20120924 Practical implementation of international sustainability criteria for biomass residues in Ukraine
1. Practical implementation of international
sustainability criteria for biomass residues in
Ukraine | NTA 8080 focus
Arjen Brinkmann (Brinkmann Consultancy)
Jarno Dakhorst (Netherlands Standardization Institute)
Kiev, 24 September 2012
2. Course outline
• Backgrounds and policy framework for sustain-ability of
solid biomass
• Overview of international sustainability schemes
• International standardization
• NTA 8080 – history, governance and current state of
affairs
• General requirements of the NTA 8080 certification
system
• How to meet the criteria in daily operations
• Practical steps towards NTA 8080 certification
• Concluding remarks
5. Booming biomass
5
• Biomass is global business
• Cramer committee (2007):
– Large opportunities for new activities in the field of biomass
– Must not be at the expense of other important values for nature,
environment and society
• Dutch biomass demand will exceed domestic production
• Same on European level (not for all countries)
With green power comes green responsibility
6. Development of sustainability criteria
Cramer:
Dutch testing
framework
(Feb 2007)
Kick-off
CEN/TC 383
(Jun 2008)
RED
published
(Jun 2009)
RED Draft
(Jan 2008)
Kick-off
ISO/PC 248
(Apr 2010)
RED
implemented
(Dec 2010)
EN 16214
series
published
(end 2012)
7. Renewable Energy Directive
(2009/28/EC)
“...a target of at least a 20 % share
of energy from renewable
sources in the Community’s
gross final consumption of
energy in 2020.”
“…the share of energy from
renewable sources in all forms of
transport in 2020 is at least 10 %
of the final consumption of
energy in transport in that
Member State.”
8. EU and sustainability criteria for solid
(and gaseous) biomass (1)
• EC report on sustainability requirements for use of solid
and gaseous biomass sources in electricity, heating and
cooling (COM(2010)011) (Feb 2010):
– no European legal framework (yet) with sustainability criteria for
solid and gaseous biomass
– recommendations to member states who wish to implement a
sustainability scheme for solid and gaseous biomass:
> adopt sustainability criteria from RED for biofuels and bioliquids
> do not apply GHG emission saving to waste
> adjust the GHG calculation to obtain value for total GHG emission
> only apply scheme to large energy producers: ≥ 1 MWe / MWth
> support schemes in favour of high energy conversion efficiencies
9. EU and sustainability criteria for solid
(and gaseous) biomass (2)
• EC Communication concerning sustainability criteria
for solid and gaseous biomass first announced to be
published by Dec 2011; now expected end 2012
• Lobby by member states being in favour of legal
framework (level playing field) and opposing
mandatory criteria (already sufficient safeguarding)
• Issues include:
– Minimum GHG emission saving threshold
– (Non-)applicability to end-user (size dependent)
– Role of sustainable forest management schemes (e.g., FSC
and PEFC)
9
10. EU FLEGT action plan
10
• FLEGT: Forest Law Enforcement, Governance and Trade
• EU FLEGT action plan provides a number of measures:
– to exclude illegal timber from markets
– to improve the supply of legal timber
– to increase the demand for responsible wood products
• FLEGT also applies to woody residues for energy
applications
• Important elements:
– trade accords with timber exporting countries, known as Voluntary
Partnership Agreements, to ensure legal timber trade and support
good forest governance in the partner countries
– legislation to ban illegally-produced wood products from the EU
market, known as the EU Timber Regulation
11. Implementation of renewable energy
throughout Europe
11
• Members states to submit national action plan to achieve
national target for renewable energy in 2020.
• Important role for biomass:
– 19,1 % of total renewable electricity (12,1 % solid biomass)
[RES-E = 43 % of total energy consumption]
– 81,1 % of total renewable heating / cooling (72,6 % solid biomass)
[RES-H/C = 45 % of total renewable energy consumption]
– 90,5 % of total renewable transport (mainly biofuels)
[RES-T = 12 % of total renewable energy consumption]
– Totally: about 55 % biomass and 36 % solid biomass in renewable
energy consumption
12. Dutch sustainable biomass
programmes (1)
• NL Agency facilitates and stimulates projects and
supplementary research in order to gain experience in
production and certification of sustainable biomass:
– Sustainable Biomass Import programme => importing
sustainably produced biomass to the Netherlands
– Global Sustainable Biomass programme => establishing
sustainable biomass policy and programmes in developing
countries
– Daey Ouwens Fund => promoting small-scale projects in area of
renewable and job-creating forms of energy supply in least
developed countries
12
13. Dutch sustainable biomass
programmes (2)
Projects in Ukraine:
• Pellets for power: Sustainable biomass import from
Ukraine for the international energy market
– Partners: WUR-AFSG, Tuzetka, Phytofuels, Alterra, Control
Union, Poltava Academy
• Towards certified sustainable wood pellet production in
Ukraine to export to the Netherlands
– Partners: Van den Nagel Bio-energie, CREM, NEPcon
13
14. THE ROLE OF SUSTAINABILITY
CERTIFICATION OF BIOMASS
14
15. Objectives of certification - general
1. Compliance with regulatory requirements
– EU Renewable Energy Directive
– US Renewable Fuel Standard
2. Compliance with market requirements, developing new market
opportunities
– Requirements from further down supply chain
– May indirectly come from regulatory requirements
3. Corporate Social Responsibility
4. Quality assurance
15
17. Categorisation of biomass certification schemes
1. Forestry management schemes
e.g. FSC, PEFC
2. Agricultural management schemes
e.g. GlobalGap
3. Crop-specific schemes
e.g. Roundtable for Sustainable Palm Oil, Roundtable for Responsible
Soy, BonSucro (sugarcane)
4. Biofuel schemes
e.g. Roundtable for Sustainable Biofuels, ISCC, NTA 8080
5. Niche market schemes
e.g. organic, FairTrade
17
18. Criteria for selecting a biomass certification
scheme – general
1. Regulatory and market demands
2. Technical feasibility in the local context
3. Costs and revenues
4. Credibility
5. Track record of the scheme
18
19. Scheme selection criteria:
1. Regulatory and market demands
• EU-RED compliance -> only approved schemes (Currently 12)
• EU-wide regulatory requirements for solid biomass, or in
individual EU countries?
• What do your customers want?
– Mainstream certification (IWPB, NTA 8080?)
– Niche market certification (organic, FairTrade)
– No certification at all…
• Payment for market demands (premiums) is generally limited:
‘certification is a license to operate/market access’
19
20. Scheme selection criteria:
2. Technical feasibility in the local context
• Scope of the sustainability criteria versus complexity
• In-company/local available knowledge and know-how
• Availability of guidance documents and tools
• Provisions for small farmers (group certification)
20
21. Scheme selection criteria:
3. Costs and revenues
• Biomass certification entails 4 cost components:
1. Costs related to preparation for certification
2. Investments required to comply with sustainability criteria
3. Costs related to external verification (auditor)
4. Contribution to the certification scheme (membership)
• Revenues:
1. Market premiums generally insufficient to offset costs (exceptions in
niche markets)
2. Indirect revenues from continued or new access to markets,
improved internal quality control, and better PR
21
22. Scheme selection criteria:
4. Credibility
• Combination of objective parameters and stakeholders’
perceptions
• General credibility principles:
1. Level of coverage of sustainability criteria
2. Multi-stakeholder involvement
3. Quality requirements for auditors
4. Conditions for sampling and group certification
5. Chain of custody requirements
6. Complaints’ procedures
22
23. Scheme selection criteria:
5. Track record of the scheme
Track record:
• In the country of certification
• With the envisaged type(s) of biomass
• With the envisaged markets/customers
23
24. In summary
• Is certification required (regulatory/market demands), or is it
an opportunity (new markets)?
• What costs are affordable?
• What is technically feasible (e.g. required knowledge and
know-how, presence of small producers)?
• How do relevant stakeholders view credibility of schemes?
• Does the scheme have a relevant track record?
And maybe, certification is not (yet) required…
24
25. Further reading
• NL Agency reports:
• How to select a biomass certification scheme?
• Selecting a biomass certification scheme – a benchmark on level of
assurance, costs and benefits
• Assessing sustainability aspects of biomass projects – experiences in
the project portfolio of the Netherlands Program Sustainable Biomass
• Available from:
http://www.agentschapnl.nl/en/programmas-regelingen/sustainable-biomass
25
27. What is standardization
• A standard is a voluntary agreement amongst
interested parties
• Principles for standards development
– All parties concerned
– Agreements based on consensus
– Open & transparent process
• Purposes of standards
– Facilitating trade & interoperability
– Instrument for self-regulation
– Contribution to health, safety and the environment
– Contribution to innovation
– Improving image
28. Legal documents
(Directives, laws, regulations)
Regulations, standards and certification
Global criteria
Standards (NTA, NEN, EN, ISO)
1st, 2nd, 3th party certification, CE mark, etc
NTA 8080
NTA 8081, Interpretation document, System plans
RED
Detailed
elaboration
Conformity
assessment
30. European & international framework
European
Commission
Dutch
government NEN
Mandates
Standards
Standards
Laws
Regulation
Laws
Directives
Legislation
Europe
Netherlands
Standardization
NTA 8080
Standards
WTO ISO
CEN
Vienna
agreement
TC 383
PC 248
RED
No barriers to trade
31. CEN/TC 383 (1)
Sustainably produced biomass for energy applications
• Development of EN 16214 set: “Sustainability criteria for
the production of biofuels and bioliquids for energy
applications – Principles, criteria, indicators and verifiers”:
– Part 1: Terminology
– Part 2: Conformity assessment including chain of custody and mass
balance
– Part 3: Biodiversity and environmental aspects related to nature
protection purposes
– Part 4: Calculation methods of the greenhouse gas emission
balance using a life cycle analysis
– Part 5: Guidance to the conformity assessment and the use of the
chain of custody and mass balance
31
32. CEN/TC 383 (2)
Sustainably produced biomass for energy applications
• Publication EN 16214 series in 2012, scope limited to
RED
• Standards for sustainability criteria for solid and
gaseous biomass being discussed:
– Expecting EC Communication on sustainability criteria for solid
and gaseous biomass
– Developments in ISO/PC 248
• Working groups for socio-economic aspects and indirect
effects ‘on hold’ since 2009 => not within scope of RED
32
33. ISO/PC 248
Sustainability criteria for bioenergy
• Development of ISO 13065, Sustainability criteria for
bioenergy
• Scope includes all types of biomass and applications of
bioenergy
• Four working groups:
– Cross cutting issues (terminology, verification and auditing)
– Greenhouse gases
– Environmental, economic and social aspects
– Indirect effects (study group)
• Currently committee draft circulating for comments
• Publication expected in April 2014
33
34. NTA 8080 – HISTORY,
GOVERNANCE AND CURRENT
STATE OF AFFAIRS
34
35. History (I)
• In 2007, publication of ‘Testing framework for sustainable
biomass’, a.k.a. ‘The Cramer Criteria’
• Testing framework specifies criteria, however does not allow
certification of sustainable biomass
• For certification:
– Testing framework needs to be converted to a verifiable standard with
sustainability criteria
– A scheme with rules for certification is required
-> Coalition of stakeholders took the initiative to develop the
verifiable standard (2008-2009), supported by NEN
-> NTA 8080
35
36. History (II)
NTA 8080 was developed by coalition of stakeholders, supported
by NEN, including:
36
37. History (III)
• In 2009, publication of NTA 8080: standard with sustainability
requirements
• In 2010, publication of NTA 8081: certification scheme with
rules for certification
As well as an Interpretation Document, including further
detailing and elaboration of NTA 8080 and NTA 8081
requirements
N.B. Although the scheme is generally referred to as ‘the NTA
8080’, it includes both the NTA 8080 and NTA 8081
documents, together with the Interpretation document!
37
38. Contents of NTA 8080: sustainability
requirements
• NTA 8080 contains sustainability requirements in relation to:
– Greenhouse gases (emissions and carbon stocks)
– Competition with food and local applications of biomass
– Biodiversity
– Environment (soil, water, air)
– Prosperity
– Social well-being
• NTA 8080 also defines:
– Residual biomass/waste
– Biomass traceability requirements
– When a stakeholder consultation is required
38
39. Contents of NTA 8081: rules of play for
certification
• Scope of the scheme
• Requirements for certification bodies and auditors
• Method of compliance evaluation
• Frequency of auditing and validity of certificates
• ‘Minor’ and ‘major’ non-conformities
• Data required for register and for reporting
• Complaints procedure, sanctions, etc.
39
40. Governance of the scheme (I)
• NEN is scheme manager, responsible for management,
maintenance, quality and accreditation of the scheme
• Committee of Experts decides on contents of the scheme
• Certification Bodies accredited by an accreditation council
(IAF member)
• Approved certification bodies include:
– Control Union Certification
– Bureau Veritas Certification
– SGS Nederland
– Dekra Certification
– Quality Services Certification
– Kiwa Netherlands
40
41. Governance of the scheme (II)
• Membership/contribution:
– Membership contribution NTA 8080 (depends on company turnover,
starting at 50 Euro/annum)
– Fee per certificate (payable to Certification Body: 50 or 200
Euro/annum)
– Costs of initial audit and annual follow-up audit (payable to
Certification Body)
41
42. Scope of NTA 8080
• Certification scheme for solid, liquid and gaseous biomass,
which is used as feedstock for transport biofuels or for
production of electricity and/or heat
• Globally applicable
• Certification includes complete biomass chain
• Separate modules for residues and non-residues/crops
42
43. Status of NTA 8080
• For transport biofuels
Formal recognition by the European Commission as ‘voluntary scheme’
(since August 2012, valid for 5 years)
• For solid biomass
– System is likely to meet future EU sustainability requirements, and is
easily adaptable where needed (details)
– Informal recognition by stakeholders as ‘reliable’ and ‘user friendly’
(i.e.. major power companies, NGOs)
43
45. Generic criteria NTA 8080 (I)
• Section 5.1 General (documentation & legislation)
• Section 5.2 Greenhouse gas emissions
• Section 5.3 Competition with food and local applications of
biomass
• Section 5.4 Biodiversity
• Section 5.5 Environment
• Section 5.6 Prosperity
• Section 5.7 Social well-being
• Section 6 Certification requirements
• Section 7 Traceability
• Annex A List with exceptions (residual biomass)
45
46. Generic criteria NTA 8080 (II)
• Section 5.1 General
• Documentation management
• Legislation
• Stakeholder consultation
• Section 5.2 Greenhouse gas emissions
• Greenhouse gas balance
• Carbon stocks
• Section 5.3 Competition with food and local biomass
applications
46
47. Generic criteria NTA 8080 (III)
• Section 5.4 Biodiversity
• National laws and regulations
• Protected areas
• Areas with ‘high conservation value’
• Maintenance and recovery of biodiversity
• Strengthening biodiversity
• Section 5.5 Environment
• Soil
• Ground water and surface water
• Air
47
48. Generic criteria NTA 8080 (IV)
• Section 5.6 Prosperity
• Section 5.7 Social well-being
• Working conditions
• Human rights
• Property rights
• Contribution to social well-being of local population
• Integrity of the company
• Section 6 Requirements to certification, replaced by NTA
8081
48
49. Generic criteria NTA 8080 (V)
• Sections 7.1 & 7.2 Traceability in supply chain
• Segregation model
• Mass balance model
• ‘Book & Claim’ model
• Annex A List with exceptions (biomass residues)
49
50. Specific requirements residual biomass
• Biomass Primary Secundary
crops residues residues
• Section 5.1 General
• Documentation management X X X
• Legislation X X X
• Stakeholder consultation X
• Section 5.2 Greenhouse gas emissions
• Greenhouse gas balance X X X
• Carbon stocks X
• Section 5.3 Competition with food and local applications
of biomass
• Section 5.4 Biodiversity X
• Section 5.5 Environment
• Soil X X
• Ground water and surface water X
• Air X
• Section 5.6 Prosperity X
• Section 5.7 Social well-being X
• Section 7 Traceability X X X
• Annex A List with exceptions (biomass residues) X X
50
51. Definition of residual biomass in NTA 8080 (I)
• Definition following 3.27 and interpretation document:
– Biomass that is released in the production of other (main) product,
representing an economic value less than 10% of the main product’s
value.
– Processes may not be modified deliberately to produce residues.
• Annex A – List with exceptions
– List with biomass residues meeting the above definition
– If a biomass residue is not included in Annex A, the organisation shall
submit appropriate evidence to prove that biomass meets the above
definition
– Primary biomass residues falling within scope of RED shall meet all
RED sustainability criteria
51
52. Types of biomass on ‘residues list’
• Annex A – List with exceptions – Examples (non-exhaustive)
– Bark
– Sawdust
– Processed wood (untreated, painted/limed, impregnated)
– Grass
– Straw
– Manure
– Sludge
– Organic wastes from households and companies
52
53. Definition of residual biomass in NTA 8080 (II)
• Definition of ‘residual biomass’ in NTA 8080 is not (fully)
compatible with definition of ‘waste’ in waste legislation
• Difference between primary and secondary residues:
Primary residues are residues from agriculture and forestry,
which can be used at their place of generation for
maintaining or improving soil quality.
53
54. Contents of NTA 8081 (I)
• Scope of scheme
• Requirements for certification bodies
• Requirements for auditors and audit teams
• Research methods
• Required duration of audit (days)
• Evaluation frequency
• Evaluation criteria
• Certification criteria
• Group certification
• Reporting and & Certificate requirements
• Complaints procedure
• Annex B – Biomass residues – elaboration of requirements for certification
of the supply chain for residues
54
55. Contents of NTA 8081 (II)
Four chain segments specified:
• ‘Producer’ : - Production of primary biomass (crops)
- Collection of biomass residues
• ‘Processor’ : Processing of biomass
• ‘Trader’ : Biomass trade
• ‘End-user’ : Biomass use for production of electricity, heat,
biogas or transport fuels
55
56. HOW TO MEET THE CRITERIA IN DAILY
OPERATIONS
56
58. Who shall be certified? (I)
Two basic rules:
• Certification starts at first biomass owner after the biomass
producer/disposer
• Criterion is ‘ownership’ of the material.
(NTA 8080 objective is transparancy in the supply chain)
Or, more specifically:
• Contractors which do not own the biomass, do not need to be certified
• A transporter who is also trades can transfer the responsibility to the next
operator, provided the following is complied with:
– No mixing, processing or storage
– Registration system shall provide insight in deliveries and by whom
– Visual entrance control is technically possible and executed according to specified
procedures
58
59. Example 1 – A wood chain
59
End user
Timber industry
Forest owner
Processor
(chip, pellet)
No Yes YesYes
Municipality
No
No
Contractor/
collector
(ownership)
60. Example 2 – Contractors which do not own material
60
Contractor/
collector
(not owner)
End user
Timber industry
Forest owner
Processor
(chip, pellet)
No No YesYes
Municipality
No
No
In this case
processor is also
considered
producer
61. Example 3 – Contractor who acts as trader
61
Contractor/
collector
(trader)
End user
Timber industry
Forest owner
Processor
(chip, pellet)
No No, but
requirements
in Annex B of
NTA 8081 shall
be fulfilled
YesYes
Municipality
No
No
62. NTA 8080 requirements for certification of
biomass residues
• Section 5.1 General
• Documentation management
• Legislation
• Section 5.2 Greenhouse gas emissions
• Greenhouse gas balance
• Section 5.5 Environment
• Soil
• Section 7 Traceability
• Segregation model
• Mass balance model
• Annex A List with exceptions (ensuring intake of residues only)
eborgd.
62
63. Documentation management
• Documentation requirements following Section 5.1.1 of NTA 8080:
‘All documents (procedures, instructions, reports, complaints (procedure) etc.)
which are required to show compliance with NTA 8080 shall be managed in
conformity with a standardised procedure document management’
• If a company is ISO 9001 certified, the above has generally already been
covered.
63
65. Legislation
• Legislation requirements following Section 5.1.2 of NTA 8080:
‘the organisation shall enforce all applicable laws and regulations of the
country of establishment, as well as international agreements and treaties
which the country of establishment has signed’
• For example environmental legislation, tax legislation, etc.
• ISO 9001 certification can (partly) cover this, ISO 14001 certification
generally covers this as a standard requirement in the quality assurance
system
65
66. Greenhouse gas balance (I)
• Greenhouse gas balance requirements following Section 5.2.1 of NTA 8080 and
further detailed in interpretation document with European calculation
methodology and GHG saving requirements based on European fossil fuel
comparators
• The biomass end-user is responsible for calculating the greenhouse gas balance.
However, other supply chain actors need to report the carbon intensity of the
product (biomass) to the end-user
• Two options exist:
1. A company calculates the specific carbon intensity of its operations, based on
own data on processing and transport, following a EC approved calculation
tool
2. The company uses default values following the EC advice on solid biomass
sustainability criteria
d.
66
67. Greenhouse gas balance (II)
• Default values are listed in EC advice on sustainability requirements for use of solid
and gaseous biomass sources (EC COM(2010)11), e.g.:
• Wood chips from forest residues (European continental forests) 1 gCO2eq/MJ
• Wood briquettes or pellets from forest residues (European continental forests)
– using gas as fuel: 30 gCO2eq/MJ
– using wood as fuel: 2 gCO2eq/MJ
• Char coal from forest residues (European continental forests) : 34 gCO2eq/MJ
• Straw : 2 gCO2eq/MJ
67
68. Greenhouse gas balance (III)
When can a default value be used (‘the easier option’)?
If the GHG calculation with the default value leads to a net GHG emission reduction
which is higher than requested by relevant government regulation or by the market
(generally 50-70% compared to fossil fuel alternative)
Otherwise, real GHG data are required to show compliance with the set GHG emission
reduction criterion (verified independently), including on:
• yield of cultivation
• use of fertilisers and pesticides
• N2O emissions as a consequence of cultivation
• energy consumption
• emissions of direct land use change, if applicable
In all cases, use GHG tool at : www.agentschapnl.nl/content/co2-tool
BioGrace 2 is in development
68
69. Soil quality
• Requirements on maintaining and improving soil quality following Section
5.5.1.2 of NTA 8080
• These requirements do only apply to primary biomass residues, meaning
biomass residues from agriculture and forestry, which can be used in
agriculture and forestry for maintaining or improving soil quality.
• The organisation which collects primary biomass residues shall prove that
the residues were previously not used for maintaining or improving soil
quality, e.g. by:
– Soil management plan (e.g. in agriculture)
– Scientific evidence that harvesting residues does not negatively affect the soil quality
(e.g. in forestry)
(Harvesting of part of the residual material)
69
70. Traceability (I)
Traceability requirements of supply chain following Sections 7.1
and 7.2 of NTA 8080, including additional requirements outlined
in the Interpretation document:
• Every organisation in the supply chain shall operate a
traceability system following the Segregation and/or Mass
balance chain of custody
.
70
71. Mass balance option
71
Certified chain
Regular (uncertified) chain
Primary
production
Processing Refinery Production
Primary
production
Processing Refinery Production
Distribution
72. Traceability (II)
• With every biomass transaction (starting from Producer) a
transaction certificate shall be transferred through the supply
chain, including at least the following information:
– Name and address details of organisation
– Unique identification number of the delivery
– The NTA 8080 certificate number which is used to demonstrate
that the organisation complies with NTA 8080, and the name of
the certification body that issued the certificate
– Tonnage, including % of NTA 8080 compliant
– Carbon equivalents (g CO2eq/MJ)
– Date of delivery
– Product description
72
73. Traceability (III)
• Transaction certificates shall be traceable in the organisation’s
administrative system
• The organisation shall be able to produce at least the following
information (at request) from the administrative system:
– All received and issued transaction certificates
– All biomass purchase and sales agreements
– Evidence of calibrated measure equipment used
– Registrations per consignment-in with information as on transaction cert.
– Registration of raw materials in storage
– Description of internal processes (conversion steps, mass balance)
– Registration of products in storage
– Registration per consignment-out with information as on transaction cert.
73
74. Traceability (IV)
• It shall unambiguously be proven from the organisation’s
administration that the amount of bought, stored and
supplied biomass in accordance with NTA 8080 or equivalent
is balanced taking into account possible conversion losses
• If the organisation uses a number of sustainability, it shall
unambiguously be proved that the corresponding
sustainability claims are balanced
• No temporary deficits, as a consequence of having delivered
more NTA 8080 certified biomass than is supplied and stored,
is allowed
.
74
75. Safeguarding of residual biomass intake
• ‘The organisation that solely collects residual flows according to NTA 8080,
Annex A, and wishes to be certified as such, shall ensure that mixing with
other biomass flows does not occur. The organisation shall record and
document the procedure chosen. It shall unambiguously be proved from
the organisation’s administration that only residual flows according to NTA
8080, Annex A have been collected and delivered, possibly after
processing’.
• As part of the safeguarding, the organisation can:
• Include clear product specifications with respect to residual flows in
the conditions for acceptance or collection
• Perform a visual inspection on the plausibility of origin during physical
collecting of the residual flow. The quality aspects are often standard
verified during collection, to which the inspection on the plausibility
of origin can be included
75
77. Contents
A. Steps in the certification proces:
1. Preparation by the organisation
2. Initial survey by auditor
3. Follow-up survey by auditor
B. Specific issues:
• Multi-site certification
• Non-compliances
• Certification criteria
77
78. Step 1: Preparation by the organisation
• Specify the scope of the envisaged certification:
• Part of supply chain (‘Producer’ as collector, ‘Processor’ as processor
and potentially also as ‘Trader’)
• Which biomass? (biomass residues in Annex A of NTA 8080 and/or
other biomass?)
• Specify which requirements apply
• Assess to which extent the organisation already complies with applicable
requirements, and if this can be proven (use a system plan)
• Improve areas/requirements where there are non-compliances
• Select one or more Certification Bodies for a proposal
.
78
79. Step 2: Initial survey by auditor
• Phase 1 – In the pre-assessment, the auditor:
• Familiarises himself with the organisation and its activities
• Assesses if the organisation is ready for Phase 2 (on basis of
system and available documentation)
• Defines an audit plan for Phase 2 (based on a risk
assessment)
• Not necessarily on the biomass location
• Phase 2 – Formal assessment
• Official assessment of the organisation, on location
• Number of assessment days depends on the envisaged scope of
certification and the size and number of locations
79
80. Step 3: Follow-up audits
• Certificate is valid for 5 years
• Mandatory annual follow-up audit on location
(In other words: during the 5 year certification period
there will be 4 follow-up audits)
• After 5 years: complete re-certification auditlingonderzoek
vereist
is geborgd.
80
81. Multi-site certification
• One certificate can cover several production units, if the units:
• Operate under one entity (to which the same national
legislation applies);
• Are managed centrally, with one quality assurance and
registration system;
• Apply comparable processes.
• In case of multi-site certification, locations will be visited on the
basis of a representative sample (e.g. in case of 9 production units,
3 units will be visited during the initial survey)
81
82. Non-compliances
• Non compliances are classified as:
• ‘Minor’: means non-compliance with a specific requirement that
exceeds legal requirements and that implies a higher risk in the long
term.
• ‘Major’: means non-compliance with a legal requirement or a
specific requirement that exceeds legal requirements and that implies
an immediate high risk or means a lack of proof of the correction of a
minor non-compliance that was already observed at the previous
audit
• If a connection exists between minor non-compliances, this
connection shall be classified as a major non-compliance
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83. Major non-compliances in case of biomass
residuals
• The organisation has not an auditable system
• The organisation has not kept documents for at least 5 years
• The organisation has not organised the PDCA-cycle
• The organisation is not in the possession of relevant valid permits
• The organisation can not demonstrate to be familiar with applicable
laws and regulations
• The organisation cannot submit a validated GHG calculation (if
default values have not been used)
• Total GHG emission reduction is lower than prescribed
• The organisation disposes of or uses residual products that formerly
hat the function to preserve or improve the soil quality
• The organisation has an inadequate bookkeeping to demonstrate
that the mass balance is balanced
83
84. Certification criteria
• In case of obtaining or retaining the certificate, the
organisation may have no major non-compliances.
• At a surveillance audit an organisation may have both minor
and major non-compliances:
– Major: the organisation provides within 2 weeks proposal for
improvement, after which non-compliance shall be corrected within 3
months.
– Minor: the organisation submits within 2 weeks an action plan to the
certification body. The certification verifies these corrective measures
at the next audit.
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85. Concluding remarks
• Investigate the businesscase
– Necessity
– Expected rewards & returns
– Customer demands
– Affordability of certification
• Decide which certification system fits your needs
– Commodity
– Customer demands
Introduction NTA 8080 85
86. Concluding remarks
• Contact NEN
– Guidance and information on process
– Connection with useful contacts
– Membership
• Pilots
– More pilots are welcome!
Introduction NTA 8080 86
