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1、INTERNATIONAL STANDARD ISO 14065 First edition 2007-04-15 Reference number ISO 14065:2007(E) ISO 2007 Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition Gaz effet de serre Exigences pour les organismes fournissan
2、t des validations et des vrifications des gaz effet de serre en vue de laccrditation ou dautres formes de reconnaissance ISO 14065:2007(E) ii ISO 2007 All rights reserved PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed
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5、itable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. COPYRIGHT PROTECTED DOCUMENT ISO 2007 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or
6、 utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11
7、 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ISO 14065:2007(E) ISO 2007 All rights reserved iii Contents Page 1Scope 1 2Normative references 1 3Terms and definitions 1 4Principles 5 4.1General . 5 4.2Impartiality . 5 4.3Competence . 5 4.4Factual approach to
8、 decision making . 6 4.5Openness . 6 4.6Confidentiality . 6 5General requirements 6 5.1Legal status . 6 5.2Legal and contractual matters . 6 5.3Governance and management commitment . 6 5.4Impartiality . 7 5.5Liability and financing 8 6Competencies 8 6.1Management and personnel . 8 6.2Competencies of
9、 personnel . 8 6.3Deployment of personnel . 9 6.4Use of contracted validators or verifiers . 10 6.5Personnel records . 11 6.6Outsourcing . 11 7 Communication and records . 11 7.1Information provided to a client or responsible party . 11 7.2Communication of responsibilities to a client or responsible
10、 party 12 7.3Confidentiality . 12 7.4Publicly accessible information . 12 7.5Records 12 8Validation or verification process 13 8.1General . 13 8.2Pre-engagement . 13 8.3Approach 13 8.4Validation or verification . 14 8.5Review and issuance of validation or verification statement . 14 8.6Records 14 8.
11、7Facts discovered after the validation or verification statement . 15 9Appeals . 15 10Complaints . 15 ISO 14065:2007(E) iv ISO 2007 All rights reserved 11Special validations or verifications 16 12Management system 16 Annex A (informative) Relationships between the application of ISO 14065 and ISO 14
12、064-1, ISO 14064-2 and ISO 14064-3 17 Annex B (informative) Impartiality . 18 Annex C (informative) Comparison of validation and verification process requirements of ISO 14065 and ISO 14064-3 . 22 Annex D (informative) Example of management system documentation . 23 Bibliography . 24 ISO 14065:2007(
13、E) ISO 2007 All rights reserved v Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body int
14、erested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnic
15、al Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the
16、technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights.
17、ISO shall not be held responsible for identifying any or all such patent rights. ISO 14065 was prepared by Technical Committee ISO/TC 207, Environmental management, in collaboration with the ISO Committee on conformity assessment (CASCO). ISO 14065:2007(E) vi ISO 2007 All rights reserved Introductio
18、n Climate change has been identified as one of the greatest challenges facing nations, governments, business and citizens for the coming decades. Climate change has implications for both human and natural systems and could lead to significant changes in resource use, production and economic activity
19、. In response, international, regional, national and local initiatives are being developed and implemented to limit greenhouse gas (GHG) concentrations in the Earths atmosphere. Such GHG initiatives rely on the quantification, monitoring, reporting and verification of GHG emissions and/or removals.
20、The overall aim of GHG validation or verification activities is to give confidence to all parties that rely upon a GHG assertion. The party making the GHG assertion is responsible for conformity with requirements of the relevant standard or GHG programme. The validation or verification body is respo
21、nsible for completing an objective assessment and providing a validation or verification statement concerning the responsible partys GHG assertion based on evidence. This International Standard provides requirements for bodies that undertake GHG validation or verification using ISO 14064-3 or other
22、relevant standards or specifications. It contains a number of principles that these bodies should be able to demonstrate and provides specific requirements that reflect these principles. General requirements relate to matters such as legal and contractual arrangements, responsibilities, the manageme
23、nt of impartiality, and issues of liability and financing. Specific requirements include provisions related to structures, resource requirements and competencies, information and records management, validation and verification processes, appeals, complaints and management systems. This International
24、 Standard provides GHG programme administrators, regulators and accreditors with a basis for assessing and recognizing the competence of validation and verification bodies. It can also be used in other ways, such as in peer assessment within groups of validation or of verification bodies or between
25、such groups. Figure 1 and Annex A show relationships between the application of this International Standard and ISO 14064-1, ISO 14064-2 and ISO 14064-3. ISO 14065:2007(E) ISO 2007 All rights reserved vii Figure 1 Framework for using ISO 14065 with ISO 14064-1, ISO 14064-2 and ISO 14064-3 . viii INT
26、ERNATIONAL STANDARDISO 14065:2007(E) ISO 2007 All rights reserved 1 Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition 1Scope This International Standard specifies principles and requirements for bodies that unde
27、rtake validation or verification of greenhouse gas (GHG) assertions. It is GHG programme neutral. If a GHG programme is applicable, the requirements of that GHG programme are additional to the requirements of this International Standard. 2Normative references The following referenced documents are i
28、ndispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO 14064-3:2006, Greenhouse gases Part 3: Specification with guidance for the validation
29、 and verification of greenhouse gas assertions 3Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1Terms related to greenhouse gases 3.1.1 greenhouse gas GHG gaseous constituent of the atmosphere, both natural and anthropogenic, that absorbs and em
30、its radiation at specific wavelengths within the spectrum of infrared radiation emitted by the Earths surface, the atmosphere, and clouds NOTEGHGs include carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs) and sulfur hexafluoride (SF6). ISO 1
31、4064-3:2006, definition 2.1 3.1.2 greenhouse gas assertion factual and objective declaration made by the responsible party NOTE 1The GHG assertion could be presented at a point in time or could cover a period of time. NOTE 2The GHG assertion provided by the responsible party should be clearly identi
32、fiable and capable of consistent evaluation or measurement against suitable criteria by a validator or verifier. NOTE 3The GHG assertion could be provided in the form of a GHG report or GHG project plan. NOTE 4Adapted from ISO 14064-3:2006, definition 2.11. ISO 14065:2007(E) 2 ISO 2007 All rights re
33、served 3.1.3 greenhouse gas consultancy services provision of organization-specific or project-specific GHG quantification, GHG data monitoring or recording, GHG information system or internal auditing services, or training that supports a GHG assertion 3.1.4 greenhouse gas information system polici
34、es, processes and procedures to establish, manage and maintain GHG information ISO 14064-3:2006, definition 2.12 3.1.5 greenhouse gas project activity or activities that alter the conditions identified in the baseline scenario which cause GHG emission reductions or removal enhancements ISO 14064-3:2
35、006, definition 2.14 3.1.6 greenhouse gas programme voluntary or mandatory international, national or sub-national system or scheme that registers, accounts or manages GHG emissions, removals, emission reductions or removal enhancements outside the organization or GHG project ISO 14064-3:2006, defin
36、ition 2.16 3.2Terms related to people and organizations 3.2.1 client organization or person requesting validation or verification NOTEThe client could be the responsible party, the GHG programme administrator or other stakeholder. ISO 14064-3:2006, definition 2.27 3.2.2 intended user individual or o
37、rganization identified by those reporting GHG-related information as being the one who relies on that information to make decisions NOTEThe intended user could be the client, the responsible party, GHG programme administrators, regulators, the financial community or other affected stakeholders, such
38、 as local communities, government departments or non- governmental organizations. ISO 14064-3:2006, definition 2.26 3.2.3 organization company, corporation, firm, enterprise, authority or institution, or part or combination thereof, whether incorporated or not, public or private, that has its own fu
39、nctions and administration ISO 14064-3:2006, definition 2.23 3.2.4 personnel persons working with or on behalf of the validation or verification body 3.2.5 responsible party person or persons responsible for the provision of the GHG assertion and the supporting GHG information ISO 14065:2007(E) ISO
40、2007 All rights reserved 3 NOTEThe responsible party can be either individuals or representatives of an organization or project and can be the party who engages the validator or verifier. The validator or verifier may be engaged by the client or by other parties, such as the GHG programme administra
41、tor. ISO 14064-3:2006, definition 2.24 3.2.6 technical expert person who provides specific knowledge or expertise to the validation or verification team NOTE 1Specific knowledge or expertise is that which relates to the organization or project to be validated or verified, or relevant language or cul
42、ture. NOTE 2A technical expert does not act as a validator or verifier in the validation or verification team. NOTE 3Adapted from ISO 19011:2002, definition 3.10. 3.2.7 top management person or group of people who directs and controls an organization at the highest level ISO 9000:2005, definition 3.
43、2.7 3.3Terms related to validation and verification 3.3.1 validation systematic, independent and documented process for the evaluation of a GHG assertion related to a GHG project plan against agreed validation criteria NOTE 1In some cases, such as in first-party validations, independence can be demo
44、nstrated by the freedom from responsibility for the development of GHG data and information. NOTE 2The content of a GHG project plan is described in ISO 14064-2:2006, 5.2. NOTE 3Adapted from ISO 14064-3:2006, definition 2.32. 3.3.2 validator competent and independent person or persons with responsib
45、ility for performing and reporting on the results of a validation NOTEAdapted from ISO 14064-3:2006, definition 2.35. 3.3.3 validation or verification body body that performs validations or verifications of GHG assertions in accordance with this International Standard NOTEA validation or verificatio
46、n body may be an individual. 3.3.4 validation statement formal written declaration to the intended user, following validation of a GHG project plan, which provides assurance on the statements in the responsible partys GHG assertion 3.3.5 verification statement formal written declaration to the inten
47、ded user, following verification, which provides assurance on the statements in the responsible partys GHG assertion ISO 14065:2007(E) 4 ISO 2007 All rights reserved 3.3.6 validation or verification team one or more validators or verifiers conducting a validation or verification, supported if needed
48、 by technical experts NOTE 1One validator or verifier of the validation or verification team is appointed as the validation or verification team leader. NOTE 2The validation or verification team may include validators-in-training or verifiers-in-training. NOTE 3Adapted from ISO 19011:2002, definitio
49、n 3.9. 3.3.7 verification systematic, independent and documented process for the evaluation of a GHG assertion against agreed verification criteria NOTE 1In some cases, such as in first-party verifications, independence can be demonstrated by the freedom from responsibility for the development of GHG data and information. NOTE 2Adapted from ISO 14064-3:2006, definition 2.36. 3.3.8 verifier competent and independent person, or persons, with responsibility for performing and reporting on the veri
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