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Sector Specific Accreditation for EPA Energy Star® Program

PUBLIC PROCEDURE PRO-PR-163-EPAES Issued: 2016-4-25, Revision: 1

References PRO-FR-104: Application for Accreditation of Product Certification Program
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-112: Information on the Application Process
Conditions and Criteria for Recognition of Certification Bodies for the ENERGY STAR® Program
EPA Conditions and Criteria for reorganization of Certification Body for ENERGY STAR program
ISO 9000:2005, Quality management systems - Fundamentals and vocabulary
ISO/IEC 17000:2004, Conformity assessment - Vocabulary and general principles
ISO/IEC 17065:2012, Conformity assessment - Requirements for bodies certifying products, processes and services
Contents
1Objective
1.1This procedure provides ANSI with guidelines for the processing of certification body applications for accreditation in accordance with the EPA Energy Star® Program requirements.
1.2This procedure applies to the rules and guidelines to which certification bodies shall comply, and the audit/testing/follow-up services inspection criteria, which certification bodies shall perform to evaluate, and verify continuous compliance in order to maintain ANSI accreditation in accordance with EPA Energy Star® Program requirements for the sector scope.
2Definitions
2.1As a general rule, definitions of ISO/IEC 17000 and ISO 9000 are applicable. Additionally, EPA Guidelines definitions are applicable as documented on the EPA Website.
3EPA Energy Star® Program Background
Additional information about the EPA Energy Star® Program can be found on the EPA website at http://www.energystar.gov/index.cfm?c=home.index.
4EPA Energy Star® Program Scope and Category of Products
4.1Products Covered
4.1.1Existing Specifications
For each product category listed below, the existing specification shall be used to evaluate conformance in accordance with the EPA Energy Star® Program:
a)audio/video: the Audio/Video Specification (Version 2.0) was finalized as of November 16, 2009. The effective date for Tier 1 is November 16, 2009; the effective date for Tier 2 is July 30, 2010;
b)battery charging systems: the Battery Charging Systems Specification currently approved is Version 1.0. Version 2.0 is currently under development;
c)commercial dishwashers: the Commercial Dishwashers Specification currently approved is Version 1.0. Version 2.0 is currently under development;
d)commercial fryers: the Commercial Fryers Specification currently approved is Version 1.0. Version 2.0 is currently under development;
e)commercial hot food holding cabinets: the Commercial Hot Food Holding Cabinets Specification currently approved is Version 1.0. Version 2.0 is currently under development;
f)computers: the Computers Specification (Version 5.0) took effect on July 1, 2009. Requirements for Game Consoles are under development;
g)computer servers: the Computer Servers Specification currently approved is Version 1.0. Version 2.0 is currently under development;
h)dishwashers: the revised specification for dishwashers was finalized November 14, 2008. Criteria were set for two unique effective dates, August 11, 2009 and July 1, 2011;
i)external power supplies and end-use products using EPSs: on May 26, 2010, EPA announced its intent to suspend ("sunset") the EPA Energy Star® Program for External Power Supplies and End-Use Products Using EPSs.
j)furnaces: the Furnaces Specification currently approved is Version 2.0. Version 3.0 is currently under development;
k)home insulation products: the Home Insulation Products Specification currently approved is Version 3.0. Version 4.0 is currently under development;
l)luminaires: the Luminaires Specification (Version 1.0) is under development. This specification is intended to replace the Residential Light Fixtures V4.2 and Solid State Lighting Luminaires V1.1 specifications;
m)residential windows, doors, and skylights: Version 5.0 (Phase 1) took effect January 4, 2010. Version 6.0 (Phase 2) is currently under development;
n)set-top boxes (STBs): the current approved version is Version 2.0 STB; Note: Version 3.0 STB specification is currently under development;
o)television: television specifications have been finalized; Version 4.1 (effective May 1, 2010) and Version 5.1 (effective May 1, 2012) are available.
4.1.2New Product Specifications in Development
The following product specifications are currently under development:
a)climate controls;
b)data center storage;
c)heat/energy recovery ventilators;
d)integral LED lamps;
e)laboratory grade refrigerators and freezers;
f)luminaires;
g)pre-rinse spray valves;
h)small network equipment;
i)uninterruptible power supplies.
4.2Products Not Covered
The following products do not have an EPA Energy Star® Program label:
a)dryers;
b)microwave ovens;
c)ovens;
d)ranges;
e)solar;
f)space heaters.
4.3Suspended Specifications
4.3.1The EPA Energy Star® Program has suspended specifications for the following products:
a)exit signs;
b)programmable thermostats;
c)traffic signals;
d)transformers.
4.4Grouping of Product Specifications
The products specifications are also grouped for Home and Business application separately for selection and identity.
4.4.1Product Specifications for HOME:
4.4.1.1Appliances
The following products are grouped under the Appliances category:
a)clothes washers;
b)dehumidifiers;
c)dishwashers;
d)freezers;
e)refrigerators;
f)room air cleaners & purifiers;
g)water coolers.
4.4.1.2Building Products
The following products are grouped under the Building Products category:
a)seal and insulate;
b)roof products;
c)windows, doors, and skylights.
4.4.1.3Computers & Electronics
The following products are grouped under the Computers & Electronics category:
a)audio/video;
b)battery chargers;
c)computers;
d)cordless phones;
e)digital to analog converter box;
f)displays;
g)external power adapters;
h)imaging equipment;
i)set-top boxes & cable boxes;
j)televisions.
4.4.1.4Heating & Cooling
The following products are grouped under the Heating & Cooling category:
a)air-conditioning, central;
b)air-conditioning, room;
c)boilers;
d)dehumidifiers;
e)fans, ventilating;
f)furnaces;
g)heat pumps, air source;
h)heat pumps, geothermal;
i)home sealing - insulation & air sealing;
j)room air cleaners & purifiers.
4.4.1.5Lighting and Fans
The following products are grouped under the Lighting and Fans category:
a)decorative light strings;
b)fans, ceiling;
c)light bulbs (CFLs);
d)light fixtures;
e)residential LED lighting.
4.4.1.6Plumbing
The following products are grouped under the Plumbing category:
a)water heater, gas condensing;
b)water heater, heat pump;
c)water heater, high efficiency gas storage;
d)water heater, solar;
e)water heater, whole home gas tankless.
4.4.2Product Specification for BUSINESS & GOVERNMENT
4.4.2.1Building Products
The following products are grouped under the Building Products category:
a)seal and insulate;
b)roof products;
c)windows, doors, and skylights.
4.4.2.2Commercial Appliances
The following products are grouped under the Commercial Appliances category:
a)commercial clothes washers;
b)vending machines;
c)water coolers.
4.4.2.3Commercial Food Service Equipment
The following products are grouped under the Commercial Food Service Equipment category:
a)commercial kitchen package;
b)commercial dishwashers;
c)commercial fryers;
d)commercial griddles;
e)commercial hot food holding cabinets;
f)commercial ice machines;
g)commercial ovens;
h)commercial refrigerators & freezers;
i)commercial steam cookers.
4.4.2.4Computers & Electronics
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.
4.4.2.5Heating & Cooling
The following products are grouped under the Heating & Cooling category:
a)air-conditioning, central;
b)boilers;
c)fans, ventilating;
d)heat pumps, geothermal;
e)light commercial heating & cooling.
4.4.2.6Lighting
The following products are grouped under the Lighting category:
a)commercial LED lighting;
b)light bulbs (CFLs);
c)light fixtures.
4.4.2.7Plumbing
The following products are grouped under the Plumbing category:
a)water heater, gas condensing;
b)water heater, heat pump;
c)water heater, high efficiency gas storage;
d)water heater, solar;
e)water heater, whole home gas tankless.
4.5Test Procedures for Scope of Accreditation
4.5.1Specific product types will have requirements that are described in the individual EPA Energy Star® Program specification. For example, the test procedures in Figure 1 should be included in the laboratory’s Scope of Accreditation to reflect specific competence to carry out the EPA Energy Star® Program Requirements for Computers: Version 5.0.
TestTest Methods
Power Supply EfficiencyInternal Power Supply (IPS) Generalized Internal
Power Supply Efficiency Test Protocol Rev. 4.6.2
External Power Supply (EPS) Energy Star Test
Method for External Power Supplies (April 2004)
ETEC* (from measurements of Off Mode Sleep Mode and Idle state)Energy Star Computer Test Method (Version 5.0), Section 3, (Appendix A)
PTEC** (Off Mode, Sleep Mode, and Idle Mode)Energy Star Computer Test Method (Version 5.0), Section 3, (Appendix A)
Maximum Power Energy Star Computer Test Method (Version 5.0), Section 3 (Appendix A)
* Desktop and Notebook product categories ** Workstation product category
4.6Product Families
4.6.1A 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.
4.6.2For 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 ANSI requirements and the EPA Conditions and Criteria document.
5.2ANSI Requirements
5.2.1In order to be eligible for accreditation, the applicant or accredited certification body (ACB) shall comply with ANSI requirements and the applicable EPA Energy Star® Program normative documents published from time to time, or as it appears on the EPA Website.
5.2.2International consistency is further reinforced by ANSI's adherence to the requirements of the International Accreditation Forum and the Pacific Accreditation Cooperation.
5.3EPA Energy Star® Program Requirements
5.3.1Applicant or accredited CB shall apply to EPA in the prescribed application form (See EPA Website).
6Applications for Accreditation
6.1ANSI provides information to the applicant or ACB on all conditions for ANSI accreditation in accordance with ANSI and EPA Energy Star® Program requirements. Documents, which ANSI provides to the applicant certification body, are listed in PRO-PR-112: Information on the Application Process.
6.2ANSI 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 Programs.
6.3The applicant CB or ACB shall inform ANSI of the requested EPA Energy Star® Program scope for accreditation by submitting:
a)the completed PRO-FR-104: Application for Accreditation of Certification Bodies; and
b)a copy of the applicant CB or ACB quality manual and list of certification program documents with dates of approval/issuance and revision.
6.4The applicant or ACB shall also complete and submit additional application forms to ANSI to continue the process for EPA Energy Star® Program accreditation:
a)the applicant or ACB 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 applicant or ACB accreditation for the EPA Energy Star® Program and in accordance with ANSI requirements, ANSI staff determines the number of assessment days to assign to the ANSI assessment team. The assessment team must conduct the assessment at the applicant or ACB headquarters and at the other locations where key certification activities are conducted. ANSI staff selects the assessment team based on the applicable ANSI qualification criteria.
8Assessment Team
The ANSI assessment team plans and prepares for the onsite assessment in accordance with ANSI Procedure.
8.1Document Review
8.1.1The lead assessor shall review and compare the applicant or ACB Quality Manual and list of applicant CB or ACB list of documents with the information provided by the applicant or ACB on the PRO-FR-114-EPAES: Checklist for Accreditation: EPA Energy Star® Program:
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® Program
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 Assessments
9.2.1The onsite assessment is conducted in accordance with PRO-PL-102. During the onsite assessment at the applicant or ACB headquarters, the lead assessor and technical expert will have unique roles and responsibilities.
9.2.2The lead assessor shall verify that the applicant or ACB is administrating and operating its certification program 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 expert shall verify that the applicant or ACB is administrating and operating the EPA Energy Star® Program.
9.2.4The technical expert/assessor shall review, if applicable, the management system audit reports to verify implementation of any needed corrective actions.
9.2.5The technical expert shall review the applicant or ACB audit/inspection records to verify compliance with the EPA Energy Star® Program requirements, and shall record evidence of conformity/non-conformity on the:
9.3Conducting the Closing Meeting
At the closing meeting the ANSI assessment team shall review and discuss any issued nonconformities and/or opportunities for improvement with the CB applicant or ACB in accordance with ANSI procedures. The assessment team will inform the applicant during the closing meeting of the applicant’s conformance to ANSI and EPA Energy Star® Program requirements. The findings will be presented to the applicant 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 ANSI 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 applicant or ACB 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 ANSI lead assessor shall develop an assessment report which details the applicant or ACB conformance with ISO/IEC 17065 and ANSI Policies and Procedures.
11.3The ANSI technical expert shall develop an assessment report which details the applicant or ACB conformance with the technical requirements of the EPA Energy Star® Program.
12Conducting the Surveillance and Reassessment
12.1ANSI surveillance and reassessments of the ACB are conducted in accordance with ANSI and EPA Energy Star® Program requirements.
12.2The first surveillance assessment will be carried out no later than 12 months from the date of the initial accreditation.
13Reference to Accreditation and Certification Status
13.1ANSI staff shall maintain a database of the accredited certification bodies for the approved EPA Energy Star® Program. ANSI staff shall provide the updated ACB database on its website.
13.2ANSI staff and assessment teams shall monitor via assessments and other methods that the ACB is in conformance with ANSI and EPA Energy Star® Program requirements.
13.3ANSI staff and assessment team shall verify that the ACB is issuing EPA Energy Star® Program certificates of conformity in accordance with EPA Energy Star® Program requirements.
13.4ACP staff and assessors shall monitor and guard against the misuse of the ANSI accreditation symbol and EPA Energy Star® Program certification mark.
14Changes to ANSI Accreditation and EPA Energy Star® Program Requirements
14.1ANSI staff shall provide the accredited CB with any issued changes to the ANSI accreditation.
14.2The technical expert shall verify that the ACB has implemented and is in conformance with the requirements of the current version of the EPA Energy Star® Program requirements.
15ANSI Evaluation Task Group (ETG) and Accreditation Committee
15.1The ANSI Evaluation Task Group (ETG) and Accreditation Committee are governed by PRO-PL-103 and each makes its recommendation/decision on accreditation of the applicant or ACB in accordance with ANSI requirements.
16Appeals and Appeals
16.1Appeals and complaintsbrought before the ANSI Accreditation Committee by CBs or other interested parties shall be handled in accordance with ANSI procedures.

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