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Sector Specific Accreditation for EPA Energy Star® Program

PUBLIC PROCEDURE PRO-PR-163-EPAES Issued: 2020-8-26, Revision: 2

References PRO-FR-104: Application for Accreditation of Product Certification Program
PRO-FR-105-ISO/IEC 17065: Checklist for Accreditation Requirements: ISO/IEC 17065
PRO-FR-114-EPAES: Checklist for Accreditation Requirements: ENERGY STAR® PROGRAM
PRO-PL-102: Manual of Operations for Accreditation of Product Certification Programs
PRO-PL-103: Operating Procedures of the Accreditation Committee
PRO-PR-103: Remote Assessment Procedure for Product Certification Accreditation
PRO-PR-112: Information on the Application Process
Conditions and Criteria for Recognition of Certification Bodies for the ENERGY STAR® Program
Energy Star® Directives
Energy Star® Verification Roles and Responsibilities
Energy Star® XML Web Services Submission Process
EPA Conditions and Criteria for Recognition of Certification Body
Individual Energy Star® Specifications
ISO/IEC 17000: Conformity assessment - Vocabulary and general principles
ISO/IEC 17065: Conformity assessment - Requirements for bodies certifying products, processes and services
Standard Operating Procedure (SOP) for CB Certification and Verification of Product to Energy Star Specification
Contents
1Objective
1.1This procedure provides ANAB with guidelines for the processing of certification body applications for accreditation in accordance with the EPA Energy Star® Scheme requirements.
1.2This procedure applies to the rules and guidelines to which certification bodies shall comply, and the audit/testing/surveillance criteria, which certification bodies shall perform to evaluate, and verify continuous conformity in order to maintain ANAB accreditation in accordance with EPA Energy Star® Scheme requirements for the sector scope.
2Definitions
2.1As a general rule, definitions of ISO/IEC 17000 and ISO/IEC 17065 are applicable. Additionally, EPA Guidelines definitions are applicable as documented on the EPA Website.
3EPA Energy Star® Scheme Background
Additional information about the EPA Energy Star® Scheme can be found on the EPA website at http://www.energystar.gov/products
4EPA Energy Star® Scheme Scope and Category of Products
4.1Products Covered
4.1.1EnergyStar®compliant products are contained in ten (10) product Categories:
Appliances
Building Products
Commercial Food Service Equipment
Data Center Equipment
Electronics
Heating & Cooling
Lighting
Office Equipment
Other
Water Heaters
4.1.2Each category contains multiple product specifications. At the present time, there are 63 individual product categories. New product specifications are in development and some existing specifications may be retired at a future date.
4.1.3Under certain circumstances, EPA makes the determination that an ENERGY STAR specification for a particular product category should be sunset rather than revised. Some or all of the following factors play into such a decision:
Additional, cost-effective efficiency gains are not available or anticipated.
A standard exists or is forthcoming at the current ENERGY Star® level that will serve as a backstop, so efficiency gains are maintained
4.1.4The market has evolved such that the product type is being discontinued
The following products are grouped under the Computers & Electronics category:
a)audio/video;
b)battery chargers;
c)computers;
d)displays;
e)enterprise servers;
f)external power adapters;
g)imaging equipment;
h)televisions.
4.2Test Procedures for Scope of Accreditation
4.2.1Specific product types will have requirements that are described in the individual EPA Energy Star® Scheme specification.
4.2.2The CB can only accept data generated from an EPA recognized laboratory or data generated under the EPA's procedure for Witnessed Manufacturer's Test Data (WMTD) or Supervised manufacturer's Test Data (SMTD) evaluated by the CB. ANAB is approved by the EPA to accredit laboratories to the Energy Star® requirements.
4.2.3The CB is to verify that products submitted are within the scope of coverage of the product specification and that the proper specification was used.
4.3Product Families
4.3.1The individual specification may describe how product families are to be covered. If not, a product family can be defined by the maximum configuration (i.e. a list of components/sub-assemblies) plus a description of how the models are constructed from the maximum configuration and list. All models which are included in the family typically have a common design, construction, parts, or assemblies essential to ensure conformity with applicable requirements.
4.3.2For products which are offered in a range of sizes or electrical ratings, a common practice it to evaluate the smallest, a midpoint, the largest and then to interpolate performance for in-between products that were not tested.
5Accreditation Requirements
5.1Procedures and processes to accredit certification bodies are in accordance with ANAB requirements and the Energy Star® Scheme.
5.2ANAB Requirements
5.2.1In order to be eligible for accreditation, the applicant or accredited certification body shall comply with ISO/IEC 17065, ANAB requirements and the applicable EPA Energy Star® Scheme normative documents published from time to time, or as it appears on the EPA Website.
5.2.2International consistency is further reinforced by ANAB's adherence to the requirements of the International Accreditation Forum and ISO/IEC 17011.
5.3EPA Energy Star® Scheme Requirements
5.3.1Applicant or accredited CB shall apply to EPA in the prescribed application form (See EPA Website).
6Applications for Accreditation
6.1ANAB provides information to the CB on all conditions for ANAB accreditation in accordance with ISO/IEC 17065, ANAB and EPA Energy Star® Scheme requirements. Documents, which ANAB provides to the applicant certification body, are listed in PRO-PR-112: Information on the Application Process.
6.2ANAB staff conducts the analysis of the Preliminary Letter of Application for Accreditation in accordance with PRO-PL-102: Manual of Operations for Accreditation of Product Certification Scheme.
6.3The applicant CB shall inform ANAB of the requested EPA Energy Star® Scheme scope for accreditation by submitting:
a)the completed PRO-FR-104: Application for Accreditation of Certification Bodies; and
b)a copy of the CB' quality manual and list of certification scheme documents with dates of approval/issuance and revision.
6.4The CB shall also complete and submit additional application forms to ANAB to continue the process for EPA Energy Star® Scheme accreditation:
a)the CB shall indicate that each requirement of ISO/IEC 17065 within its documents by completion of the and PRO-FR-105-17065 Checklist for Accreditation.
7Assessment Team Assignment and Schedule
In accordance with the complexity of requested scope of accreditation for the EPA Energy Star® Scheme and in accordance with ANAB requirements, ANAB staff determines the number of assessment days to assign to the ANAB assessment team. The assessment team must conduct the assessment at the CB headquarters and at the other locations where key certification activities are conducted A remote assessment may be assigned and the process for remote assessment is followed (PRO-PR-103) ANAB staff selects the assessment team based on the applicable ANAB qualification criteria.
8Assessment Team
The ANAB assessment team plans and prepares for the assessment in accordance with ANAB Procedure.
8.1Document Review
8.1.1The lead assessor shall review and compare the CB Quality Manual and list of CB list of documents with the information provided by the CB on the PRO-FR-114-EPAES: Checklist for Accreditation: EPA Energy Star® Scheme:
a)PRO-FR-104: Application for Accreditation of Certification Bodies
b)PRO-PR-114-EPAES: Checklist for Accreditation Requirements: EPA Energy Star® Program
8.1.2The technical expert shall review and compare the applicant CB or ACB Quality Manual and list of documents for the EPA Energy Star® Program with the information provided by the applicant CB on the:
a)PRO-FR-104: Application for Accreditation of Certification Bodies (requested scope of accreditation)
b)PRO-PR-114-EPAES: Checklist for Accreditation Requirements: EPA Energy Star® Scheme
9Conducting the Initial Assessment
9.1Initial assessments are conducted at the applicant’s head office facility and at other locations that perform key activities related to the certification process (Ref. PRO-PL-102).
9.2Onsite and Remote Assessments
9.2.1The assessment is conducted in accordance with PRO-PL-102 or PRO-PR-103. During the assessment at the CB headquarters, the lead assessor and technical assessor will have unique roles and responsibilities.
9.2.2The lead assessor shall verify that the CB is administrating and operating its certification scheme in conformance with the requirements of ISO/IEC 17065 and applicable scheme requirements. The lead assessor shall record evidence of conformity/nonconformity on the PRO-FR-105:17065 checklist for Accreditation Requirements.
9.2.3The technical assessor shall verify that the CB is administrating and operating the EPA Energy Star® scheme.
9.2.4The technical assessor shall review, if applicable, the management system audit reports to verify implementation of any needed corrective actions.
9.2.5The technical assessor shall review the CB's audit/inspection records to verify compliance with the EPA Energy Star® Scheme requirements, and shall record evidence of conformity/non-conformity on the FR-105.
9.2.6The assessment team verifies that the CB follows the SOP for CB certification and verification to Energy Star specifications. Also, the CB complies with EPA written polices, including FAQs, directives and other written instructions.
9.2.7The assessment team reviews the process for qualifying the applicant certification body personnel for the required certification functions.
9.2.8The Energy Star® Scheme allows an alternative process for some products in the Component Food Service category related to use of components. Under this alternative program:
a)Partners are required to report any component changes to the CB immediately.
b)CB determines if any retesting is required & documents the change in the report.
c)Factory inspections are conducted by the CB at least two times per year, similar to the traceability activity of safety inspections.
d)Refer to Directive 2019-02 for more information.
9.3Conducting the Closing Meeting
9.3.1At the closing meeting the ANAB assessment team shall review and discuss any issued nonconformities and/or opportunities for improvement with the CB in accordance with ANAB procedures. The assessment team will inform the CB during the closing meeting of the conformance to ANAB and EPA Energy Star® Scheme requirements. The findings will be presented to the CB for acknowledgement.
10Identifying Nonconformities
10.1The assessment team shall present their findings to the CB applicant or ACB at the end of each day.
10.2The assessment team shall post in ANSICA any issued nonconformities, and/or opportunities for improvement.
11Developing the Assessment Report
11.1When an ANAB lead assessor and technical assessor are members of an assessment team, they each shall submit an assessment report that must include any issued nonconformities and/or opportunities for improvement. If the assessment team determines that the CB does not demonstrate conformance with the full range of the requested scope(s), the assessment team shall include such a statement in the report.
11.2The ANAB lead assessor shall develop an assessment report which details the CB's conformance with ISO/IEC 17065 and ANAB Policies and Procedures.
11.3The ANAB technical assessor shall develop an assessment report which details the CB's conformance with the technical requirements of the EPA Energy Star® Scheme.
12Conducting the Surveillance and Reassessment
12.1ANAB surveillance and reassessments of the CB are conducted in accordance with ANAB and EPA Energy Star® Scheme requirements.
12.2The first surveillance assessment will be carried out no later than 12 months from the date of the initial accreditation.
12.3The assessment team will verify that the CB:
a)Maintains accreditation to ISO/IEC 17065.
b)Only accepts EPA recognized laboratories data and test reports, WMTD & SMTD evaluated by the CB.
c)Complies with the EPA written policies, including FAQs, directives and other normative instructions.
d)Abides with the SOP for CB Certification and Verification to Energy Star Specifications.
e)Conducts Energy Star Verification in accordance with the EPA agreed upon sampling plan. The CB is required to report any situations where the plan may not be fulfilled by the end of the year. The assessment team is to verify that the twice per year status reports to the EPA are issued.
f)Reviews the correct usage of the XML Web Service Submission process.
g)Determine that the My Energy Star® Account (MESA) number is recorded for the laboratory, ACB and partner.
h)Determine that all required information is recorded including performance information for the declared international markets.
i)Verify that the certified products are listed in the EPA Online Qualified Product List (QPL) Directory.
j)Verify that the ACB has used staff that are competent to conduct the relevant certification functions.
12.4Scope Expansion- Requests for product accreditation to different specifications than existing accreditations are to be treated as new applications. While CBs may use a common approach for certifying products, the CB must demonstrate its competence in applying requirements of the new specification.
13Reference to Accreditation and Certification Status
13.1ANAB staff shall maintain a database of the accredited certification bodies for the approved EPA Energy Star® Scheme. ANAB staff shall provide the updated ACB database on its website.
13.2ANAB staff and assessment teams shall monitor via assessments and other methods that the ACB is in conformance with ANAB and EPA Energy Star® Scheme requirements.
13.3ANAB staff and assessment team shall verify that the ACB is issuing EPA Energy Star® Scheme certificates of conformity in accordance with EPA Energy Star® Scheme requirements.
13.4ANAB staff and assessors shall monitor and guard against the misuse of the ANAB accreditation symbol and EPA Energy Star® Scheme certification mark.
14Changes to ANAB Accreditation and EPA Energy Star® Scheme Requirements
14.1ANAB staff shall provide the accredited CB with any issued changes to the ANAB accreditation.
14.2The technical assessor shall verify that the ACB has implemented and is in conformance with the requirements of the current version of the EPA Energy Star® Scheme requirements.
15ANAB Evaluation Task Group (ETG) and Accreditation Committee
15.1The ANAB Evaluation Task Group (ETG) and Accreditation Committee are governed by PRO-PL-103.
16Appeals and Complaints
16.1Appeals and complaints brought before the ANAB by CBs or other interested parties shall be handled in accordance with ANAB procedures.

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