复杂性、能源管理体系成熟度及稳定性等确定监督审核频次，但两次监督审核的时间间隔不应大于12个月。
HIC determines the frequency of supervision and audit based on the complexity of energy supply and consumption, maturity and stability of the energy management system of the certified organization, but the time interval between two supervision audits should not exceed 12 months.
（2）在获证组织能源管理体系发生重大变化或发生影响能源绩效的重大事故时，应当及时增加监督审核频次，以保证监督审核的有效性。
When there are significant changes in the certified organization's energy management system or major accidents that affect energy performance, the frequency of supervision and audit should be increased in a timely manner to ensure the effectiveness of supervision and audit.
10.2.2 监督审核应是现场审核，审核方案管理人员应对监督审核的方案进行策划。审核方案管理人员应在预定监督审核日期前2个月启动监督审核，选择审核组长和审核组成员，确认审核日期，确保达到 10.2.1 条的时间要求。监督审核组长应由具有组长能力的能源管理体系注册审核员担当。
Supervision and audit should be conducted on-site, and the audit plan management personnel should plan the supervision and audit plan. The management personnel of the audit plan should initiate the supervision audit two months before the scheduled supervision audit date, select the audit team leader and members, confirm the audit date, and ensure that the time requirements of Article 10.2.1 are met. The supervision and audit team leader should be a registered energy management system auditor with the ability to lead the team.
10.2.3审核方案管理人员在启动审核的基础上编制《审核任务书》，经授权人确认批准确认后向审核组长下达，同时应将监审用的文件包，上次审核的有关资料，如《不符合项报告》等提供给审核组长。
On the basis of initiating the audit, the audit plan management personnel shall prepare the "Audit Task Book", which shall be confirmed and approved by the authorized person before being issued to the audit team leader. At the same time, the document package used for supervision and the relevant materials from the previous audit, such as the "Non conformance Report", shall be provided to the audit team leader.
10.2.4 审核组长应按《审核任务书》的要求开展工作。审核组长应编制审核计划，并与受审核组织进行沟通，客户同意后无异议后，方可实施现场审核。
The audit team leader shall carry out the work in accordance with the requirements of the Audit Task Book. The audit team leader should prepare an audit plan and communicate with the audited organization. After the client agrees and has no objections, on-site audits can be carried out.
10.2.5 监督审核应收集必要的证据以确定能源绩效的持续改进已得到证实，且至少应包括对以下方面的审查：
Supervisory audits should collect necessary evidence to determine that continuous improvement in energy performance has been demonstrated, and should include at least a review of the following aspects:
a)内部审核和管理评审；Internal audit and management review
b)对上次审核中确定的不符合采取的措施；
The measures taken for the non conformities identified in the last audit;
c)投诉的处理；Complaint Handling
d)获证客户的主要能源使用的运行情况、能源计量及统计、能源绩效考评和能源管理方案的实施情况；
The operation status, energy measurement and statistics, energy performance evaluation, and implementation of energy management plans for certified clients' main energy use
e)能源管理的目标、指标的实现和调整情况；
The achievement and adjustment of goals and indicators in energy management
f)按照能源方针，持续改善整体能源绩效所采取措施的进展情况及所取得的能源绩效改进情况，包括对能源绩效的量化评估； According to the energy policy, the progress of measures taken to continuously improve overall energy performance and the energy performance improvement achieved, including quantitative evaluation of energy performance;
g)能源法律法规和行业要求变化及对能源管理体系的影响，合规性评价情况，有无受到处罚和产生负面影响等； Changes in energy laws, regulations, and industry requirements and their impact on the energy management system, compliance evaluation, whether there have been penalties and negative effects, etc
h)能源基准的变化情况；Changes in Energy Benchmarks
i)能源管理相关信息对外交流情况；
External exchange of energy management related information
j)能源审计、节能技术改造、淘汰落后设备和工艺等情况；
Energy audit, energy-saving technology transformation, elimination of outdated equipment and processes, etc
k)能源管理岗位和能源管理负责人变化情况；
Changes in Energy Management Positions and Energy Management Leaders
l)能源管理体系认证范围变更情况包括获证客户能源绩效情况（即本次审核时间期限内的综合能耗及能源管理体系边界）；
The changes in the scope of energy management system certification include the energy performance of certified customers (i.e. the comprehensive energy consumption and energy management system boundaries during the audit period)
m)其他变更other changes；
n)标志的使用和（或）任何其他对认证资格的引用The use of the logo and/or any other reference to certification qualifications。
10.2.6 审核组通过现场审核，应在对能源管理体系运行有效性是否持续满足认证要求进行评价的基础上作出是否推荐给予继续保持认证资格的结论。如监督审核中发现有不合格，获证客户必须采取纠正措施，经审核组长验证关闭后，方可保持认证资格。
The audit team should evaluate whether the effectiveness of the energy management system continues to meet certification requirements based on on-site audits, and make a conclusion on whether to recommend continuing to maintain certification qualifications. If any non conformities are found during the supervision and audit, the certified customer must take corrective measures. After verification and closure by the audit team leader, the certification qualification can be maintained
10.2.6 审核组长应按要求整理审核资料并确保全套资料的完整性。审核组长应按《审核员工作手册》的要求把监督审核资料整理好，按期（一般情况下，不应超出一个月）提交认证决定管理人员。经认证决定人员评审通过后，然后由证书管理人员向获证客户发出“能源管理体系认证监督审核结论通知书”。
The audit team leader should organize the audit materials as required and ensure the completeness of the entire set of materials. The audit team leader should organize the supervision and audit materials according to the requirements of the Auditor Work Manual, and submit the certification decision management personnel on schedule (generally not exceeding one month). After the certification decision personnel have passed the review, the certificate management personnel will issue a "Notice of Energy Management System Certification Supervision and Audit Conclusion" to the certified customer.
11.再认证 recertification
11.1再认证审核的策划 Planning for Re certification Audit
11.1.1再认证审核的目的是确认能源管理体系作为一个整体的持续符合性与有效性，以及与认证范围的持续相关性和适宜性，确定能源绩效的持续改进是否已得到证实。通过再认证审核评价获证客户是否持续满足相关能源管理体系标准或是其他规范性文件的所有要求，从而保持认证注册。
The purpose of re certification audit is to confirm the continuous compliance and effectiveness of the energy management system as a whole, as well as its continued relevance and suitability to the certification scope, and to determine whether the continuous improvement of energy performance has been confirmed. Evaluate whether the certified customer continues to meet all requirements of relevant energy management system standards or other normative documents through re certification audits, in order to maintain certification registration.
再认证审核也应考虑到设施、设备、系统或过程发生的重大变化。对能源绩效持续改进的确认是授予再认证的条件。
Re certification audits should also take into account significant changes that occur in facilities, equipment, systems, or processes. Confirmation of continuous improvement in energy performance is a condition for granting re certification.
注：能源绩效改进可能受到设施、设备、系统或过程变化、业务变化、或其他条件（导致能源基准的变更或产生变更需求）的影响。
Note: Energy performance improvement may be affected by changes in facilities, equipment, systems or processes, business changes, or other conditions that result in changes to energy benchmarks or the need for change.
11.1.2 审核方案管理人员应根据再认证审核的目的和要求对现场审核进行策划和安排： The management personnel of the audit plan should plan and arrange the on-site audit according to the purpose and requirements of the re certification audit:
a)再认证审核应对获证组织的整个能源管理体系的运作按标准或其他要求进行全覆盖，结合内部和外部变更来看整个能源管理体系的有效性，以及认证范围的持续适宜性；
The re certification audit should cover the entire operation of the certified organization's energy management system in accordance with standards or other requirements, taking into account internal and external changes to assess the effectiveness of the entire energy management system and the continued suitability of the certification scope
b)获证组织整个认证周期能源管理的绩效及能源管理体系边界的变化情况；
The performance of energy management and changes in the boundaries of the energy management system throughout the certification cycle of the certified organization
c)再认证审核还应关注获证客户的变更以及变更对体系运作有效性的影响；
Re certification audits should also pay attention to changes in certified clients and their impact on the effectiveness of system operations
d)经证实的保持和改进能源管理体系的有效性，以提高整体绩效的承诺；
Proven commitment to maintaining and improving the effectiveness of the energy management system to enhance overall performance
e)获证能源管理体系的运行是否促进了组织方针和目标的实现；
Has the operation of the certified energy management system promoted the achievement of organizational policies and goals
f)当获证客户能源管理体系的运作环境（包括法律的变更，认证范围的扩大）有重大变更时，再认证审核可能需要安排第一阶段审核；
When there are significant changes in the operating environment of the certified customer's energy management system (including legal changes, expansion of certification scope), the re certification audit may require the arrangement of the first stage audit;
g)对于多现场认证或依据多个能源管理体系标准进行的认证，再认证审核的策划应确保现场审核具有足够的审核人日及覆盖范围；
For multi site certification or certification based on multiple energy management system standards, the planning of re certification audits should ensure that on-site audits have sufficient audit personnel days and coverage;
h)再认证审核的时间安排应确保在认证周期终止前有足够时间能做出认证决定。（通常应在认证周期终止前三个月安排再认证审核。）策划后，审核方案管理人员应将策划的内容纳入《审核任务书》，经批准后发给审核组长。
The schedule for re certification review should ensure sufficient time to make certification decisions before the end of the certification cycle. (Usually, a re certification audit should be arranged three months before the end of the certification period.) After planning, the audit plan management personnel should include the planned content in the "Audit Task Book" and send it to the audit team leader after approval.
11.2再认证审核的实施 Implementation of Re certification Audit
11.2.1审核组长应按照《审核任务书》的要求开始审核准备工作。再认证审核的实施过程与初审或监审的过程基本相同。审核组长应制订审核计划，与受审核组织进行沟通，客户同意无异议后，方可实施现场审核（见8.1.6）。
The audit team leader should start the preparation work for the audit in accordance with the requirements of the Audit Task Book. The implementation process of re certification audit is basically the same as the initial review or supervision process. The audit team leader should develop an audit plan, communicate with the audited organization, and only implement on-site audits after the client agrees without objection (see 8.1.6)
11.2.2 再认证审核应包括关注下列内容的现场审核：
The re certification audit should include on-site audits that focus on the following aspects
a)结合内部和外部变更来看整个能源管理体系的有效性，以及认证范围的持续适宜性；
Combining internal and external changes to assess the effectiveness of the entire energy management system and the ongoing suitability of the certification scope
b)审核获证客户在3年能源管理体系运作中，经证实的保持和改进能源管理体系的有效性，以提高整体绩效的承诺。为此可调阅以前监督审核报告等资料；
The certified client has demonstrated a commitment to maintaining and improving the effectiveness of their energy management system over a period of 3 years, in order to enhance overall performance. For this purpose, previous supervision and audit reports and other materials can be accessed
c)获证组织整个认证周期能源管理的绩效及能源管理体系边界的变化情况
The performance of energy management and changes in the boundaries of the energy management system throughout the certification cycle of the certified organization
d)获证能源管理体系的运行是否促进了组织方针和目标的实现；
Has the operation of the certified energy management system promoted the achievement of organizational policies and goals
e)获证客户上一审核周期审核的不符合项验证、能源管理体系证书的有效性及认证标志的正确适使用情况；
Verification of non conformities audited by certified clients in the previous audit cycle, validity of energy management system certificates, and correct and appropriate use of certification marks
f)当安排了第一阶段审核时，审核组长应完成相应审核，并提交一阶段审核报告。一阶段如有不合格项，则至少应在现场审核前进行整改的确认，审核组至现场需进行确认。
When the first stage audit is scheduled, the audit team leader should complete the corresponding audit and submit the first stage audit report. If there are any non-conforming items in the first stage, confirmation of rectification should be carried out at least before the on-site audit, and the audit team needs to confirm them on site
11.2.3 再认证审核中如发现有不符合项，审核组长在确定实施纠正和纠正措施的时限时，应考虑确保在认证周期终止前能做出认证决定。
If any non conformities are found during the re certification audit, the audit team leader should consider ensuring that a certification decision can be made before the end of the certification cycle when determining the time limit for implementing corrective actions
11.2.4 再认证审核结束，审核组长应做出是否推荐保持和更新认证的审核结论，以及对体系3年运作的评价，并写入审核报告。当现场发现认证范围有变更时，应及时与管理人员进行沟通，以便审核方案管理人员调整审核方案，对审核的继续进行做出安排。
After the re certification audit is completed, the audit team leader should make an audit conclusion on whether to recommend maintaining and updating the certification, as well as an evaluation of the 3-year operation of the system, and write it into the audit report. When changes are found in the scope of certification on site, timely communication should be made with the management personnel so that the audit plan management personnel can adjust the audit plan and make arrangements for the continuation of the audit.
11.2.5再认证审核完成后，审核组长应按要求整理资料。在审核结束后一个月内，上交认证决定人员，以便安排资料的评定。
After the re certification audit is completed, the audit team leader should organize the materials as required. Within one month after the audit is completed, submit the certification decision personnel for arranging the evaluation of the materials.
11.2.6 认证决定人员应根据再认证审核的结果，以及对能源管理获证客户认证周期内的能源绩效评价结果和认证使用方的投诉等信息，做出是否更新认证的决定。
The certification decision personnel should make a decision on whether to update the certification based on the results of the re certification audit, as well as the energy performance evaluation results of the certified energy management clients during the certification period and complaints from the certification users.
11.2.7 在认证决定作做出最终批准后，证书管理人员负责按《证书发放管理规定》制作并发放新的认证证书。再认证证书应与原证书为同一注册号，但应注明新的证书有效期。
After the final approval of the certification decision, the certificate management personnel are responsible for producing and issuing new certification certificates in accordance with the "Certificate Issuance Management Regulations". The re certification certificate should have the same registration number as the original certificate, but should indicate the validity period of the new certificate.
12.证书暂停或撤销 Certificate suspension or revocation
12.1 在认证证书有效期间，获证组织发生与能源管理体系有关的重大变化时，HIC应及时做出暂停或撤销证书的措施并及时报告国家认监委，具体包括：
During the validity period of the certification certificate, if there are significant changes related to the energy management system of the certified organization, HIC should promptly take measures to suspend or revoke the certificate and report to the National Certification and Accreditation Administration in a timely manner, including:
a)组织发生了与能源有关的重大事故，反映出组织的能源管理体系建立及运行存在重大缺陷的；
The organization has experienced major accidents related to energy, reflecting significant deficiencies in the establishment and operation of its energy management system;
b)组织的能源绩效未达到国家和地方政府发布的单位产品能源消耗限额标准要求或考核为“未完成”等级的；
The energy performance of the organization does not meet the requirements of the unit product energy consumption limit standards issued by the national and local governments, or is assessed as "incomplete";
c)获证组织在证书有效期间受到相关执法监管部门处罚的；
The certified organization has been punished by relevant law enforcement and regulatory departments during the validity period of the certificate;
d)组织存在其它严重影响能源管理体系运行的严重不符合，不能在HIC规定的时间内及时采取有效的纠正措施的。
The organization has other serious non conformities that seriously affect the operation of the energy management system and cannot take effective corrective measures in a timely manner within the HIC specified time.
12.2 证书的撤销 Revocation of certificate
12.2.1 如果出现以下情况，证书将被撤销，并要求认证证书的持有者停止使用认证证书/认证标志：
If the following situations occur, the certificate will be revoked and the holder of the certification certificate will be required to stop using the certification certificate/certification mark:
a)被注销、破产或撤销法律地位证明文件的。
Proof of cancellation, bankruptcy, or revocation of legal status documents
b)获证组织在暂停资格的限期内未能有效地对问题实施纠正。
The certified organization failed to effectively rectify the issue during the suspension period
c)拒绝配合认证监管部门实施的监督检查，或者对有关事项的询问和调查提供了虚假材料或信息的。
Refusing to cooperate with the supervision and inspection carried out by the certification regulatory department, or providing false materials or information for inquiries and investigations on relevant matters.
d)严重违反双方认证合同规定的。
Serious violation of the provisions of the authentication contract between both parties
e)有其他严重违反法律法规行为的。
Other serious violations of laws and regulations
f)暂停认证证书的期限已满但导致暂停的问题未得到解决或纠正的（包括持有的行政许可证明、资质证书、强制性认证证书等已经过期失效但申请未获批准）。
The period for suspending certification has expired but the issues causing the suspension have not been resolved or corrected (including administrative license certificates, qualification certificates, mandatory certification certificates, etc. that have expired but have not been approved).
g)没有运行能源管理体系或者已不具备运行条件的。
Not operating an energy management system or no longer meeting the operating conditions
h)不按相关规定正确引用和宣传获得的认证信息，造成严重影响或后果，或者HIC已要求其纠正但超过6个月仍未纠正的。
Failure to correctly cite and promote the certification information obtained in accordance with relevant regulations, resulting in serious impact or consequences, or HIC has requested correction but has not corrected it for more than 6 months.
i)其他应当撤销认证证书的。
Other certifications that should be revoked
j)获证客户主动要求撤销证书；
The certified customer voluntarily requests the revocation of the certificate
k)其他重大影响能源管理体系有效性的情况。
Other significant factors affecting the effectiveness of the energy management system
12.2.2 HIC应给获证企业发出适当的关于撤销的通知，并应给出理由。
HIC should issue appropriate notice of revocation to the certified enterprise and provide reasons for it
12.2.3 当证书被撤销，企业不应再描述他们的企业是获得能源管理体系认证的组织也不应再使用相应的标志。
When the certificate is revoked, companies should no longer describe themselves as organizations that have obtained energy management system certification, nor should they use the corresponding logo.
12.2.4 企业应有权针对能源管理体系证书的撤销提出申诉。
Enterprises should have the right to appeal the revocation of their energy management system certificates
12.3 证书的暂停 Suspension of Certificates
12.3.1 如果出现以下情况，证书将被暂停：
If the following situations occur, the certificate will be suspended
a)能源管理体系持续或严重不满足认证要求，包括对能源管理体系运行有效性要求的
The energy management system continuously or seriously fails to meet certification requirements, including requirements for the effectiveness of the energy management system operation
‐‐‐本机构技委会负责管理；
The Technical Committee of this organization is responsible for management
b)不承担、履行认证合同约定的责任和义务的；包括但不限于以下内容
Not assuming or fulfilling the responsibilities and obligations stipulated in the certification contract; Including but not limited to the following content
◆未按《认证证书及标志使用规则》要求使用本机构签发的能源管理体系证书和认证标志；
Failure to use the energy management system certificate and certification mark issued by this institution in accordance with the requirements of the Certification Certificate and Mark Usage Rules;
◆能源管理体系发生重大变更已不满足原认证覆盖范围要求，未及时通知本机构得到妥善处理；
The energy management system has undergone significant changes that no longer meet the original certification coverage requirements, and the organization has not been notified in a timely manner for proper handling;
◆未按规定及时交纳有关认证费用；
Failure to timely pay the relevant certification fees as required
◆不能在规定的时限内接受监督审核、特殊审核。但在获证组织达到监督审核期限而有证据表明获证组织暂不具备实施监督审核的条件时，可以适当延长监督审核期限，但最长间隔不能超过15个月；
Cannot accept supervision and special audits within the prescribed time limit. But when the certified organization reaches the supervision and review deadline and there is evidence indicating that the certified organization does not currently have the conditions to implement supervision and review, the supervision and review deadline can be appropriately extended, but the longest interval cannot exceed 15 months
c)不接受或不配合本机构组织实施的认证有效性内部稽查、国家主管部门组织实施的监督检查；
Not accepting or not cooperating with the internal inspection of certification validity organized by this institution, and the supervision and inspection organized by the national competent department;
◆其他违反与本机构签订的合同及其协议的规定；
Other violations of contracts and agreements signed with this institution
◆被有关执法监管部门责令停业整顿的；
Ordered by relevant law enforcement and regulatory departments to suspend business for rectification
◆被地方认证监管部门发现体系运行存在问题，需要暂停证书的；
Discovered by local certification regulatory authorities that there are operational issues with the system and the certificate needs to be suspended
◆持有的行政许可证明、资质证书、强制性认证证书等过期失效，重新提交的申请已被受理但尚未换证的；
The administrative license certificate, qualification certificate, mandatory certification certificate, etc. held have expired and become invalid. The resubmitted application has been accepted but has not yet been renewed
◆在监督审核、特殊审核、认证有效性内部稽查中发现的不符合项，在商定的时间内采取的纠正、纠正措施未被接受（或未被证实有效）；
Non conformities identified during supervisory audits, special audits, and internal audits of certification effectiveness, where corrective actions taken within the agreed upon timeframe have not been accepted (or proven effective)
◆特殊行业，在特定时期国家有要求予以暂停的；
Special industries that require suspension by the state during specific periods
d)对其投诉或任何其它信息证实获证组织不再符合本机构的相关规定要求
Complaints or any other information confirming that the certified organization no longer meets the relevant regulatory requirements of this institution
e)获证客户主动请求暂停
The certified customer voluntarily requests a suspension
f)其他不满足本机构认证要求的情况。
Other situations that do not meet the certification requirements of this institution
12.2.2 HIC应给能源管理体系获证企业发出适当的关于暂停的通知，并应给出理由。
HIC should issue appropriate notices of suspension to certified energy management system enterprises and provide reasons
12.2.3 当一张能源管理体系证书被暂停，企业不应再描述他们的企业是获得能源管理体系认证的组织也不应再使用相应的标志，并应尽快完成相应改进措施。
When an energy management system certificate is suspended, companies should no longer describe themselves as organizations that have obtained energy management system certification, nor should they use the corresponding logo, and should complete corresponding improvement measures as soon as possible.
12.2.4 企业应有权针对能源管理体系证书的暂停提出申诉。
Enterprises should have the right to appeal against the suspension of their energy management system certificates
13.认证转换 Authentication conversion
HIC审慎受理能源管理体系认证证书转换申请，对违反国家能源管理法律法规受到节能执法监管部门查处的组织，原则上不予受理。参照《认证证书转换管理办法》执行。
HIC prudently accepts applications for the conversion of energy management system certification certificates, and generally does not accept organizations that violate national energy management laws and regulations and are investigated by energy-saving law enforcement and regulatory departments. Refer to the "Management Measures for Certification Certificate Conversion" for implementation.
14.结合审核 Combined audit
14.1 在与其他管理体系实施结合审核时，管理体系的通用或共性要求应满足能源管理体系认证规则规定。能源管理体系的特殊要求及重要审核点描述清晰、充分、易于识别，确保满足相关要求并在审核报告中进行清晰的说明。
When conducting combined audits with other management systems, the general or common requirements of the management system should comply with the certification rules for energy management systems. The special requirements and important audit points of the energy management system are described clearly, fully, and easily identifiable to ensure compliance with relevant requirements and are clearly explained in the audit report
14.2 结合审核的审核时间，不得少于每一单独体系认证所需审核时间之和的80%。
The combined audit time shall not be less than 80% of the total audit time required for each individual system certification
14.3 当客户的能源管理体系与ISO9001：2015或与其他管理体系同时审核时，执行《管理体系结合审核管理办法》的规定，结合审核的安排应在合同评审时由HIC管理人员做出。
When the customer's energy management system is audited simultaneously with ISO9001:2015 or other management systems, the provisions of the "Management System Combined Audit Management Measures" shall be implemented, and the arrangement for combined audit shall be made by HIC management personnel during contract review.
14.4 结合审核的安排应考虑审核组长由具备二个体系审核员资格的并具有组长能力（高级）审核员担任，审核组成员也应安排双体系审核员参加，审核时间（人日数）的安排应符合《管理体系结合审核管理办法》的规定。
The arrangement of the audit should consider that the audit team leader should be a senior auditor with the qualifications of two system auditors and the ability to lead the team. Members of the audit team should also arrange for dual system auditors to participate. The arrangement of audit time (person days) should comply with the provisions of the "Management System Integration Audit Management Measures"
14.5 审核组长在完成审核后，对每个体系均应做出评价，并编制审核报告。在认证决定人员评审后，经批准发出两张认证证书。
After completing the audit, the audit team leader should evaluate each system and prepare an audit report. After the certification decision personnel review, two certification certificates will be issued upon approval.
15.认证人员能力评价 Capability evaluation of certified personnel
15.1基本要求 Basic Requirements
按照以下原则分别对各类人员的能力进行初始评价、初始测试、能力监控与评价，能 力定期测试与评价，并保持评价记录。认证审核员、认证管理人员能力评价结果需经 由领导批准后方可在系统上录入。
According to the following principles, conduct initial evaluation, initial testing, ability monitoring and evaluation of various personnel's abilities, regularly test and evaluate their abilities, and maintain evaluation records. The evaluation results of the abilities of certification auditors and certification management personnel must be approved by the leadership before they can be entered into the system.
15.2 所有认证人员的知识和能力要求、特定技能要求等，须满足 ISO/IEC 17021：2015《管理体系审核要求》（CNAS-CC01：2015）、《ISO 50003:2021《能源管理体系认证机构要求》（CNAS-CC190:2021）、本程序条款要求及本程序附录E 的对认证人员的相关知识和能力要求。
All certification personnel must meet the knowledge and ability requirements, specific skill requirements, etc., in accordance with ISO/IEC 17021:2015 "Management System Audit Requirements" (CNAS-CC01:2015), ISO 50003:2021 "Energy Management System Certification Body Requirements" (CNAS-CC190:2021), the requirements of this procedure, and the relevant knowledge and ability requirements for certification personnel in Appendix E of this procedure.
15.3 认证人员能力初始评价Initial evaluation of certification personnel's abilities
15.3.1 认证人员初始能力评价Initial evaluation of certification personnel's abilities
a. 所有认证人员的知识和能力要求、特定技能要求等，须满足 ISO/IEC 17021：2015《管理体系审核要求》（CNAS-CC01：2015）、ISO 50003:2021《能源管理体系认证机构要求》（CNAS-CC190:2021）、本程序条款要求及本程序附录E的对认证人员的相关知识和能力要求。
All certification personnel must meet the knowledge and ability requirements, specific skill requirements, etc., in accordance with ISO/IEC 17021:2015 "Management System Audit Requirements" (CNAS-CC01:2015), ISO 50003:2021 "Energy Management System Certification Body Requirements" (CNAS-CC190:2021), the requirements of this procedure, and the relevant knowledge and ability requirements for certification personnel in Appendix E of this procedure.
b. 由管理部根据初始能力评价准则进行初始能力评价前的人事确认并记录，记录包括被评价人的教育、工作、培训、审核（咨询）的相关信息，填写《认证人员登记表》、《审核经历汇总表》(审核员专用）以获取其知识和技能的证据，使对其能力有基本了解；《认证人员登记表》内容尽可能详细、充分、以便于识别被评价人员所具有的知识和技能；
The management department shall confirm and record the personnel before the initial capability evaluation based on the initial capability evaluation criteria, including the relevant information of the evaluated person's education, work, training, and audit (consultation), and fill out the "Certified Personnel Registration Form" and "Audit Experience Summary Form" (for auditors only) to obtain evidence of their knowledge and skills, so as to have a basic understanding of their abilities; The content of the "Certified Personnel Registration Form" should be as detailed and sufficient as possible to facilitate the identification of the knowledge and skills possessed by the evaluated personnel;
c. 管理部应在招聘人员入职时进行基本的面试考察，以了解其过去的工作经历知识和技能的情况；将面试情况记录在《管理体系认证人员专业能力面谈记录表》中，必要时对记录中相关信息进行验证、澄清和确认；
The management department should conduct basic interview assessments when recruiting personnel to understand their past work experience, knowledge, and skills; Record the interview situation in the "Professional Ability Interview Record Form for Management System Certification Personnel", and verify, clarify, and confirm the relevant information in the record if necessary;
d. 技术委员会获得管理部的上述有关材料记录后，组织评价人员根据本程序规定的评价准则、《能源管理体系专业技术领域分析》对审核员进行初始能力评价，将评价结果填写在《认证人员专业能力评价表》中。
After obtaining the relevant material records from the management department, the technical committee will organize evaluators to conduct an initial competency evaluation of the auditors based on the evaluation criteria specified in this procedure and the "Analysis of Professional Technical Fields of Energy Management System". The evaluation results will be filled in the "Certification Personnel Professional Competency Evaluation Form".
e. 技委会对批准评价合格的认证人员分别建档编制最新评价结果和注册状态，之后准备进入认证人员初始能力测试程序（见 15.3.2）。
The Technical Committee shall file and prepare the latest evaluation results and registration status for the certified personnel who have been approved and evaluated as qualified, and then prepare to enter the initial ability testing program for certified personnel (see 15.3.2)
15.3.2 认证人员初始能力测试 Initial Ability Test for Certification Personnel
15.3.2.1 审核员/技术专家的初始能力测试
Initial competency testing for auditors/technical experts
a. 技委会根据15.3.1.d的《认证人员专业能力评价表》所输出的认证业务范围（对应的技术领域），依据《能源管理体系专业技术领域分析》中有关的知识内容编制并提供《EnMS审核员专业能力测试卷-基础知识》《EnMS审核员专业能力评定表》做测试，并交回技委会。经技委会评价，管理者代表审批，审定符合要求报总经理批准即认定该审核员能力合格，可安排其参加审核。如测试结果为不合格的，则需要对该工作岗位进行特定知识和技能的专项培训并再考核合格后方可参加审核。
The Technical Committee shall prepare and provide the "EnMS Auditor Professional Ability Test Paper - Basic Knowledge" and "EnMS Auditor Professional Ability Evaluation Form" for testing based on the certification business scope (corresponding technical field) output from the "Certification Personnel Professional Ability Evaluation Form" 15.3.1.d, and the relevant knowledge content in the "Energy Management System Professional Technical Field Analysis", and submit them back to the Technical Committee. After evaluation by the Technical Committee and approval by the management representative, if the auditor meets the requirements and is approved by the General Manager, it is deemed that the auditor's ability is qualified and can be arranged to participate in the audit. If the test result is unqualified, specialized training on specific knowledge and skills for the job position is required, and only those who pass the assessment can participate in the audit.
b. 级别审核员首次参加华凯审核，需由具有组长资格的人员进行见证，并填写《机构内部新入职审核员初始能力见证评价报告》。见证不合格者需重新安排见证或经专项培训考核合格后方可正式执行审核任务。CCAA 见证可替代首次见证。特殊情况由审核部负责人批准。
Level auditors participating in the Huakai audit for the first time must be witnessed by personnel with team leader qualifications and fill out the "Initial Ability Witness Evaluation Report for Newly Employed Auditors within the Institution". Those who fail the witnessing must be re arranged for witnessing or undergo special training and assessment before they can officially carry out the audit task. CCAA witnessing can replace the first witnessing. Special circumstances shall be approved by the head of the audit department.
15.3.2.2 项目管理员（申请/合同评审人员、计划/方案管理人员）的初始能力测试
Initial competency testing for project administrators (application/contract reviewers, planning/scheme managers)
a. 纳入《认证人员一览表》备案的项目管理人员，由技委会依据《能源管理体系专业技术领域分析》中有关的知识内容编制并提供一份《审核员/认证管理人员专业能力测试表》做测试，并交回技委会。经技委会评价，管理者代表审批，审定符合要求报总经理批准即认定该项目管理员具备相应专业能力。如评价、测试结果为不合格的，则需要对该工作岗位进行特定知识和技能的专项培训并再考核合格后方可上岗。
The project management personnel included in the "List of Certified Personnel" for filing shall be prepared and provided with a "Professional Ability Test Form for Auditors/Certified Management Personnel" by the Technical Committee based on the relevant knowledge content in the "Analysis of Professional Technical Fields of Energy Management System" for testing, and shall be returned to the Technical Committee. After evaluation by the Technical Committee and approval by the management representative, if it meets the requirements and is approved by the General Manager, it is deemed that the project administrator has the corresponding professional competence. If the evaluation or test results are unqualified, the job position needs to receive specialized training in specific knowledge and skills, and then pass the assessment before being able to take up the post.
15.3.2.3 报告检查/认证决定人员的初始能力测试 Initial capability testing of personnel for report inspection/certification decision-making
a. 纳入《认证人员一览表》备案的报告检查/认证决定人员，技委会根据 15.3.1.d的《认证人员专业能力评价表》所输出的认证业务范围（对应的技术领域），依据《能源管理体系专业技术领域分析》中有关的知识内容编制并提供一份《审核员/认证管理人员专业能力测试表》做测试，并交回技委会。经技委会评价，管理者代表审批，审定符合要求报总经理批准即认定该报告检查/认证决定人员具备相应专业能力。如评价、测试结果为不合格的，则需要对该工作岗位进行特定知识和技能的专项培训并再考核合格后方可上岗。
The report inspection/certification decision personnel included in the "List of Certification Personnel" for filing shall be tested by the Technical Committee based on the certification business scope (corresponding technical field) output by the "Certification Personnel Professional Ability Evaluation Form" in 15.3.1.d, and shall prepare and provide a "Auditor/Certification Management Personnel Professional Ability Test Form" for testing according to the relevant knowledge content in the "Energy Management System Professional Technical Field Analysis", and submit it back to the Technical Committee. After evaluation by the Technical Committee and approval by the management representative, if the report meets the requirements and is approved by the General Manager, it is deemed that the personnel responsible for inspection/certification have the corresponding professional competence. If the evaluation or test results are unqualified, the job position needs to receive specialized training in specific knowledge and skills, and then pass the assessment before being able to take up the post.
15.3.2.4 能力评价人员的初始能力测试 Initial ability testing of capability evaluators
a. 纳入《认证人员一览表》备案的能力评价人员，由管理者代表依据《能源管理体系专业技术领域分析》中有关的知识内容编制并提供一份《审核员/认证管理人员专业能力测试表》做测试，并交回技委会。经技委会评价，管理者代表审批，审定符合要求报总经理批准即认定该能力评价人员具备相应专业能力。如评价、测试结果为不合格的，则需要对该工作岗位进行特定知识和技能的专项培训并再考核合格后方可上岗。
The ability evaluation personnel included in the "List of Certified Personnel" for filing shall be prepared and provided with a "Professional Ability Test Form for Auditors/Certified Management Personnel" by the management representative based on the relevant knowledge content in the "Analysis of Professional Technical Fields of Energy Management System" for testing, and shall be returned to the Technical Committee. After evaluation by the Technical Committee and approval by the management representative, if the assessment meets the requirements and is submitted to the General Manager for approval, it is deemed that the evaluator has the corresponding professional competence. If the evaluation or test results are unqualified, the job position needs to receive specialized training in specific knowledge and skills, and then pass the assessment before being able to take up the post.
15.4 认证人员工作过程中的能力监控与评价
Ability monitoring and evaluation of certification personnel during the work process
15.4.1 工作过程中能力监控评价是通过在认证人员日常实际工作、审核中的能力表现 予以多方式的证实其能力是否得到保持。
Ability monitoring and evaluation during the work process is a multi-faceted verification of whether the abilities of certified personnel have been maintained through their performance in daily practical work and audits
15.4.2 对审核项目中审核员（含实习审核员）、技术专家的审核工作的专业能力和合规性的过程监控评价。于每一个审核项目中，由审核组长现场按照规定的考察项目实施并记录在《机构内部审核员见证评审报告》中。如现场表现见证评价结果出现一项为“较差”或“差”的，则需要对该审核人员进行补充培训及考核。
Process monitoring and evaluation of the professional competence and compliance of auditors (including intern auditors) and technical experts in the audit project. In each audit project, the audit team leader shall conduct on-site inspections according to the prescribed inspection items and record them in the "Internal Auditor Witness Review Report of the Institution". If the on-site performance witness evaluation result shows one item as "poor" or "poor", the auditor needs to receive supplementary training and assessment.
15.4.3 委托客户对审核组成员的工作表现及能力的过程监控评价。所有的认证审核项 目结束后，在客户获证后由客服人员与认证组织联系，提供一份《认证组织满意度调查表》（评价对象为公司的项目管理人员及本次审核的审核组各成员），请获证组织在对公司信息沟通、审核组成员在审核工作的专业性、工作能力和合规性、服务质量等进行评定。客服部收回调查评价表后进行统计分析，对评价不合格的当事人，应视为客户投诉处理，按照相关程序要求进行处理。
Entrust the client to monitor and evaluate the performance and abilities of the audit team members during the process. After all certification audit projects are completed, customer service personnel will contact the certification organization to provide a "Certification Organization Satisfaction Survey Form" (evaluating the company's project management personnel and members of the audit team for this audit). The certification organization will evaluate the company's information communication, the professionalism, work ability, compliance, and service quality of the audit team members. After the customer service department retrieves the investigation and evaluation form, statistical analysis should be conducted. Those who fail the evaluation should be treated as customer complaints and processed according to relevant procedures.
15.5 认证人员的能力定期测试及评价
Regular testing and evaluation of the abilities of certified personnel
15.5.1审核员的年度见证考核Annual witness assessment of auditors
公司根据审核人员使用频率和活动的风险水平，策划审核人员的见证频率，具体见《审核人员管理办法》。
The company plans the witnessing frequency of auditors based on their frequency of use and the level of risk associated with their activities, as outlined in the 'Auditor Management Measures'.
15.5.2 对关键岗位人员（项目管理人员、认证决定人员、能力评价人员）的能力进行年度确认每年 1-2 月技委会、审核部组成评价组，按照《认证管理人员专业能力评价表》对关键岗位人员进行考评。对测试不合格的关键岗位人员，技委会将撤销其相应的技术领域中的业务代码范围。
Annual confirmation of the abilities of key personnel (project management personnel, certification decision personnel, ability evaluation personnel) is conducted. In January and February each year, the technical committee and audit department form an evaluation team to evaluate key personnel according to the "Professional Ability Evaluation Form for Certification Management Personnel". For key personnel who fail the test, the technical committee will revoke their corresponding business code scope in the technical field
15.6 审核员初次担任组长的能力评价
Assessment of the ability of auditors to serve as team leaders for the first time
15.6.1 级别审核员初次担任组长的，需要对其组长资格的能力进行一次见证评价。申 请人需填写《审核员见证申请表》，经在审核任务批准后由审核部安排见习组长作为审核 组的组长开展审核。现场见证人员为具有注册审核员资格及组长资格的审核人员。现场见证后见证员填写《机构内部审核组长见证评价报告》。
Level auditors who serve as team leaders for the first time need to undergo a witness evaluation of their ability to qualify as team leaders. The applicant needs to fill out the "Auditor Witness Application Form", and after the approval of the audit task, the audit department will arrange a trainee team leader as the leader of the audit team to conduct the audit. The on-site witnesses are auditors with registered auditor qualifications and team leader qualifications. After on-site witnessing, the witness shall fill out the "Internal Audit Team Leader Witness Evaluation Report of the Institution"
15.6.2 级别审核员的组长资格的能力见证原则为一次见证，对见证结论最终意见为不合格的，需提出申请再次见证直至见证结论最终意见为合格，审核部才能在后续安排审核项目时给与其组长角色。
The principle of witnessing the ability of a level auditor's team leader qualification is to witness once. If the final opinion of the witness conclusion is unqualified, an application must be made to witness again until the final opinion of the witness conclusion is qualified. Only then can the audit department assign the role of team leader to them when arranging audit projects in the future.
15.7 能力评价负面结果的处理
Handling of Negative Results in Capability Evaluation
15.7.1 公司在认证业务范围认可后，对某一唯一性特定技术领域认证人员能力评价 的结果为不满意的，且通过后续的培训依然不能满足要求的，或是如具备某一特定技术领域的专业能力审核员，被公司解雇的，将对公司的能力产生影响。技术委员会应及时报告管理者代表或总经理，并分析对公司整体能力的限制性因素和对目前认证产生的影响；
If the company is dissatisfied with the evaluation of the certification personnel's ability in a specific technical field after the certification business scope is recognized, and cannot meet the requirements after subsequent training, or if a professional auditor with a specific technical field is dismissed by the company, it will have an impact on the company's ability. The technical committee should promptly report to the management representative or general manager, and analyze the limiting factors on the overall capabilities of the company and the impact on current certification;
15.7.2 通过分析，批准后由管理部快速招聘具备特定技术领域认证人员予以补充，技术委员会并按照本程序有关要求进行对其初始能力评价。
After analysis and approval, the management department will quickly recruit personnel with certification in specific technical fields to supplement, and the technical committee will conduct an initial capability evaluation in accordance with the relevant requirements of this procedure.
15.8 认证人员能力评价准则的确定
Determination of Criteria for Evaluating the Competence of Certification Personnel
15.8.1 申请/合同评审人员的能力准则
a) 具有大学专科以上学历，有两年以上工作经历；
Having a college diploma or above and over two years of work experience
b) 熟悉、理解“认证认可条例”、“认可机构认可准则、规则、指南”的要求及公司的相关认证审核程序、申请和合同评审作业认证制度的规定；
Familiarize and understand the requirements of the "Certification and Accreditation Regulations", "Accreditation Criteria, Rules, and Guidelines for Accreditation Bodies", as well as the provisions of the company's relevant certification audit procedures, application and contract review operation certification system;
c) 熟悉国民经济专业分类和机构各体系技术领域分类分组和管理要求的内容；
Familiar with the classification of national economic specialties and the technical field classification, grouping, and management requirements of various institutional systems;
d) 能熟练使用机构计算机管理系统；
Proficient in using institutional computer management systems;
e) 掌握负责体系标准或其他规范性文件内容，了解相关法律法规的要求；熟悉有相关行业实践的通用术语和过程内容；熟悉能源管理相关的术语和定义（包括：范围和删减的适用性；能源原理，包括能源类型、能源使用、能源转换和不同单位（如千瓦时到TJ）的能源计算；
Master the content of responsible system standards or other normative documents, and understand the requirements of relevant laws and regulations; Familiar with common terminology and process content related to industry practices; Familiar with energy management related terms and definitions (including scope and applicability of deletions; energy principles, including energy types, energy use, energy conversion, and energy calculations in different units (such as kilowatt hours to TJ);
f) 客户产品、过程和组织类型、规模、治理、结构方面内容（不具备时可由相应专业专家协同）。
Customer product, process, and organizational type, scale, governance, and structure content (can be coordinated by corresponding professional experts if not available)
g) 如申请/合同评审人员同时为审核员时，对其审核员资格的评价可替代认证管理人 员的能力评价。
If the applicant/contract reviewer is also an auditor, the evaluation of their auditor qualifications can replace the ability evaluation of certification management personnel
15.8.2 审核方案管理人员（包括确定审核项目、指派审核任务人员）的能力准则
Competency criteria for audit plan management personnel (including determining audit projects and assigning audit task personnel)
a) 具有大学专科以上学历，有两年以上工作经历；
Having a college diploma or above and over two years of work experience
b) 具有一定的分析、判断能力及良好的口头和文字表达能力；
Having certain analytical and judgmental abilities, as well as good oral and written communication skills;
c) 有良好的服务意识，有责任心、有耐心，能与客户进行良好的沟通。
Have a good sense of service, responsibility, patience, and the ability to communicate effectively with customers.
d) 熟悉理解“认证认可条例”、“认可机构认可准则、规则、指南”的要求及公司认证审核程序及有关认证管理制度的相关规定；
Familiar with and understanding the requirements of the "Certification and Accreditation Regulations", "Accreditation Criteria, Rules, and Guidelines for Accreditation Bodies", as well as the company's certification audit procedures and relevant regulations on certification management systems;
e) 掌握负责体系标准或其他规范性文件内容，了解相关法律法规的要求；熟悉有相关行业实践的通用术语和过程内容；熟悉能源管理相关的术语和定义（包括：范围和删减的适用性；能源原理，包括能源类型、能源使用、能源转换和不同单位（如千瓦时到TJ）的能源计算；
Master the content of responsible system standards or other normative documents, and understand the requirements of relevant laws and regulations; Familiar with common terminology and process content related to industry practices; Familiar with energy management related terms and definitions (including scope and applicability of deletions; energy principles, including energy types, energy use, energy conversion, and energy calculations in different units (such as kilowatt hours to TJ);
f) 能熟练运用机构计算机管理系统。
Proficient in using institutional computer management systems.
g) 17021 要求的其他知识和技能。
Other knowledge and skills required by 17021
h) 如审核方案管理人员同时为审核员时，对其审核员资格的评价可替代其认证管理人 员的能力评价。
When the management personnel of the audit plan are also auditors, the evaluation of their auditor qualifications can replace the ability evaluation of their certification management personnel.
15.8.3 报告检查/认证决定人员评定准则
Report inspection/certification decision personnel evaluation criteria
a) 掌握负责体系标准或其他规范性文件内容，了解相关法律法规的要求；熟悉有相关行业实践的通用术语和过程内容；熟悉能源管理相关的术语和定义（包括：范围和删减的适用性；能源原理，包括能源类型、能源使用、能源转换和不同单位（如千瓦时到TJ）的能源计算；
Master the content of responsible system standards or other normative documents, and understand the requirements of relevant laws and regulations; Familiar with common terminology and process content related to industry practices; Familiar with energy management related terms and definitions (including scope and applicability of deletions; energy principles, including energy types, energy use, energy conversion, and energy calculations in different units (such as kilowatt hours to TJ);
b) 了解能源绩效参数（EnPIs）、能源基准（EnB）、相关变量和静态因素及其在EnMS中证明能源绩效改进的用途
Understand the Energy Performance Parameters (EnPIs), Energy Benchmarks (EnB), related variables, and static factors and their use in demonstrating energy performance improvement in EnMS
c) 了解通用的能源使用系统，如：锅炉和热流体系统；制冷、供暖、通风和空调；机械系统(如电机、风扇、泵)；热，而非建筑围护结构(如炉子)；压缩空气；照明；根据适当决定，可以包括额外的系统；
Understand common energy usage systems, such as boilers and thermal fluid systems; Refrigeration, heating, ventilation, and air conditioning; Mechanical systems (such as motors, fans, pumps); Heat, rather than building envelope structures (such as stoves); Compressed air; Lighting; According to appropriate decisions, additional systems may be included;
d) 了解能源使用系统中潜在的能源绩效改进以及用于实现能源绩效改进的当前技术的应用；
Understand the potential energy performance improvements in the energy usage system and the application of current technologies for achieving energy performance improvements;
e) 了解EnMS中通常包含的数据类型，使用的典型监测、测量和分析方法，以及通过将能源绩效参数（EnPIs）与其相对应的归一化的能源基准（EnB）进行比较来评估能源绩效的改进
Understand the data types typically included in EnMS, typical monitoring, measurement, and analysis methods used, and evaluate improvements in energy performance by comparing energy performance parameters (EnPIs) with their corresponding normalized energy benchmarks (EnBs)
f) 17021 要求的其他知识和技能；Other knowledge and skills required by 17021
g) 特殊行业/高风险行业认证业务范围的认证决定人员宜具备不低于该业务范围专业审核员的要求；一般行业/中低风险行业认证业务范围的认证决定人员宜具备专业大类中的某一专业小类相关审核员的能力要求；
The certification decision personnel for the scope of certification business in special/high-risk industries should meet the requirements of professional auditors no less than those in the scope of the business; Certification decision-makers for general/medium low risk industries should possess the ability requirements of auditors related to a specific professional subcategory within the professional category;
h) 认证评定亦可由级别审核员与该专业的技术专家一同做出认证决定；
Certification assessment can also be made jointly by level auditors and technical experts in the field to make certification decisions;
j) 如报告检查/认证决定人员同时为审核员时，对其审核员资格的评价可替代其认证管理人员的能力评价；
When the personnel responsible for inspection/certification decision-making are also auditors, the evaluation of their auditor qualifications can replace the ability evaluation of their certification management personnel;
15.8.4 负责实施专业能力评价的人员评价准则：
Personnel evaluation criteria responsible for implementing professional competence evaluation
a) 具有相应专业技术领域的基本理论知识；
Have basic theoretical knowledge in the corresponding professional and technical fields
b) 熟悉机构专业能力评价准则、证实方法；
Familiar with the evaluation criteria and verification methods for institutional professional competence;
c) 具有一定的分析、判断能力；Having certain analytical and judgmental abilities
d) 熟悉国民经济专业分类和机构各体系技术领域分类分组和管理要求的内容；
Familiar with the classification of national economic specialties and the technical field classification, grouping, and management requirements of various institutional systems
e) 如专业能力评价人员同时为审核员时，对其审核员资格的评价可替代其认证管理人 员的能力评价。
When the professional competence evaluator is also an auditor, the evaluation of their auditor qualifications can replace the competence evaluation of their certification management personnel.
15.8.5 审核人员、技术专家能力评价准则
Evaluation criteria for the abilities of auditors and technical experts
a) 教育：与能源技术相关或相近的专业的本科以上学历并取得相应的学位证书；
Education: Bachelor's degree or above in a major related or similar to energy technology, with corresponding degree certificates obtained
b) 经历：至少4年能源管理方面全职实际工作经历，其中至少2年的工作经历来自与申请注册专业相关的能源管理和技术的工作经历；
Experience: At least 4 years of full-time practical work experience in energy management, including at least 2 years of work experience in energy management and technology related to the applied registration major;
c) CCAA 注册能源管理体系级别审核员；
CCAA registered energy management system level auditor;
d) 满足 ISO/IEC 17021：2015《合格评定管理体系审核要求》（CNAS-CC01：2015）中的 7.1 章及附录E EnMS认证技术领域的的知识和技能要求；
Meet the knowledge and skills requirements in Chapter 7.1 and Appendix E of ISO/IEC 17021:2015 "Audit Requirements for Conformity Assessment Management Systems" (CNAS-CC01:2015) in the field of EnMS certification technology;
e) 具有相应技术领域的基本理论知识和一定的实践经验；
Having basic theoretical knowledge and practical experience in the corresponding technical field;
f) 熟悉该技术领域相关的组织能源管理的过程；
Familiar with the process of organizational energy management related to this technical field;
g) 能识别组织影响能源管理的关键活动，并能对其控制的有效性进行评价；
Can identify key activities that affect energy management within the organization and evaluate the effectiveness of their control;
h) 熟悉相应技术领域的有关法律、法规、技术标准及其他要求；
Familiar with relevant laws, regulations, technical standards, and other requirements in the corresponding technical field;
i) 适用时，具有特定的资格证书；
When applicable, possessing specific qualification certificates;
j) 通过持续的专业发展，保持最新的能源管理和审核的知识与技能。(技术专家的专业能力要求与审核员的专业能力要求一致。提供技术培训的，应有充分证据证明技术培训的有效性。)
Maintain the latest knowledge and skills in energy management and auditing through continuous professional development. (The professional competence requirements for technical experts are consistent with those for auditors. Those providing technical training should have sufficient evidence to prove the effectiveness of the training.)
15.9 认证人员能力的保持与发展
Maintaining and developing the abilities of certified personnel
15.9.1 持续专业发展方式审核员和其他认证人员可以通过华凯提供持续专业发展机会以及自学等方式获得专业持续发展：
Continuous professional development auditors and other certified personnel can obtain professional continuous development through Huakai's provision of continuous professional development opportunities and self-study
a) 获取工作经验；Obtain work experience
b) 培训；training
c) 辅导；guidance
d) 自学；self-study
e) 研讨会、会议或其他类似活动。Seminar, conference or other similar activities
15.9.2 持续专业培训包括但不仅限于以下内容：
Continuous professional training includes but is not limited to the following content
a) 能源管理理论与实践、适用标准和法律法规知识以及技术领域能力准则的最新要求；
The latest requirements for knowledge of energy management theory and practice, applicable standards and laws and regulations, as well as technical field competency guidelines;
b) 华凯关于 EnMS 审核和认证的最新要求；
Huakai's latest requirements for EnMS audit and certification
c) 通过能力评价发现，审核员或其他认证人员的实际能力不能完全满足能力准则的要求，应对不满足的部分予以培训。
Through capability evaluation, it is found that the actual abilities of auditors or other certified personnel cannot fully meet the requirements of the competency criteria, and training should be provided for the parts that do not meet the requirements.
15.9.3 在组织交流和研讨时，华凯将考虑以下因素，以确保交流和研讨活动的有效性：
When organizing communication and discussions, Huakai will consider the following factors to ensure the effectiveness of the communication and discussion activities:
15.9.3.1 华凯在必要时将交流和研讨的成果汇总，制定或修订相关文件，如：
Huakai will summarize the results of communication and discussion when necessary, and develop or revise relevant documents, such as:
- EnMS 审核核认证的程序或作业指导文件；
EnMS audit and certification procedures or job guidance documents
- EnMS 审核检查单；EnMS Audit Checklist
- EnMS 审核核认证的能力需求分析、能力准则、能力评价过程或评价方法。
The capability requirement analysis, capability criteria, capability evaluation process or evaluation method for EnMS audit and certification.
15.9.3.2 上述交流和研讨的频次、范围、规模宜与下列方面相适宜：
The frequency, scope, and scale of the above exchanges and discussions should be suitable for the following aspects:
a) 华凯审核和认证活动的范围、规模和绩效；
The scope, scale, and performance of Huakai's audit and certification activities;
b) 华凯审核和认证人员的数量、能力范围与水平、工作量和绩效。
The number, scope and level of competence, workload, and performance of Huakai's audit and certification personnel.
附录 A ：能源管理体系审核时间
Appendix A: Energy Management System Audit Schedule
A.1 能源管理体系有效人员的确定
Determination of Effective Personnel for Energy Management System
A.1.1 HIC在确定 EnMS 有效人员时，应考虑所有可能的人员，包括所有固定、全职、 临时和兼职人员，同时还要考虑影响能源绩效或能源绩效改进的承包商或外部服务供方。
When determining effective personnel for EnMS, HIC should consider all possible personnel, including all fixed, full-time, temporary, and part-time personnel, as well as contractors or external service providers that may affect energy performance or energy performance improvement.
A.1.2 应考虑对能源绩效和能源管理体系的有效性产生实质性影响的人员，包括但不限于：
Personnel who have a substantial impact on energy performance and the effectiveness of energy management systems should be considered, including but not limited to:
|
序号
Serial Number |
管理职能
management functions |
可能涉及的人员类别/示例
Possible personnel categories/examples involved |
|
1 |
最高管理者Top management |
公司总经理及其经营决策团队等。
The company's general manager and their management decision-making team, etc |
|
2 |
能源管理团队
Energy Management Team |
经最高管理层授权的能源管理人员，如管理者 代表及能源管理小组。
Energy management personnel authorized by the top management, such as management representatives and energy management teams. |
|
3 |
对与能源绩效相关的采购负有责任的人员
Personnel responsible for procurement related to energy performance |
设施设备、服务、能源等的采购人员，包括采 购管理和采购活动实施人员等。
Procurement personnel for facilities, equipment, services, energy, etc., including procurement management and procurement activity implementation personnel. |
|
4 |
对影响能源绩效的重要变更负有责任的人员
Personnel responsible for significant changes that affect energy performance |
1）能源管理体系策划人员；
2）能源绩效参数、能源基准、目标和能源指标的策划人员；
3）设施设备和工艺过程变更管理人员。
1) Energy management system planners;
2) Planning personnel for energy performance parameters, energy benchmarks, targets, and energy indicators;
3) Facility equipment and process change management personnel. |
|
5 |
对建立、实施或保持能源绩效改进（包括目标、能源指标和措施计划）负有责任的人员
Personnel responsible for establishing, implementing, or maintaining energy performance improvements (including goals, energy indicators, and action plans) |
1）目标和能源指标的制定、实施及考核人员；
1) Personnel responsible for the formulation, implementation, and assessment of goals and energy indicators;
2）与目标、能源指标和措施计划相关的业务管理人员，如工厂或设备经理等。
Business management personnel related to goals, energy indicators, and action plans, such as factory or equipment managers |
|
6 |
对开发维护能源数据和分析负有责任的人员
Personnel responsible for developing, maintaining, and analyzing energy data |
1）与能源使用和消耗数据（如能源绩效参数、相关变量、静态因素、目标和指标等）进行策划、统计和分析的人员，如能源/设备/过程工程师等；
Personnel responsible for planning, compiling, and analyzing energy usage and consumption data (such as energy performance parameters, related variables, static factors, goals, and indicators), such as energy/equipment/process engineers;
2）从事其他关键数据（例如公用事业能源账单、建筑管理数据、财务数据等）管理和分析的人员。
Personnel engaged in the management and analysis of other key data, such as utility energy bills, building management data, financial data, etc. |
|
7 |
对策划、运行和维护主要能源使用相关过程负 有责任的人员
Personnel responsible for planning, operating, and maintaining processes related to the use of primary energy sources |
1）能源评审活动管理、实施人员；
Management and implementation personnel for energy review activities
2）与主要能源使用运行相关的运行和维护准则制修订人员；
Personnel responsible for revising operation and maintenance guidelines related to the use and operation of major energy sources
3）主要能源使用相关的操作和维护人员；
Operation and maintenance personnel related to the main energy use
4）主要能源使用过程关键特性的监测人员。
Monitoring personnel for key characteristics of the main energy use process |
|
8 |
对影响能源绩效的设计负有责任的人员
Personnel responsible for designs that affect energy performance |
与设施、设备、系统和用能过程进行节能技改 （新建、改造、扩建等）项目实施有关人员。
Personnel involved in implementing energy-saving technological upgrades (new construction, renovation, expansion, etc.) for facilities, equipment, systems, and energy consumption processes. |
注1：以上人员包括组织内部人员和外包方人员，外包可能涉及的重要过程包括：生产运行的外包、设计外包、设备运维外包、新改扩建项目的外包等。
Note 1: The above personnel include both internal personnel of the organization and outsourced personnel. Outsourcing may involve important processes such as production and operation outsourcing, design outsourcing, equipment operation and maintenance outsourcing, and outsourcing of new construction and expansion projects.
注2：考虑组织职能划分，一般可包括组织最高管理层、能源管理团队、能源管理体系主管部门、人员能力及培训管理、设备管理、计量器具管理、采购管理、生产运行管理、文件管理、工艺及设计管理、合规性管理、能源项目管理、财务管理等；非以上职能人员可排除在外，排除前需确定这些人员的作用和影响。
Note 2: Considering the division of organizational functions, it generally includes the organization's top management, energy management team, energy management system supervisory department, personnel capability and training management, equipment management, measuring instrument management, procurement management, production operation management, document management, process and design management, compliance management, energy project management, financial management, etc; Non functional personnel may be excluded, and their roles and impacts must be determined before exclusion.
A.1.3 兼职人员 Part time personnel
根据实际工作的小时数，兼职人员的数量可以减少或增加，并换算成等效的全 职人员数量，可按照以下公式进行核算：
According to the actual working hours, the number of part-time employees can be reduced or increased, and converted into the equivalent number of full-time employees, which can be calculated according to the following formula:
等效的全职人员数量=工作小时数/8小时×兼职人员数量
Equivalent number of full-time employees=working hours/8 hours x number of part-time employees
例如：30名每天工作4小时的兼职人员，相当于15名全职人员。
For example, 30 part-time workers who work 4 hours a day are equivalent to 15 full-time workers.
A.1.4 倒班人员 shift personnel
关于倒班过程有效人员数量的计算，可参考上述5.3的原则，基于每天工作8 小时进行折算，即倒班员工的有效人员数量计算方法为：
Regarding the calculation of the effective number of personnel in the shift process, reference can be made to the principle in section 5.3 above. Based on an 8-hour workday, the calculation method for the effective number of personnel in the shift is as follows:
倒班的有效人员数量=倒班的员工总人数×每日工作总时长（小时）/倒班班次×8（小时）
The effective number of shift personnel=total number of shift employees x total daily working hours (hours)/shift shifts x 8 (hours)
例如:某化工车间连续生产，共设置有四个班组，每个班组共有12人，总的倒 班人员数量为48人，按照早、中、晚进行轮班生产（即四班三运转），其倒班的有 效人员数量为36人，其计算方法如下：48×24/(4×8)=36人。
For example, a chemical workshop is engaged in continuous production, with four teams consisting of 12 people each. The total number of shift personnel is 48, and the shift production is carried out in the morning, middle, and evening (i.e. four shifts and three operations). The effective number of shift personnel is 36, calculated as follows: 48 × 24/(4 × 8)=36 people.
A.1.5 类似或重复过程人员 Personnel involved in similar or repetitive processes
当执行相似或重复过程的能源管理体系有效人员占比较高时，允许在清晰合理 并对每个企业应用一致的基础上，减少认证范围内的人员数量。确定类似或重复过 程的能源管理体系有效人员的理由和准则需保留文件化信息。
When the proportion of effective personnel in the energy management system executing similar or repetitive processes is high, it is allowed to reduce the number of personnel within the certification scope on the basis of clarity, rationality, and consistent application to each enterprise. The reasons and criteria for identifying effective personnel in energy management systems for similar or repetitive processes need to be documented.
类似或重复过程人员数量的缩减程度宜考虑相关人员活动对能源绩效的影响程 度进行确定，以确保对过程审核及抽样的充分性，包括：
The degree of reduction in the number of personnel involved in similar or repetitive processes should be determined by considering the impact of relevant personnel activities on energy performance, to ensure the adequacy of process audits and sampling, including:
a)相关人员活动对能源绩效影响较大的情况，例如船舶修造企业的焊接过程涉及的人员；
The activities of relevant personnel have a significant impact on energy performance, such as personnel involved in the welding process of shipbuilding enterprises;
b)相关人员活动对能源绩效影响有限或较小的情况，例如自动化程度较高的生产一线操作人员。
The activities of relevant personnel have limited or minimal impact on energy performance, such as production line operators with high levels of automation.
A.2 能源管理体系复杂程度的确定
Determination of the complexity of the energy management system
A.2.1复杂程度基于以下三个因素：The complexity is based on the following three factors:
— 年度综合能耗；Annual comprehensive energy consumption
— 能源种类的数量；Quantity of energy types
— 主要能源使用的数量。The quantity of primary energy used
A.2.2能源管理体系复杂程度是一个依据表 1 中列出的三个因素加权得到的计算值，复杂程度值C的计算公式是：
The complexity of the energy management system is a calculated value weighted based on the three factors listed in Table 1. The formula for calculating the complexity value C is:
C = (F EC×0.25) + (F ES×0.25) + (F SEU×0.50 )
其中of which，
F EC 是表 1 中的年度综合能耗的复杂程度系数；
F EC is the complexity coefficient of annual comprehensive energy consumption in Table 1;
F ES 是表 1 中的能源种类数量的复杂程度系数；
F ES is the complexity coefficient of the number of energy types in Table 1;
F SEU 是表 1 中的主要能源使用数量的复杂程度系数；
F SEU is the complexity coefficient of the main energy usage quantities in Table 1;
表 1 提供了计算复杂程度所需的每个因素的权重和相应范围内的复杂程度系数。
Table 1 provides the weights of each factor required for calculating complexity and the corresponding complexity coefficients within the range.
表 1 确定审核时间的能源复杂程度准则
Table 1 Energy Complexity Criteria for Determining Audit Time
|
因素
factor |
权重
weight |
范围range |
复杂程度系数
Complexity coefficient |
|
|
国际单位（TJ）
International Unit (TJ) |
国内常用单位（万吨标煤）
Domestic commonly used units (10000 tons of standard coal) |
|||
|
年度综合
能耗
Annual comprehensive energy consumption |
25% |
≤20 |
≤0.068 |
1.0 |
|
>20 且≤200 |
>0.068 且≤0.68 |
1.2 |
||
|
>200 且≤2000 |
>6.8 且≤6.8 |
1.4 |
||
|
>2000 |
>6.8 |
1.6 |
||
|
能源种类
数量
Quantity of energy types |
25% |
1~2 种 |
1.0 |
|
|
3 种 |
1.2 |
|||
|
≥ 4 种 |
1.4 |
|||
|
主要能源
使用数量
Main energy usage quantity |
50% |
1-3 SEUs |
1.0 |
|
|
4-6 SEUs |
1.2 |
|||
|
7-10 SEUs |
1.3 |
|||
|
11-15 SEUs |
1.4 |
|||
|
≥ 16 SEUs |
1.6 |
|||
|
注：年度综合能耗和主要能源使用数量从客户组织的能源评审中获得。 |
||||
|
注：年度综合能耗计算中的能源单位 TJ 与我国常用能源单位千克标准煤（kgce）的折算方法见 GB/T2589-2008，本文件参考使用 1TJ 相当于34吨标准煤（tce）。 |
||||
A.2.3按照上述公式计算得到复杂程度值，用该值可以根据表 2 来确定能源管理体系复杂程度的等级。
Calculate the complexity value according to the above formula, which can be used to determine the level of complexity of the energy management system based on Table 2.
表2 能源管理体系复杂程度等级
|
复杂程度值
Complexity value |
能源管理体系复杂程度等级
Complexity level of energy management system |
|
> 1.35 |
高high |
|
1.15–1.35 |
中middle |
|
< 1.15 |
低low |
A.3 能源管理体系审核时间的确定
Determination of Audit Time for Energy Management System
A.3.1 能源管理体系审核时间是基于能源管理体系有效人员的数量和复杂程度共同确定的。对于初次认证审核（第一阶段和第二阶段）的审核时间见表 3。HIC 应确保在第一阶段审核时对审核时间进行评审和确认。
The audit time of the energy management system is determined based on the number and complexity of effective personnel in the energy management system. The audit time for the initial certification audit (Phase 1 and Phase 2) is shown in Table 3. HIC should ensure that the audit time is reviewed and confirmed during the first stage audit.
当过程采用倒班方式运行时，每个班次的审核程度取决于每个班次发生的活动或过程，以及客户组织所展示的对每个班次的控制水平。为了审核有效实施，至少对其中的一个班次进行审核。倒班抽样的方法和不审核其他班次的理由应予以记录。
When the process operates in shift mode, the degree of audit for each shift depends on the activities or processes that occur in each shift, as well as the level of control demonstrated by the customer organization for each shift. To ensure effective implementation, at least one shift should be audited. The method of shift sampling and the reasons for not auditing other shifts should be recorded.
表 3 初次认证审核时间（审核人日）
Table 3 Initial Certification Audit Time (Auditor Days)
|
能源管理体系有效人员的数量
The number of effective personnel in the energy management system |
能源管理体系复杂程度
Complexity of energy management system |
||
|
低
low |
中
middle |
高
high |
|
|
1-8 |
2.5 |
4 |
5 |
|
9-15 |
4 |
6 |
7 |
|
16-25 |
5 |
7 |
9 |
|
26-65 |
6.5 |
8 |
10 |
|
66-85 |
8 |
9.5 |
11.5 |
|
86-175 |
8.5 |
11 |
12 |
|
176-275 |
9 |
11.5 |
12.5 |
|
276-425 |
10 |
13 |
15 |
|
≥426 |
能源管理体系有效人员的数量大于425时，HIC可按照本表的递进规律计算审核时间
When the number of effective personnel in the energy management system exceeds 425, HIC can calculate the audit time according to the progressive rule in this table |
||
A.3.2 监督和再认证审核的审核时间如表 4 所示。认证过程应确保根据能源管理体系、主要能源使用、设施、设备、系统或过程的重大变更结果，对已确定的审核时间进行复核。
The audit time for supervision and re certification review is shown in Table 4. The certification process should ensure a review of the established audit schedule based on significant changes in the energy management system, primary energy use, facilities, equipment, systems, or processes.
表 4 监督与再认证审核时间（审核人日）
Table 4 Supervision and Re certification Audit Time (Auditor Days)
|
有效人员的数量
Number of effective personnel |
能源管理体系复杂程度
Complexity of energy management system |
|||||
|
低
low |
中
middle |
高
high |
||||
|
监督
supervise |
再认证
recertification |
监督
supervise |
再认证
recertification |
监督
supervise |
再认证
recertification |
|
|
1-8 |
1 |
1.5 |
1 |
2.5 |
1.5 |
3 |
|
9-15 |
1 |
2.5 |
2 |
4 |
2.5 |
5 |
|
16-25 |
2 |
3.5 |
2.5 |
5 |
3 |
6 |
|
26-65 |
2.5 |
5 |
3 |
6 |
3.5 |
7 |
|
66-85 |
2.5 |
6 |
3.5 |
6.5 |
3.5 |
8.5 |
|
86-175 |
2.5 |
6 |
3.5 |
7 |
3.5 |
8.5 |
|
176-275 |
3 |
6 |
4 |
8 |
4 |
9.5 |
|
276-425 |
3.5 |
7 |
4 |
8.5 |
5 |
11 |
|
≥ 426 |
能源管理体系有效人员的数量大于425时，HIC可按照本表的递进规律计算审核时间
When the number of effective personnel in the energy management system exceeds 425, HIC can calculate the audit time according to the progressive rule in this table |
|||||
A.3.3 审核可包括远程审核技术，如交互式网络协作、网络会议、电话会议和/或客户组织流程的电子验证。
The audit may include remote audit techniques such as interactive network collaboration, online meetings, conference calls, and/or electronic verification of customer organizational processes.
A.3.4 远程审核活动应在审核计划中明确，且远程审核活动所用的时间应计入审核持续时间。审核计划应包括或引用使用任何远程审核活动的理由，还应包括远程审核技术的选择及如何得到管理。
Remote audit activities should be clearly defined in the audit plan, and the time spent on remote audit activities should be included in the audit duration. The audit plan should include or reference the reasons for using any remote audit activities, as well as the selection of remote audit technologies and how they will be managed.
注：远程审核可用于审核时间内的其他活动。
Note: Remote auditing can be used for other activities during the auditing period.
A.4 调整审核时间的因素 Factors for adjusting audit time
A.4.1 HIC应提供修改审核时间的考虑因素和决定审核时间调整的理由，并确保保留文件化信息。调整审核时间的因素可包括：
HIC should provide considerations for modifying the audit time and reasons for deciding to adjust the audit time, and ensure the retention of documented information. Factors that can adjust the review time include:
a)减少 reduce
1) 管理体系的成熟度； Maturity of management system;
2) 当前认证周期内与能源绩效改进有关的已认可的核查宣称。
Recognized verification claims related to energy performance improvement within the current certification cycle.
b) 增加 increase
1) 物流和大型场所； Logistics and large-scale venues;
2) 使用多种语言进行审核； Use multiple languages for review;
3) 客户组织的变化； Changes in customer organization;
4) 以往的审核发现； Previous audit findings;
5) 现场能源的生产（例如：边界内的蒸汽生产、热电联产）；
On site energy production (e.g. steam production within boundaries, cogeneration);
6) 一个人拥有多个未计入能源管理体系有效人数的角色。
A person has multiple roles that are not included in the effective personnel of the energy management system.
A.4.2 能源管理体系审核时间的减少不应超过表 3 和表 4 中确定时间的30%。
The reduction of energy management system audit time should not exceed 30% of the time determined in Tables 3 and 4.
A.4.3 一体化管理体系的审核可能使得审核时间的增加，但如果导致审核时间减少，则不得超过20%。对于一体化审核，审核时间的增加或减少是对A.4.1和A.4.2中审核时间的增加或减少的补充。
The audit of the integrated management system may increase the audit time, but if it leads to a reduction in audit time, it shall not exceed 20%. For integrated auditing, the increase or decrease in audit time is a supplement to the increase or decrease in audit time in A.4.1 and A.4.2.
A.5 临时场所 Temporary location
如果一个组织有包含类似活动的多个临时场所，HIC应采用多场所抽样方案对其能源管理体系进行审核。如果临时场所不包含类似的活动，则不允许对临时场所进行抽样（见附录B）。
If an organization has multiple temporary sites containing similar activities, HIC should use a multi site sampling plan to audit its energy management system. If the temporary venue does not contain similar activities, sampling of the temporary venue is not allowed (see Appendix B).
附录 B ：多场所组织
Appendix B: Multi site Organizations
B.1 总则 general principles
本附录（等同采用ISO50003）提供了包括确定审核时间和多场所组织抽样的特定要求。除方案要求或法律法规要求外，当本文件要求与其他文件中的要求不一致时，HIC将执行本文件。
This appendix (equivalent to ISO 50003) provides specific requirements for determining audit timing and organizing sampling from multiple locations. When the requirements of this document are inconsistent with those of other documents, except for those required by the plan or laws and regulations, HIC will implement this document.
对于已认可的第三方认证，HIC可能还需要根据情况应用其他相关文件（如IAF强制性文件）。
For recognized third-party certifications, HIC may also need to apply other relevant documents (such as IAF mandatory documents) depending on the situation.
本附录规定了单一能源管理体系下的多场所客户组织的EnMS认证要求。HIC规定的具体方法应确保审核能够为所有场所能源管理体系的符合性提供充分信任，并且审核应是现实的、可行的、经济合理的。能源管理体系应证实其能够实现所涉及的所有场所的预期结果。
This appendix specifies the EnMS certification requirements for multi site customer organizations under a single energy management system. The specific methods specified by HIC should ensure that the audit can provide sufficient trust for the compliance of energy management systems in all locations, and the audit should be realistic, feasible, and economically reasonable. The energy management system should demonstrate its ability to achieve the expected results for all locations involved.
在本附录中，除非另有说明，否则提及的“场所”一词是指常设场所(物理的或虚拟的)或临时场所(物理的或虚拟的)。
In this appendix, unless otherwise specified, the term "place" refers to a permanent place (physical or virtual) or a temporary place (physical or virtual).
本附录不包括在客户组织中部署多个EnMS的多场所组织，这种情况下，每个场所应被考虑作为具有单一场所的组织，并作为相应的受审核方。
This appendix does not include multi site organizations deploying multiple EnMS in the client's organization. In such cases, each site should be considered as an organization with a single site and as the corresponding auditee.
如果客户组织的能源管理体系需要认证，并且相关活动在组织授权和控制下的不同场所以类似方式进行，HIC应保持文件化信息，以便在初次认证审核、监督审核和再认证审核时对场所进行抽样。如果有正当理由，并且保留文件化信息作为证据，则可以考虑偏离附录B的要求。理由应表明，在开展审核之前，可以对列出的所有场所的EnMS符合性具有相同的信任水平。
If the energy management system of the client organization requires certification and related activities are carried out in a similar manner at different sites authorized and controlled by the organization, HIC should maintain documented information for sampling of sites during initial certification audits, supervisory audits, and re certification audits. If there are legitimate reasons and documented information is retained as evidence, deviations from the requirements of Appendix B may be considered. The reason should indicate that prior to conducting the audit, there is an equal level of trust in the EnMS compliance of all listed locations.
B.2 多场所组织的场所Places organized in multiple locations
B.2.1 总则general principles
多场所组织不必是唯一的法律实体，但是所有场所都应与客户组织的中心职能具有合同关系。中心职能应有权要求各场所在需要时采取纠正措施。
Multi venue organizations do not necessarily have to be the sole legal entity, but all venues should have a contractual relationship with the central function of the client organization. The central function should have the right to require each venue to take corrective measures as needed.
注：适用时，可在中心职能和场所之间的正式协议中明确。
Note: When applicable, it can be clearly stated in the formal agreement between the central function and the location.
如无法确定场所（如：服务的提供），则认证的覆盖范围应考虑客户组织中心职能的活动以及其服务的交付。适当时，HIC可以决定在组织交付服务的场所进行认证审核，且 应识别并审核中心职能。
If the location cannot be determined (such as the provision of services), the coverage of certification should consider the activities of the customer's organizational center functions and the delivery of its services. When appropriate, HIC may decide to conduct certification audits at the location where the organization delivers services, and should identify and audit central functions.
B.2.2 临时场所 Temporary location
临时场所可以包含在EnMS认证范围内，也可以包含在认证文件中。包含在认证文件中的条件取决于客户与HIC之间的协议。
Temporary locations can be included within the scope of EnMS certification or in the certification documents. The conditions included in the certification document depend on the agreement between the customer and HIC.
B.3 组织抽样的资格Qualification for organizing sampling
B.3.1 抽样的资格要求如下： The qualification requirements for sampling are as follows:
— 客户组织应有单一的EnMS； Customer organizations should have a single EnMS;
— 客户组织应确定其中心职能，中心职能是客户组织的一部分并且不应分包给外部组织；
Customer organizations should determine their central functions, which are part of the customer organization and should not be subcontracted to external organizations;
— 中心职能应获得组织的授权以确定、建立并保持单一EnMS；
The central function should be authorized by the organization to determine, establish, and maintain a single EnMS;
— 中心职能应收集适合于显示能源绩效的数据并进行分析；
The central function should collect and analyze data suitable for displaying energy performance;
— 客户组织的单一EnMS应进行集中的管理评审；
The single EnMS of the customer organization should undergo centralized management review;
— 所有场所均应服从客户组织的内部审核程序。
All locations should comply with the internal audit procedures of the client organization.
B.3.2 中心职能应负责确保收集和分析来自所有场所的数据(能源和其他方面)，其应能够证明有权力和 能力实施组织的变更，包括但不限于表B.1和B.2所列的内容。
The central function should be responsible for ensuring the collection and analysis of data (energy and other aspects) from all locations, and should be able to demonstrate the authority and capability to implement organizational changes, including but not limited to the contents listed in Tables B.1 and B.2.
Table B.1 Management System Data
|
管理体系 management system |
|
体系文件和体系变更System documents and system changes |
|
管理评审Management Review |
|
纠正措施的评价Evaluation of corrective measures |
|
内部审核的策划和结果的评价
Planning of internal audits and evaluation of results |
|
证实有能力收集有关法律和其他要求的信息，并在需要时更新
Confirm the ability to collect information on legal and other requirements and update it as needed |
表B.2能源绩效数据
Table B.2 Energy Performance Data
|
能源绩效energy performance |
|
一致的策划过程Consistent planning process |
|
确定调整或修订能源基准、相关变量和能源绩效参数的统一的准则
Establish unified criteria for adjusting or revising energy benchmarks, related variables, and energy performance parameters |
|
建立目标、能源指标和措施计划的统一准则
Establish unified guidelines for goals, energy indicators, and action plans |
|
评价措施计划和能源绩效参数的适宜性和有效性的集中过程
The centralized process of evaluating the suitability and effectiveness of measure plans and energy performance parameters |
|
评价能源绩效改进的统一准则
Unified criteria for evaluating energy performance improvement |
B.4 抽样方法学 Sampling Methodology
B.4.1 总则general principles
样本的选择应基于以下列出的准则。HIC应针对初次认证审核、监督审核和再认证审核中对场所抽样的样本设计和样本选择的依据保持文件化信息。
The selection of samples should be based on the criteria listed below. HIC should maintain documented information regarding the sample design and selection criteria for site sampling during initial certification audits, supervisory audits, and re certification audits.
HIC应确定选择场所的方法学并保持文件化信息。
HIC should determine the methodology for selecting the location and maintain documented information.
B.4.2 条件condition
B.4.2.1 组织应满足以下一个或多个条件以应用本附录。
Organizations should meet one or more of the following conditions to apply this appendix.
a) 所有运行的场所具有相似的活动或过程或主要能源使用；
All operating locations have similar activities or processes or primary energy usage;
b) 一定数量的场所可以组合成子集，当子集中的每个场所具有相似的活动或过程或主要能源使用时，可以对该子集进行抽样；
A certain number of places can be combined into subsets, and when each place in the subset has similar activities, processes, or primary energy use, the subset can be sampled;
c) 如果几个场所彼此靠近，则可以将它们视为一个场所。
If several places are close to each other, they can be considered as one place.
例如：一组三个接近的场所可以被视为一个单一的场所，在这种情况下，EnMS有效人员数量、能源种类、能源消耗和主要能源使用的数量可以合并。
For example, a group of three close locations can be considered as a single location, in which case the number of effective EnMS personnel, types of energy, energy consumption, and the number of primary energy uses can be merged.
如果B.4.2.1中的任何一项准则都不适用，则应对所有场所和中心职能进行审核。
If any of the criteria in B.4.2.1 are not applicable, all premises and central functions should be audited.
B.4.2.2 如果考虑中的某些场所具有与其他场所类似，但数量较少的活动或过程，则它们有资格被纳入多场所认证, 前提是执行最耗能过程的场所要接受更频繁的审核。
If certain venues under consideration have similar but fewer activities or processes than others, they are eligible for multi venue certification, provided that the venue performing the most energy intensive process undergoes more frequent audits.
B.4.2.3 各场所的能源绩效可以单独考虑，也可以作为一个整体考虑。这应在HIC的过程中或在多场所组织抽样计划的理由中明确(见B.4.7)。
The energy performance of each location can be considered separately or as a whole. This should be clearly stated in the HIC process or in the rationale for organizing sampling plans in multiple locations (see B.4.7).
B.4.3 场所的选择Location selection
场所的选择应考虑以下原则：
The selection of venues should consider the following principles:
a) 内部审核和管理评审的结果或以往的认证审核结果；
The results of internal audits and management reviews or previous certification audits;
b) 场所规模的显著差异； Significant differences in venue size;
c) 倒班模式和工作流程或程序的差异；
Differences in shift patterns and workflow or procedures;
d) 管理体系的复杂程度； The complexity of the management system;
e) 在不同场所实施的过程； The process implemented in different locations;
f) 自上次认证审核后的变更； Changes since the last certification audit;
g) HIC对客户组织的了解； HIC's understanding of customer organizations;
h) 语言、法律法规要求及其他要求的差异；
Differences in language, legal and regulatory requirements, and other requirements;
i) 地域分散程度；
Degree of regional dispersion;
j) 能源种类、能源消耗和SEUs的复杂性；
The complexity of energy types, energy consumption, and SEUs;
k) 能源绩效。 Energy performance.
B.4.4 临时场所的选择Selection of Temporary Place
HIC应保留所选场所的信息，包括运行中的以及纳入样本中的临时场所。
HIC should retain information on selected sites, including temporary sites that are in operation and included in the sample.
临时场所的选择应考虑：
The selection of temporary venues should consider:
— EnMS有效人员； EnMS effective personnel;
— 评估与能源绩效和能源绩效改进有关的风险；
Assess risks related to energy performance and energy performance improvement;
— 能源消耗；Energy consumption;
— 跨越EnMS边界的能源种类； Energy types that cross EnMS boundaries;
— 不同设备、过程、系统或设施，以及项目的不同阶段；
Different devices, processes, systems or facilities, as well as different stages of the project;
— 场所的暂时性。Temporary nature of the location.
如果对临时场所采用了不同的准则，其理由应作为文件化信息保留。
If different guidelines are adopted for temporary locations, the reasons should be documented and retained as information.
B.4.5 样本量sample size
HIC应保持文件化信息，以确定作为多场所组织审核和认证一部分的场所审核时应选取的样本量。这应考虑本文件中描述的准则。HIC应为多场所抽样的每次应用保留适当的文件化信息。
HIC should maintain documented information to determine the sample size to be selected for site audits as part of multi site organization audits and certifications. This should take into account the guidelines described in this document. HIC should retain appropriate documented information for each application of multi site sampling.
每次审核最少访问的场所数量如下：
The minimum number of places visited for each audit is as follows:
— 初次认证审核：样本量(Y)应为场所数量（x）的平方根，计算结果向上取整为最接近的整数，即Y=
Initial certification review: The sample size (Y) should be the square root of the number of places (x), and the calculation result should be rounded up to the nearest integer, that is Y=
— 监督审核：年度的抽样量应为场所数量的平方根乘以 0.6 ，计算结果向上取整为最接近的整数，即Y=0.6
Supervision and review: The annual sampling size should be the square root of the number of places multiplied by 0.6, and the calculation result should be rounded up to the nearest integer, that is Y=0.6
— 再认证审核：样本量应与初次审核相同。
Re certification review: The sample size should be the same as the initial review.
然而，如果证明EnMS在三年的周期中是有效的，样本量可以减少至乘以系数0.8，计算结果向上取整为最接近的整数，即Y=0.8
。
However, if EnMS is proven to be effective over a three-year period, the sample size can be reduced to a factor of 0.8, and the calculation result can be rounded up to the nearest integer, that is Y=0.8
B.4.6 风险risk
B.4.6.1 在每次初次认证和再认证审核时，并且至少每年作为监督审核的一部分，均应审核中心职能。在中心职能的审核应包括对整个组织证书中所有场所的能源绩效的评审。
During each initial certification and re certification audit, and at least annually as part of the supervisory audit, the central functions should be audited. The audit of central functions should include a review of the energy performance of all locations in the entire organizational certification.
当HIC对受认证的能源管理体系所涵盖的过程/活动的风险分析表明存在以下特殊情况时，应增加或减少样本量，例如：
When the risk analysis of the processes/activities covered by the certified energy management system by HIC indicates the presence of the following special circumstances, the sample size should be increased or decreased, such as:
a) 场所的规模和EnMS有效人员数量；
The scale of the venue and the number of effective EnMS personnel;
b) 工作方式的差异(如：倒班)； Differences in work styles (such as shift work);
c) 所从事活动的差异； Differences in activities undertaken;
d) 能源消耗或SEUs的差异； Differences in energy consumption or SEUs;
e) 作为文件化信息保留的纠正措施证据；
As evidence of corrective measures for retaining documented information;
f) 适用的法律法规或其他要求； Applicable laws, regulations or other requirements;
g) 内部审核和管理评审的结果； The results of internal audits and management reviews;
h) 证实能源绩效改进和能源管理体系改进的能力。
Confirm the ability to improve energy performance and energy management system.
B.4.6.2 为了降低风险，在HIC进行初次审核之前，必须满足以下条件：
In order to reduce risks, the following conditions must be met before the initial audit of HIC:
a）在HIC开始其审核过程前，相关场所(包括中心职能)应接受客户组织的集中管理的内部审核方案。
Before HIC begins its audit process, relevant venues (including central functions) should accept the centralized management internal audit plan of the client organization.
注:内部审核可以使用远程电子方式进行。
Note: Internal audits can be conducted remotely through electronic means.
b）在HIC的初次审核前，客户组织应已对其能源管理体系实施了集中的管理评审。
Prior to the initial audit of HIC, the client organization should have conducted a centralized management review of its energy management system.
B.4.7 场所抽样计划 Site Sampling Plan
HIC应为审核方案制定多场所抽样计划。
HIC should develop a multi site sampling plan for the audit plan.
初始合同评审过程应明确哪些场所包括在认证中，哪些场所排除在外。如果在认证周期内增加或减少场所，客户组织应通知HIC，抽样计划需进行适当调整。
The initial contract review process should clarify which locations are included in the certification and which are excluded. If there is an increase or decrease in locations during the certification period, the client organization should notify HIC and make appropriate adjustments to the sampling plan.
B.4.8 其他场所 Other places
当新场所加入已认证的多场所网络时，新场所应被考虑作为一个独立的集合，以确定样本量。在证书中加入一个或多个新场所后，应在现有场所的基础上添加新场所，以确定将来的监督或再认证审核所需的样本量。如果场所的数量减少，则应评审样本量，以确保抽样准则能够被证实。
When a new venue joins an authenticated multi venue network, it should be considered as an independent set to determine the sample size. After adding one or more new venues to the certificate, new venues should be added on the basis of existing venues to determine the sample size required for future supervision or re certification audits. If the number of venues decreases, the sample size should be reviewed to ensure that the sampling criteria can be validated.
B.5审核与认证 Audit and Certification
B.5.1 总则 general principles
HIC应保持文件化信息以处理其多场所方案下的审核。文件化信息确定了HIC确认相同的能源管理体系管理所有场所的活动、适用于所有场所并且满足B.3中组织的所有资格准则的方式。HIC应证明并记录采用任何方法对多场所组织实施审核与认证的理由。
HIC should maintain documented information to handle audits under its multi site plan. The documented information determines the way in which HIC confirms that the same energy management system manages activities in all locations, applies to all locations, and meets all qualification criteria of the organization in B.3. HIC should demonstrate and document the reasons for using any method to conduct audits and certifications for multi site organizations.
B.5.2 申请与申请评审 Application and Application Review
HIC应获得与申请组织有关的必要信息，以便：
HIC should obtain necessary information related to the applying organization in order to:
a.确认在客户组织内部署了单一管理体系；
Confirm that a single management system has been deployed within the client organization;
b.确定管理体系运行范围及寻求认证的范围，以及适用时的子范围；
Determine the scope of operation of the management system and the scope of seeking certification, as well as the applicable sub scope;
c.理解每个场所的法律与合同安排；
Understand the legal and contractual arrangements of each location;
d.理解“哪里发生了什么”，即：每个场所的过程/活动/能源消耗/SEUs/能源绩效改进，并识别中心职能；
Understand 'what happened where', that is, the processes/activities/energy consumption/SEUs /energy performance improvement of each location, and identify the central functions;
e.确定向所有场所交付的过程/活动（如：EnPIs的准则）的集中化程度；
Determine the degree of centralization of processes/activities delivered to all locations (such as EnPIs guidelines);
f.确定与不同场所之间的接口； Identify interfaces between different locations;
g.确定哪些场所适用抽样，以及哪些场所不适用于抽样 (见B.3)：
Determine which places are suitable for sampling and which places are not suitable for sampling (see B.3):
h.确定客户组织的审核时间；Determine the audit time for the client organization
i.确定审核组所需的能力 Determine the required capabilities for the audit team
B.5.3 审核方案 Audit Plan
B.5.3.1 审核方案还应至少包括或引用下述内容：
The audit plan should also include or reference at least the following content
a.每个场所的过程/活动/SEUs；Processes/Activities/SEUs in Each Place
b.识别有资格抽样的场所和没有资格抽样的场所；
Identify places that are eligible for sampling and places that are not eligible for sampling;
c.识别抽样覆盖和未覆盖的场所。 Identify locations covered and uncovered by sampling.
B.5.3.2 在确定审核方案时，HIC应为不属于计算审核时间的活动留出足够的额外时间，例如：由于待审核客户组织的具体结构，用于路途、审核组成员之间的沟通、审核后会议等。 可以使用远程审核技术，前提是要审核的过程具有适合远程审核的属性。
When determining the audit plan, HIC should allocate sufficient additional time for activities that are not part of the calculation of audit time, such as travel, communication between audit team members, post audit meetings, etc., due to the specific structure of the client organization to be audited. Remote auditing technology can be used, provided that the auditing process has attributes suitable for remote auditing.
B.5.3.3 在任何时候使用多于一名成员构成审核组时，HIC应有责任与审核组长共同确定审核各部分和各场所的技术能力，并为审核的各部分分配适当的审核组成员。
When using more than one member to form an audit team at any time, HIC shall be responsible for jointly determining the technical capabilities of each part and location of the audit with the audit team leader, and assigning appropriate audit team members to each part of the audit.
B.5.3.4 审核方案中的审核时间应为中心职能和每个场所的审核时间之和。在确定中心职能的审核时间时，HIC应考虑由中心职能执行的能源管理体系要求。中心职能和每个选定场所的审核时间应根据附录A中的审核时间表计算每个场所的审核时间。任何调整(增加或减少)的理由和调整的审核人日数应作为文件化信息予以保留。对于在实际过程和组织结构上能够合理调整(增加或减少)审核时间的场所，HIC应提供决策的理由并保留文件化信息。
The audit time in the audit plan should be the sum of the audit time for the central function and each location. When determining the audit time for central functions, HIC should consider the energy management system requirements to be executed by the central functions. The central functions and audit time for each selected location should be calculated based on the audit schedule in Appendix A. The reasons for any adjustment (increase or decrease) and the number of audit days for the adjustment should be retained as documented information. For places where audit time can be reasonably adjusted (increased or decreased) in actual processes and organizational structures, HIC should provide reasons for decision-making and retain documented information.
B.5.4 审核时间计算 Calculation of review time
B.5.4.1 符合资格准则的组织，可以由可抽样场所、不可抽样场所或由这两种情况组合构成。无论组织由何种方式构成，必须有充足的审核时间来实施有效的审核。HIC应证明所应用的任何减少是合理的，并保留文件化信息作为证据。
Organizations that meet the eligibility criteria can be composed of sampling locations, non sampling locations, or a combination of both. Regardless of the organizational structure, there must be sufficient audit time to implement effective audits. HIC should demonstrate that any reduction applied is reasonable and retain documented information as evidence.
B.5.4.2 每个被选定场所的审核时间应按每个场所进行计算，包括因整合管理体系、远程审核等的考虑而应用任何适用调整后的任何减少。组织的审核时间应为每个选定场所和中心职能确定的审核时间之和。
The audit time for each selected location should be calculated for each location, including any applicable adjustments made due to considerations such as integrated management systems, remote audits, etc. The audit time of the organization should be the sum of the audit times determined for each selected location and center function.
B.5.5 审核计划 Audit Plan
HIC在准备审核计划时还应至少考虑下述内容：
When preparing the audit plan, HIC should also consider at least the following:
1.认证范围以及每个场所的子范围； Scope of certification and sub scope of each location;
2.待审核的能源种类、SEUs、能源绩效改进；
The types of energy to be audited, SEUs, and energy performance improvements;
3.是否考虑多个管理体系标准；
Have multiple management system standards been considered;
4.待审核的过程/活动；The process/activity awaiting review;
5.每个场所的审核时间；Audit time for each location;
6.分配的审核组。 Assigned review team
B.5.6 初次审核 Initial audit
第一阶段审核时，审核组应完善信息以：
During the first stage of the audit, the audit team should refine the information to:
l 1.确认审核方案； Confirm the audit plan;
l 2.策划第二阶段审核，考虑对每个场所审核的过程/活动；
l Plan the second stage audit, considering the process/activities of auditing each location;
l 3.确认第二阶段审核组具备所需的能力。
l Confirm that the second stage audit team has the necessary capabilities.
在初次审核的结果中，审核组应记录在每个访问的场所审核的过程/活动。这些信息应用于修正审核方案以及后续监督审核的审核计划。
In the initial audit results, the audit team should record the audit process/activities at each visited location. These information should be used to revise the audit plan and subsequently supervise the audit plan.
B.5.7 不符合 not in accordance with
B.5.7.1 当通过组织的内部审核或HIC的审核在任何单个场所发现 GB/T 27021.1-2017中定义的不符合项时，应进行调查以确定其他场所是否会受到影响。因此，HIC应要求客户组织对不符合项进行评审，以确定它们是否表明存在适用于其他场所的整体体系缺陷。如果发现确实如此，则应在中心职能和各个受影响的场所实施并验证纠正措施。如果发现并非如此，客户组织应能够向HIC证明限制其后续纠正措施的理由。
When non conformities as defined in GB/T 27021.1-2017 are discovered in any individual location through internal audits or HIC audits, an investigation should be conducted to determine if other locations will be affected. Therefore, HIC should require the client organization to conduct a review of non conformities to determine whether they indicate the presence of overall system deficiencies applicable to other locations. If this is indeed the case, corrective measures should be implemented and validated in the central functions and affected locations. If it is found that this is not the case, the client organization should be able to demonstrate to HIC the reasons for limiting its subsequent corrective actions.
HIC应确认客户在规定的时间内分析原因，并描述了为消除发现的不符合而采取或计划采取的具体纠正和纠正措施，包括确定其他场所是否受到影响。HIC应要求客户组织对不符合项进行评审，以确定是否需要对其他场所实施纠正或纠正措施。评审的证据和理由应作为文件化信息予以保留。
HIC should confirm that the customer analyzed the cause within the specified time and described the specific corrective and corrective measures taken or planned to eliminate the identified non conformities, including determining whether other locations were affected. HIC should require the customer organization to conduct a review of non conformities to determine whether corrective or remedial measures need to be implemented for other locations. The evidence and reasons for the review should be retained as documented information.
B.5.7.2 HIC视情况增加其抽样频率或样本量，直至确信控制已重新建立。
HIC increases its sampling frequency or sample size as appropriate until it is confident that control has been re established.
B.5.7.3 在作出认证决定时，如果任何场所存在严重不符合项，在得到满意的纠正措施之前，应拒绝对所列场所的整个网络进行认证。
When making certification decisions, if there are serious non conformities in any location, the entire network of the listed locations should be refused certification until satisfactory corrective measures are taken.
B.5.7.4 组织在认证过程中，为了克服单一场所存在严重不合格所带来的障碍，试图将有问题的场所排除在认证范围之外，这是不可接受的。
It is unacceptable for organizations to attempt to exclude problematic locations from the scope of certification in order to overcome the obstacles caused by serious non conformities in a single location during the certification process.
B.5.8 认证文件 authenticated document
B.5.8.1 只要认证范围内的每个场所都经过HIC的单独审核，或者按本文件概述的抽样方法进行审核，则可颁发覆盖多个场所的认证文件。HIC应通过其选择的任何方式向客户组织提供认证文件。
As long as each location within the scope of certification undergoes separate audits by HIC or is audited using the sampling method outlined in this document, certification documents covering multiple locations can be issued. HIC shall provide certification documents to the client organization through any means of its choice.
B.5.8.2 在包含相同范围或该范围的子范围，并明确引用主认证文件的情况下，HIC可向认证涵盖的客户组织的每个场所颁发认证文件。
HIC may issue certification documents to each location of the client organization covered by the certification, provided that they include the same scope or a sub scope of that scope and explicitly reference the main certification document.
B.5.8.3 HIC应随时更新多场所清单。为确保该信息的准确性，HIC应要求该客户组织将认证所涵盖的任何场所的关闭情况通知HIC。HIC应将未提供此类信息视为误用认证。
HIC should update the list of multiple locations at any time. To ensure the accuracy of this information, HIC should require the client organization to notify HIC of the closure of any premises covered by the certification. HIC should consider failure to provide such information as misuse of certification.
B.5.8.4 可在现有的认证中增加或删除场所。HIC应保持场所变更的文件化信息，包括样本大小的修改，场所的选择和审核时间计算等。
Places can be added or removed from existing certifications. HIC should maintain documented information on venue changes, including modifications to sample size, venue selection, and calculation of audit time.
B.5.8.5 如果中心职能或者任何场所不符合保持认证的必要规定，则认证文件应被整体撤销。
If the central function or any location does not comply with the necessary regulations for maintaining certification, the certification document should be revoked as a whole.
B.5.9 监督审核 Surveillance audit
多场所组织的监督应基于本文件B.4中的抽样方法。每个场所审核时间计算参见本文件附录A，对不适用于B.3中抽样资格准则的多场所组织，监督应基于对中心职能和30%场所的审核。为第二次监督审核选取的场所通常不包括第一次监督选取的场所。
The supervision of multi venue organizations should be based on the sampling method in section B.4 of this document. The calculation of audit time for each venue can be found in Appendix A of this document. For multi venue organizations that are not eligible for the sampling qualification criteria in B.3, supervision should be based on audits of central functions and 30% of venues. The venue selected for the second supervision audit usually does not include the venue selected for the first supervision.
B.5.10 再认证审核 Re certification audit
多场所组织的再认证应基于本文件B.4中的抽样方法。如果不适用于B.3抽样资格准则的组织，则应对其中心职能和每个场所均进行审核。每个场所的审核时间应根据本文件的附录A计算。
The re certification of multi venue organizations should be based on the sampling method described in section B.4 of this document. If the B.3 sampling qualification criteria are not applicable to an organization, its central functions and each location should be audited. The audit time for each location should be calculated based on Appendix A of this document.
附录C 能源绩效改进Energy performance improvement
C.1 能源绩效改进Energy performance improvement
C.1.1 在一个认证周期内，当评审能源绩效改进是为了在认证决定中提出建议时，需考虑以下重要事项：
During a certification cycle, when evaluating energy performance improvements to provide recommendations in certification decisions, the following important factors need to be considered:
1.能源绩效改进应通过能源绩效参数值与相应的能源基准的比较进行评价（见GB/T23331-2020, 9.1.1）。这可以在不同的层面实施，包括设备、过程、系统或设施等层面。
Energy performance improvement should be evaluated by comparing energy performance parameter values with corresponding energy benchmarks (see GB/T23331-2020, 9.1.1). This can be implemented at different levels, including equipment, processes, systems, or facilities.
2.如GB/T23331-2020，A4中所示，证明在EnMS整个范围和边界内持续的能源绩效改进不意味所有能源绩效参数值的改进。有些能源绩效参数值得以改进，而有些并没有，但在EnMS范围内，组织证实了其能源绩效的改进。
As shown in GB/T23331-2020, A4, it is demonstrated that continuous energy performance improvement within the entire range and boundaries of EnMS does not necessarily mean improvement in all energy performance parameter values. Some energy performance parameters are worth improving, while others are not, but within the scope of EnMS, organizations have confirmed improvements in their energy performance.
3.与单一场所相似，多场所组织可以确定某些层面的能源绩效改进，这可能包括组织范围内按场所、系统、过程或设备进行划分。抽样场所及其他场所的能源绩效改进数据可通过中心职能获取。
Similar to a single site, multi site organizations can identify energy performance improvements at certain levels, which may include categorizing the organization by site, system, process, or equipment. The energy performance improvement data of sampling sites and other locations can be obtained through the central function.
4.对于多场所组织，不是每个场所都可能为多场所组织能源绩效改进做出同等的贡献。然而，数据应可被中心职能使用并且在抽样场所得到确认。
For multi site organizations, not every site may make equal contributions to improving their energy performance. However, the data should be available for central functional use and confirmed at the sampling site.
C.1.2 组织可能选取多种方法，包括但不限于比率、线性回归、非线性回归、复杂模型、模拟、设备和系统测试等方法。
Organizations may choose multiple methods, including but not limited to ratios, linear regression, nonlinear regression, complex models, simulations, equipment and system testing, and so on.
C.1.3 针对每个能源绩效参数，审核员宜期望看到组织已实施如下措施：
For each energy performance parameter, auditors should expect to see that the organization has implemented the following measures:
a) 在能源绩效参数确定的层面上收集了能源消耗及潜在相关变量数据；
We collected data on energy consumption and potential related variables at the level of determining energy performance parameters
b) 确定哪些变量显著地影响了绩效参数，并与之相关；
Identify which variables significantly affect performance parameters and are correlated with them;
c) 使用相关变量建立了适当的能源绩效参数。
Appropriate energy performance parameters were established using relevant variables.
C.1.4 如无相关变量，那么绝对能源消耗减少量也可证实其能源绩效的改进。
If there are no relevant variables, the absolute reduction in energy consumption can also confirm the improvement in energy performance
注：有关能源绩效测量、能源基准和能源绩效参数的其他信息见ISO50006和ISO50047。
Note: For additional information on energy performance measurement, energy benchmarks, and energy performance parameters, please refer to ISO50006 and ISO50047.
附录D：EnMS技术领域分类、认证业务范围
Appendix D: EnMS Technology Domain Classification and Certification Business Scope
按照能源供给和能源需求的活动方式，并依据有关用能设施、设备、系统和过程的共性将能源管理体系划分为15个技术领域，该分类与我国《能源管理体系认证规则》中的认证业务范围分类一致，且代替了CNAS:CC190-2021（idt ISO50003:2021）中的技术领域分类，具体分类详见下表。
According to the activity mode of energy supply and energy demand, and based on the commonalities of energy consuming facilities, equipment, systems, and processes, the energy management system is divided into 15 technical fields. This classification is consistent with the certification business scope classification in China's "Energy Management System Certification Rules" and replaces the technical field classification in CNAS: CC190-2021 (idt ISO50003:2021). The specific classification is detailed in the table below.
Table 1 Classification of Energy Management System Certification Technology Fields (Scope of Certification Business)
|
能源活动分类
Classification of Energy Activities |
技术领域代码
Technical field code |
技术领域名称
Technical field name |
|
1、能源供给
energy supply |
1.1 |
煤炭coal |
|
1.2 |
油、气Oil and gas |
|
|
1.3 |
电力power |
|
|
1.4 |
热力heat |
|
|
1.5 |
其他（地热、分布式能源、余热等）
Other (geothermal, distributed energy, waste heat, etc.) |
|
|
2、能源需求
energy demand |
2.1 |
钢铁steel |
|
2.2 |
有色金属non-ferrous metal |
|
|
2.3 |
化工chemical industry |
|
|
2.4 |
建筑材料building material |
|
|
2.5 |
纺织spinning and weaving |
|
|
2.6 |
造纸papermaking |
|
|
2.7 |
机械制造Machinery manufacturing |
|
|
2.8 |
交通运输Transportation |
|
|
2.9 |
公共机构及服务
Public institutions and services |
|
|
2.10 |
其他other |
表 2 能源管理体系认证技术领域分类说明
Table 2 Classification of Technical Fields for Energy Management System Certification
|
技术领域
TECHNICAL FIELD |
描述describe |
示例Example |
典型能源使用
Typical energy usage |
|
工业--轻至中型
Industrial - Light to Medium Sized |
本类中设施用于生产 消费中间品或最终产 品
Facilities in this category are used for the production and consumption of intermediate or final products |
• 服装
• 消费电子产品
• 家电, 家具
• 塑料
• 装配
• 专用化学品
• 食品加工
• 水和废水处理
• Clothing
• Consumer electronics products
• Home appliances, furniture
• Plastic
• Assembly
Specialized chemicals
• Food processing
• Water and wastewater treatment |
典型能源使用：
• 过程加热（电、天然气、煤炭或其他能源）
• 机械传动（泵、风机压缩空气、物料搬运）
• 蒸汽系统
• 小型冷却塔
• 其他过程使用
• 建筑物能源使用（照明、暖通空调、热水、 便携设备）
Typical energy usage:
• Process heating (electricity, natural gas, coal, or other energy sources)
Mechanical transmission (pumps, fans, compressed air, material handling)
• Steam system
• Small cooling tower
• Other process uses
Building energy usage (lighting, HVAC, hot water, portable equipment) |
|
工业--重型 |
本类中设施需要大量投资，并且工业生产需消耗大量的原材料 和能源
Facilities in this category require significant investment, and industrial production consumes a large amount of raw materials and energy |
• 化学品
• 钢铁和金属
• 炼油
• 造船
• 纸浆和造纸厂
• 工业机械
• 半导体
• 水泥和陶瓷
• Chemicals
• Steel and metals
• Refinery
• Shipbuilding
• Pulp and paper mills
Industrial Machinery
• Semiconductors
• Cement and ceramics |
典型的能源使用：
• 过程加热（电、天然气、煤或其他能源，原 料、中间产品）
• 过程冷却和制冷
• 机械传动（泵、风机压缩空气、物料搬运）
• 涡轮机、冷凝器
• 蒸汽系统
• 大型冷却塔
• 运输系统
• Chemicals
• Steel and metals
• Refinery
• Shipbuilding
• Pulp and paper mills
Industrial Machinery
• Semiconductors
• Cement and ceramics |
|
建筑物
building |
本类中的设施为标准商业建筑所配备
The facilities in this category are equipped for standard commercial buildings |
• 办公室
• 住宿
• 零售
• 仓库
• Office
• Accommodation
• Retail
• Warehouse |
典型的能源使用：
• 便携设备
• 热水供应
• 照明
• 与风机有关的加热和冷却系统,
• 泵系统
Typical energy usage:
• Portable devices
• Hot water supply
• Lighting
Heating and cooling systems related to fans,
• Pump system |
|
建筑综合体
building complex |
由于能源种类和使用的复杂性，本类中运行的设施要求特定知识或技能
Due to the complexity of energy types and usage, the facilities operating in this category require specific knowledge or skills |
• 卫生保健设施
• 实验室
• 数据中心
• 校园
• 军队和政府机关，自带完整的能源供应（区域供热和制冷）
• 行政区域
• Healthcare facilities
• Laboratory
• Data center
• Campus
The military and government agencies come with complete energy supply (regional heating and cooling)
• Administrative Region |
典型的能源使用：
• 集中和区域供热和制冷系统
• 便携设备
• 热水供应
• 照明
• 区域暖通空调
• 压缩空气、物料搬运系统
• 电梯/升降设备
Typical energy usage:
• Centralized and regional heating and cooling systems
• Portable devices
• Hot water supply
• Lighting
• Regional HVAC
Compressed air and material handling system
•Elevators/lifting equipment |
|
交通运输
Transportation |
本类中的系统或方法用来运送人或商品/货物
The systems or methods in this category are used to transport people or goods/cargo |
•客运服务（车辆、火车、船、飞机）
• 市政交通
• 货车运输
• 水路运输
• 铁路运输
• 邮轮
• 航空公司、空运
Passenger transportation services (vehicles, trains, ships, planes)
• Municipal transportation
• Truck transportation
• Waterway transportation
• Railway transportation
• Cruise ship
Airlines, air freight |
典型的能源使用:
• 移动能源使用
• 暖通空调
• 照明
• 便携设备
• 物料搬运
• 能源（燃油、电力、煤炭等）
Typical energy usage:
• Mobile energy usage
• Heating, Ventilation, and Air Conditioning
• Lighting
• Portable devices
• Material handling
• Energy (fuel, electricity, coal, etc.) |
|
矿业
mining industry |
露天、地下和流体等原材料开采和运输
Extraction and transportation of raw materials such as open-pit, underground, and fluid |
• 选矿
• 湿法冶金
• 冶炼和精炼
• 石油和天然气钻井作业
• 油气管道运输
• Mineral processing
Wet metallurgy
• Smelting and refining
Oil and gas drilling operations
Oil and gas pipeline transportation |
典型的能源使用:
•萃取
•运输（装载机、卡车和输送机）
•机械传动（抽水、通风、涡轮机、风机）
•材料制备（破碎、研磨、分离）
•蒸汽系统、冷凝器和冷却塔
Typical energy usage:
• Extraction
• Transportation (loaders, trucks, and conveyors)
Mechanical transmission (pumping, ventilation, turbine, fan)
• Material preparation (crushing, grinding, separation)
• Steam system, condenser, and cooling tower |
|
农业
agriculture |
牲畜、种子或农作物产品
Livestock, seeds or crop products |
• 耕作
• 育种
• 材料搬运
• 养殖业
• Farming
• Breeding
• Material handling
• Breeding industry |
典型的能源使用:
•提取
•能源（燃油、电力、天然气、煤炭等）
•可再生能源（生物质能、太阳能、地热等）
•运输
•发动机
•驱动（泵、风机、物料搬运）
• 泵
• 水处理
• 烘干机
Typical energy usage:
• Extract
• Energy (fuel, electricity, natural gas, coal, etc.)
Renewable energy sources (biomass, solar, geothermal, etc.)
• Transportation
• Engine
• Drivers (pumps, fans, material handling)
• Pump
• Water treatment
• Drying machine |
|
能源供给
energy supply |
能源产生（核能、热电联产、电力、可再生能源等）和输配（传输与分配）
Energy generation (nuclear energy, cogeneration, electricity, renewable energy, etc.) and transmission and distribution (transmission and distribution) |
发电（煤炭、石油、天然气、可再生能源、热电联产、整体煤气化联合循环发电等）
Power generation (coal, oil, natural gas, renewable energy, cogeneration, integrated gasification combined cycle power generation, etc.) |
典型的能源使用:
• 原材料转换
• 输配电涡轮机
• 燃烧
• 蒸汽系统
• 冷凝器和冷却塔
Typical energy usage:
• Raw material conversion
• Transmission and distribution turbines
• Combustion
• Steam system
• Condenser and cooling tower |
附录 E 认证人员能力要求 Appendix E Certification Personnel Capability Requirements
E.1下表1 明确了与能源管理体系认证活动有关的人员的知识和技能的类型，“√”指 HIC 应确定相应的知识和技能的准则和深度。“√+”表示需要相对较深的知识和技能。
E. Table 1 specifies the types of knowledge and skills of personnel involved in energy management system certification activities, with "√" indicating the criteria and depth for HIC to determine the corresponding knowledge and skills. √+"indicates the need for relatively deep knowledge and skills.
表 1 能源管理体系知识和技能要求
Table 1 Requirements for Knowledge and Skills of Energy Management System
|
知识knowledge |
认证职能 Certification function |
||
|
实施申请评审以确定所需的审核组能力、选择审核组成员并确定审核时间
Implement application review to determine the required audit team capabilities, select audit team members, and determine the audit time |
复核审核报告并做出认证决定
Review the audit report and make a certification decision |
审核
to examine |
|
|
能源专业术语
Energy terminology |
X (E.2.3) |
X(E.2.2) |
X(E.2.1) |
|
基本能量原理
Basic Energy Principle |
X (E.2.3) |
X(E.3.2) |
X(E.3.1) |
|
能源相关的法律法规和其他要求
Energy related laws, regulations, and other requirements |
- |
X(E.4.2) |
X(E.4.1) |
|
ISO 50001 要求的知识
Knowledge required by ISO 50001 |
X(E.5.3) |
X(E.5.2) |
X(E.5.1) |
|
能源绩效参数、能源基准、相关变量和静态因素
Energy performance parameters, energy benchmarks, related variables, and static factors |
- |
X(E.6.2) |
X(E.6.1) |
|
通用能源使用系统
General Energy Usage System |
- |
X(E.7.2) |
X(E.7.1) |
|
能源绩效改进
Energy performance improvement |
- |
X(E.8.2) |
X(E.8.1) |
|
数据收集、监视、测量和评价数据的原则
Principles for data collection, monitoring, measurement, and evaluation |
- |
X(E.9.2) |
X(E.9.1) |
E.2 能源专业术语 Energy terminology
E.2.1 审核 to examine
审核员应具备GB/T23331（第3章）中术语和定义的知识。
Auditors should have knowledge of the terms and definitions in GB/T23331 (Chapter 3).
当确定适用于审核员时，还可包括ISO 50002、ISO 50006、ISO 50015或ISO 50047中的术语。
When determining suitability for auditors, terms from ISO 50002, ISO 50006, ISO 50015, or ISO 50047 may also be included.
E.2.2 复核审核报告和做出认证决定 Review the audit report and make certification decisions
复核审核报告和做出认证决定的人员应具备GB/T23331(第3章)中术语和定义的知识。
The personnel responsible for reviewing the audit report and making certification decisions should possess knowledge of the terms and definitions in GB/T23331 (Chapter 3).
当确定适用于复核审核报告和做出认证决定的人员时，还可包括其他术语。
When determining the personnel applicable for reviewing audit reports and making certification decisions, other terms may also be included.
E.2.3 实施申请评审以确定所需的审核组能力，选择审核组成员并确定审核时间
Implement application review to determine the required audit team capabilities, select audit team members, and determine the audit time
实施申请评审以确定所需的审核组能力、选择审核组成员并确定审核时间的人员应具备GB/T23331（第3章）中术语和定义的知识。
The personnel responsible for implementing the application review to determine the required audit team capabilities, selecting audit team members, and determining the audit time should have knowledge of the terms and definitions in GB/T23331 (Chapter 3).
E.3 能量原理 energy principle
E.3.1 审核 to examine
审核员应具备能量原理的知识，能量原理应至少包括：能源种类，能源使用，能源转换，不同能源单位的换算（例如kWh到TJ）和功率。
Auditors should have knowledge of energy principles, which should include at least: types of energy, energy use, energy conversion, conversion of different energy units (such as kWh to TJ), and power.
认证机构审核组应具备以下原理的知识：
The certification body audit team should have knowledge of the following principles:
•燃料燃烧；Fuel combustion,
•能量流动；energy flow
•能量损失； Energy Loss
•能源效率； Energy efficiency
•能量平衡。 energy balance
E.3.2 复核审核报告和做出认证决定 Review the audit report and make certification decisions
复核审核报告和做出认证决定的人员应具备能源种类、能源使用和能源转换的能量原理知识。
The personnel responsible for reviewing the audit report and making certification decisions should possess knowledge of energy types, energy usage, and energy conversion principles.
E.3.3 实施申请评审以确定所需的审核组能力，选择审核组成员并确定审核时间
Implement application review to determine the required audit team capabilities, select audit team members, and determine the audit time
实施申请评审以确定所需的审核组能力、选择审核组成员并确定审核时间的人员应具备能源种类、能源使用、能源转换、不同能源单位的换算（例如kWh到TJ）的能量原理知识。
The personnel responsible for implementing the application review to determine the required audit team capabilities, selecting audit team members, and determining the audit time should have knowledge of energy types, energy use, energy conversion, and energy principles for converting different energy units (such as kWh to TJ).
E.4 能源相关的法律法规要求Legal and regulatory requirements related to energy
E.4.1 审核 examine
审核组应具备与能源和能源消耗有关的基本法律体系架构的知识。
The audit team should have knowledge of the basic legal framework related to energy and energy consumption.
E.4.2 复核审核报告和做出认证决定
Review audit report and make certification decision Review audit report and make certification decision
复核审核报告和做出认证决定的小组应具备与能源和能源消耗有关的基本法律体系架构的知识。
The team responsible for reviewing audit reports and making certification decisions should possess knowledge of the basic legal framework related to energy and energy consumption.
E.5 ISO 50001要求的知识 Knowledge required by ISO 50001
E.5.1 审核 examine
认证机构审核员应具备ISO 50001要求的知识。
Certification body auditors should possess the knowledge required by ISO 50001.
E.5.2 复核审核报告和做出认证决定
Review audit report and make certification decision Review audit report and make certification decision
认证机构中复核审核报告和做出认证决定的小组应具备ISO 50001要求的知识。
The team responsible for reviewing audit reports and making certification decisions within the certification body should possess the knowledge required by ISO 50001.
E.5.3 实施申请评审以确定所需的审核组能力，选择审核组成员并确定审核时间
Implement application review to determine the required audit team capabilities, select audit team members, and determine the audit time
实施申请评审以确定所需的审核组能力、选择审核组成员并确定审核时间的小组应具备ISO 50001要求的知识。
The team responsible for implementing the application review to determine the required audit team capabilities, selecting audit team members, and determining the audit time should possess the knowledge required by ISO 50001.
E.6 能源绩效参数、能源基准、相关变量和静态因素
Energy performance parameters, energy benchmarks, related variables, and static factors
E.6.1审核 examine
审核员应具备能源绩效参数、能源绩效参数值、能源基准、相关变量、静态因素及其在能 源管理体系和证实能源绩效改进中的应用的知识，包括归一化技术。
Auditors should have knowledge of energy performance parameters, energy performance parameter values, energy benchmarks, relevant variables, static factors, and their application in energy management systems and to demonstrate energy performance improvement, including normalization techniques.
审核组应具备运用诸如比率和简单线性回归的模型对能源绩效参数值及其相应的能源基准进行归一化的知识。
The audit team should have knowledge of using models such as ratios and simple linear regression to normalize energy performance parameter values and their corresponding energy benchmarks.
注：更多详细信息参见ISO 50006和ISO 50047。
Note: For more detailed information, please refer to ISO 50006 and ISO 50047
E.6.2 复核审核报告和做出认证决定 Review the audit report and make certification decisions
认证机构中复核审核报告和做出认证决定的小组应具备能源绩效参数、能源绩效参数值、能源基准、相关变量、静态因素以及它们在能源管理体系中应用于证实能源绩效改进的知识。
The team responsible for reviewing audit reports and making certification decisions within the certification body should possess knowledge of energy performance parameters, energy performance parameter values, energy benchmarks, relevant variables, static factors, and their application in the energy management system to demonstrate energy performance improvement.
E.7 通用能源使用系统 General Energy Usage System
E.7.1 审核 examine
审核组应具备能源使用系统的知识，例如：
The audit team should have knowledge of energy usage systems, such as:
•锅炉和热流体系统； Boiler and hot fluid system;
•制冷和制热，通风和空调； Refrigeration and heating, ventilation and air conditioning;
•机械系统（例如电机、风扇、泵）； Mechanical systems (such as motors, fans, pumps);
•热能，非建筑物外部围护结构(例如火炉)；
Thermal energy, not external building envelope structures (such as furnaces);
•压缩空气； Compressed air;
•照明； Lighting;
•HIC确定适用时，可包括其他系统。
When HIC is determined to be applicable, other systems may be included.
E.7.2 复核审核报告并做出认证决定 Review the audit report and make certification decisions
复核审核报告和做出认证决定的小组应具备对能源使用系统的知识，例如：
The team responsible for reviewing the audit report and making certification decisions should have knowledge of energy usage systems, such as:
•锅炉和热流体系统； Boiler and hot fluid system;
•制冷和制热，通风和空调； Refrigeration and heating, ventilation and air conditioning;
•机械系统（例如电机、风扇、泵）； Mechanical systems (such as motors, fans, pumps);
•热能，非建筑物外部围护结构(例如火炉)；
Thermal energy, not external building envelope structures (such as furnaces);
•压缩空气； Compressed air;
•照明； Lighting;
•HIC确定适用时，可包括其他系统。
When HIC is determined to be applicable, other systems may be included.
E.8 能源绩效改进 Energy performance improvement
E.8.1 审核 examine
审核员应具备能源使用系统中潜在的能源绩效改进的知识。
Auditors should have knowledge of potential energy performance improvements in energy usage systems.
审核组应具备用于实现能源绩效改进的当前技术应用的知识。
The audit team should have knowledge of current technology applications used to achieve energy performance improvement.
E.8.2 复核审核报告和做出认证决定 Review the audit report and make certification decisions
复核审核报告和做出认证决定的小组应具备能源使用系统中潜在的能源绩效改进以及用于实现能源绩效改进的当前技术应用的知识。
The team responsible for reviewing the audit report and making certification decisions should have knowledge of potential energy performance improvements in the energy usage system and the current technological applications used to achieve energy performance improvements.
E.9 数据收集、监视、测量分析和评价的原则
Principles of data collection, monitoring, measurement analysis, and evaluation
E.9.1 审核 examine
审核员应具备能源管理体系中典型数据类型的知识。
Auditors should have knowledge of typical data types in energy management systems
审核员应具备能源管理体系中使用的典型监视、测量和评价方法的知识。
Auditors should have knowledge of typical monitoring, measurement, and evaluation methods used in energy management systems.
审核员应具备通过比较能源绩效参数值与相应的归一化的能源基准来评价能源绩效改进的知识。
Auditors should have knowledge of evaluating energy performance improvements by comparing energy performance parameter values with corresponding normalized energy benchmarks.
注：其他详细信息参见ISO 50006和ISO 50015。
Note: For other detailed information, please refer to ISO 50006 and ISO 50015.
E.9.2 复核审核报告并做出认证决定 Review the audit report and make certification decisions
复核审核报告和做出认证决定的小组应具备能源管理体系中包含的典型数据类型的知识。
The team responsible for reviewing the audit report and making certification decisions should possess knowledge of typical data types included in the energy management system.
复核审核报告和做出认证决定的小组应具备能源管理体系中使用的典型监视、测量和评价方法的知识。
The team responsible for reviewing audit reports and making certification decisions should possess knowledge of typical monitoring, measurement, and evaluation methods used in energy management systems.
复核审核报告和做出认证决定的小组应具备通过比较能源绩效参数值与相应的归一化的能源基准来评价能源绩效改进的知识。
The team responsible for reviewing audit reports and making certification decisions should have the knowledge to evaluate energy performance improvements by comparing energy performance parameter values with corresponding normalized energy benchmarks.
