Factsheet NTA 8080/81 - Netherlands Enterprise … NTA 8080/81 | March2012 Page 3 of 13 Colophon Date March, 2012 Status Final version This study was carried out in the framework of

Factsheet NTA 8080/81 Sustainability criteria for biomass for energy purposes

Factsheet NTA 8080/81 | March2012

Page 3 of 13

Colophon

Date March, 2012 Status Final version

This study was carried out in the framework of the Netherlands Programmes Sustainable Biomass by Name organisation SQ Consult B.V. Contact person Jinke van Dam, Sergio Ugarte, Sjors van Iersel

Although this report has been put together with the greatest possible care, NL Agency does not accept liability for possible errors.


Pagina 4 van 13

Contact

Netherlands Programmes Sustainable Biomass

Elke van Thuijl and Ella Lammers NL Agency NL Energy and Climate Change Croeselaan 15, 3521 BJ Utrecht P.O. Box 8242, 3503 RE Utrecht The Netherlands Email: [email protected]; [email protected]: +31 88 602 2639; 31 88 602 2569 http://www.agentschapnl.nl/en/programmas-regelingen/sustainable-biomass

SQ Consult BV

Jinke van Dam, Sergio Ugarte and Sjors van Iersel SQ Consult BV Prins Bernhardstraat 27 3981BL Bunnik The Netherlands Email: [email protected]: +31.6.3978.3382 www.sqconsult.com


Pagina 5 van 13

NTA 8080/81: Sustainability criteria for biomass for energy purposes

Feedstock and end-use covered: all biomass for all types of biomass end-uses (electricity, heat & cold and transportation fuels)

Geographical scope: worldwide

(Based on 31 January 2012)

Level of assurance:

General information

• Fully operational since: 2011

• EC recognized: in procedure. The RED (NTA RED) version will be temporary.

For organizations that need to comply with RED a growth model has been developed; if an organization does not yet meet all NTA 8080 requirements, it may still qualify for RED certification. After 1 January 2013 it won't be possible to obtain a new RED certificate and with prolongation of the certificate the organization shall comply with the NTA 8080 requirements [1]

• National approvals: Yes, from July 2011 to July 2012 by the Netherlands.

• Principles: covers environmental, social and economic principles and criteria. There are in total 9 principles (adapted from Testing framework for sustainable biomass) [1].

• Type of organization: Independent, not-for-profit

• Adherence: Member of CEN and ISO

• Current number of certificates: 14 certificates have been issued as of January 14, 2012

Auditing requirements (working methods for auditors)

Requirements planning audits (planning, conducting audits, reporting):

The NTA 8080 certification system is based on four steps [1]:

• Preparation: Before contacting a certification body (CB), the organisation performs a self-assessment. After the necessary improvements have been implemented, the operator contracts a CB and registers at the system manager prior paying the membership fee;

• The initial audit is performed in two stages: the pre-audit and the on-site audit.

• On-site audit: the auditor assesses the compliance with the criteria laid down in NTA 8080. The auditor will study documentation, interview employees and do visual inspection. The conclusions are described in the auditing report [2].

• There is a detailed table about the verification methods for scope of certification [3]

• Granting certificate: Based on the auditing report, the CB decides whether the certificate will be granted or not. If the organisation is not granted a certificate, it can take the necessary measures to correct non-conformities. Improvements can be made and the CB can conduct a new audit.

• Issuing of the certificate: If the CB grants the certificate, the certificate will be issued to the organisation. The certificate includes the scope of the certificate and a description of the production processes [2].


Pagina 6 van 13

• The CB informs the scheme manager about issuing the certificate within 2 weeks. The name and certificate details of the organisation that has been granted a certificate are published in a public register that is available on this website. The organisation may mention the certificate on its own website, but is bound by rules [2].

• The written reports of the (re) certification or surveillance audit remain in the possession of the CB and will never be given to third parties. The CB shall publish a summary of the audit report [3].

Auditor assessment procedure before entering a scheme (risk analysis):

The initial certification and recertification audit consists of two stages [1]: It concerns the preliminary investigation (pre-audit and the on-site audit, where the audit team of the CB assesses the organization on site.

Pre-audit: After concluding the contract, the CB will request documentation to prepare the audit visit. This documentation includes: a system plan, permits and research reports. Based on this input, the auditor will make a risk analysis and will draw up his audit plan. The on-site audit is prepared in consultation with the CB. The preparations mainly include ensuring availability and accessibility of the necessary information, facilities and persons, during the planned auditing period [2].

Sampling requirements:

Criteria for multi-site certification are that production units [3]:

• Operate within the same juridical entity to which the same national laws and regulations apply;

• Are centrally managed, with a central quality system and a central registration to its disposal; the data in the central registration related to traceability shall be kept per production unit;

• Similar processes take place at the production units.

In the case of multiple sites under the same certificate, the mass balance has to be operated at site-level.

Smallholder certification: A group (or regional organization) is managed by an independent legal entity. Only smallholders may associate with a group. The group shall have a homogeneous composition with respect to region, production activities, land use and climatic conditions. Clear rules for association need to be established [3]. The group is regarded as „producer�, to which the certification criteria apply. The group receives or retains its certificate if these certification criteria are complied with. The group members do not receive a certificate individually [3].

Sampling for multi-site or group certification [3]:

• √y at an initial certification audit;

• 0,6 x √y at a surveillance audit;

• 0,8 x √y at a recertification audit.

In which y is the number of production units or associated smallholders in the group (or regional organization). The sample size shall be based on a risk analysis. The production units or associated smallholders with relatively high risk shall be assessed [3], (More information on group certification: see CoC – less stringent requirements for smallholders)


Pagina 7 van 13

Self-declaration:

Before contacting a CB, the organisation performs a self-assessment. The system plan is a practical tool for this purpose.

Stakeholder consultation

NTA 8080/81 requires that the CB consult the direct stakeholders during the auditing process (initial and re-certification audits). Rules are given on the methodology to be used by the auditor and includes e.g. [1]: stakeholder identification, its procedures (stakeholders can provide the CB, at least 30 days preceding the audit, with their view and/or information, which can be kept confidential if desired) and impartiality and confidentiality.

Auditing frequency:

• During the validity of the certificate, surveillance audits are carried out at least once a year to assess compliance with the certification criteria. If the organisation continues to comply with the certification criteria, the certificate remains valid. Otherwise, the certificate will be suspended or withdrawn. This information is also recorded in the central register [2].

• The surveillance audit only consists of an on-site audit, excluding the pre-audit [3]

• For re-certification, the same criteria apply as for the initial audit [2] and shall always occur at least 3,5 months before the certificate expires [3]

• Recertification for the 'NTA RED' certificate is not allowed [3]

Maintenance of certificate

The certificate is granted for a maximum period of five years [2]. The re-certification assessment needs to take place before the certificate expires, in order to extend the certificate for another five years.

Requirements on missing information during audit:

This is covered under major and minor non-compliances. Procedures and up following actions by the CB are taken based on this.

Handling major and minor non-compliances:

Failure to meet standard requirements leads to non-conformities. The standard defines major and minor nonconformities as follows [1].

o A 'major' non-conformity is the failure to meet a legal requirement or a specified requirement that causes an immediate increase in risk. It can be caused by a non-correction of a 'minor' non conformity detected in a previous audit;

o A 'minor' non-conformity is failure to satisfy a requirement that exceeds legal requirements and which causes an increased risk over time.

o A specific list of non-conformities (e.g. not in possession of valid permits, not familiar with laws, records not kept for 5 years) is available in [3].

In case of obtaining or retaining the 'NTA 8080 approved' certificate, the organization may have no major non-conformities. At a surveillance audit, an organization may have both minor non-conformities and major non-conformities [3]. The following certification criteria apply [3]:

• Major: the organization provides within two weeks a proposal for improvement and has 3 months subsequently to correct the observed non-conformity and demonstrate


Pagina 8 van 13

this to the CB;

• Minor: the organization provides within 2 weeks an action plan concerning the implementation of corrective measures for review by the CB. The CB verifies these corrective measures at the next audit.

• If the organization does not correct a minor non-conformity within the fixed term, this non-conformity will be dealt with as a major non-conformity.

• If the organization does not correct a major non-conformity within the fixed term, the certificate will be suspended. From that moment, it is not allowed to supply biomass flows under certificate in the chain and any form of manifestation in relation to the certificate is excluded.

• With suspension, the major non-conformity shall still be corrected within 3 months, otherwise the certificate is withdrawn; a new initial certification audit will be necessary.

Communication of non-compliances or fraud

Not specifically mentioned in documentation. System is informed by the CB and certificate is withdrawn from website. Fraud is considered as an economic crime (following jurisdiction on this)

Dispute resolution / complaints regulation:

• CBs should have a documented process for receiving, evaluating and decisions on complaints or objections. Stakeholders should first file a complaint to the CB, as they are the next higher committee after the certificate holder. Organisations have 1 month after the decision of a CB to object. An appeal procedure is foreseen.

• Pending the objection or complaint procedure, all certificates already issued remain valid. NEN has laid down the full complaints procedure as part of the NEN Scheme Management Manual [1].

• The certificate holder shall keep a registration of the complaints received that are related to the certified service. Response to complaints shall be within six weeks [3].

• Complaints procedures about the system itself are included in the NTA808 manual.

Limited assurance level

The pre-audit includes a risk analysis and system plan to control the level of assurance.

Guidance for auditors:

There is additional guidance available for auditors. NTA 8080/81 has a 3-day training programme for auditors that address the contents and backgrounds of NTA 8080 and the auditing practice according to the certification scheme NTA 8081 [1].

Quality requirements auditors

Rules included on quality requirements auditors:

• The audit team may consist of one or several persons [3]

• Certification is done by CBs that have entered into an agreement with NEN.

Skills

• Demonstrable expertise in relation with the technical and sustainability aspects of the specific biomass flow (concerning legal, environmental and social context) [3]

• Members who speak the most important language(s), including languages that are spoken by local stakeholders [3]

• Audit team should have demonstrable knowledge on sustainability of the production


Pagina 9 van 13

and processing and conversion of biomass flows, CoC and GHG calculations.

A list of accepted CBs can be found on:

http://www.sustainable-biomass.org/publicaties/4854

Level of independency / third party verification:

• Third party verification: Yes

• Carrying out the initial certification, surveillance / recertification audit and taking the decision on granting or extending the certificate are two separate responsibilities within the CB [3]

Requirements included in conformity with standards or norms:

• The competences of the lead-auditors, auditors and audit teams shall comply with the guidelines given for this in ISO 19011 [3].

• A CB must have been recognized on the basis of the requirements in ISO/IEC Guide 65 or equivalent to this [3].

Control of the auditors

Control of certification bodies:

CBs enter into an agreement with NEN.

Requirement of accreditation or recognition of auditors by:

• NEN solely enters into agreements with CBs having an applicable accreditation declaration from an IAF/MRA partner [3] and that shall periodically assess the technical competency of the CBs;

• In the Netherlands the Dutch Accreditation Council RvA is the accreditation body that is IAF/MRA partner

Note that in December 2010 the scheme itself was accepted by the Dutch Accreditation Council (RvA - Raad voor Accreditatie)

Chain of custody (CoC):

Description CoC

Chain coverage:

Chain coverage: All stages

The certification scheme distinguishes four types of 'scopes' [2]:

• 'Producer': produces the primary biomass or collects residual flows;

• 'Processor': processes or converts the (primary) biomass;

• 'Trader': trades in the biomass;

• ‘End-user': uses the (processed) biomass for the generation of electricity and heat or production of biogas or biofuel (neat or blended).

Traceability methods included:

Organizations that wish to be certified against NTA 8080 shall apply segregation or mass balance as the traceability method. The book and claim method is excluded because this system needs different requirements to the chain concerning infrastructure and administration [1].

• Segregation of product: among other documents, the organization has to declare that no mixing has occurred with material that has not been certified according to NTA 8080 or equivalent; in case the organization applies identity preserved, the


Pagina 10 van 13

declaration shall also demonstrate that no mixing has occurred with material that originates from different sources [1];

• Mass balance of product: this approach included in NTA 8080 is used in markets for certified mass and bulk products, especially when these products are converted and/or processed in continuous processes [1].

The two methods are in line with the EU RED requirements, which consider that each link in the biomass chain shall have a chain of custody in place according to the mass balance or the segregation method [1].

Possibility of less stringent requirements:

• Residues: Yes

• Smallholders: Yes, adapted criteria, streamlined auditing, group certification

• Small holders are exempted from certain requirements regarding consultation of stakeholders, prosperity, working conditions, contribution to social well-being of local population and integrity of the company. Small holders may opt for establishing a group in order to be certified as a group. A definition for smallholders is available [1].

Recognition by other standards:

NTA 8080/81 has not been recognised yet by other standards, to the knowledge of the scheme owner.

Recognition of other standards

The Committee of Experts at NEN has the task to verify whether other certification systems for sustainably produced biomass comply with the requirements of NTA 8080. So far, other standards have not yet been endorsed. Only systems that issue certificates by bodies accredited by an IAF member can be qualified, according to the rules which are in force at the time of this report (April 2011) [1].

Information handling

Requirements system on the document management system;

Specific procedures are available on information records, transfer and its traceability requirements. A biomass flow that is used for energy purposes at the end of the chain is regarded fully sustainable, if [3]:

• All organizations that are classified as „producer�, „processor�, „trader� or „end-user� are in the possession of a valid certificate as meant in this scheme;

• The emission reduction of GHGs along the entire chain complies with the requirement as described in [….] and which is demonstrated by the „end-user�;

• The traceability of the biomass flow along the entire chain has been ensured, which is part of a certificate by taking into account the upstream links in the chain.

Retain data evidence (in number of years)

For a period of at least five years or longer if required by prevailing laws and regulations [4].

Specification time frame mass balance for operating

In totally, the amount of biomass that is obtained from the chain cannot exceed the amount of biomass that has entered the chain, taking into account the possible conversion losses and the differences between initial and final stocks per period [3]

Prevention double claiming or counting

• If the organization uses a number of sustainability systems, it shall unambiguously be


Pagina 11 van 13

proved that the corresponding sustainability claims are balanced. No temporary deficits of biomass according to NTA 8080 or equivalent, as a consequence of having delivered more biomass according to NTA 8080 or equivalent than is being supplied and stored, are allowed on the mass balance [3].

• A transaction certificate has an unique identification number of the delivery, also to trace the issued certificate in the internal traceability system [3];

• The mass balance does not allow averaging of GHG performances. The sustainability characteristics of a mixture shall be traced back to the separate consignments [3];

Quality requirements (information system)

• The organization shall be able to produce information requirements (see below) to the auditor, which should be demonstrable or traceable [3]:

• Mass balance system shall be designed in such way that consignments would normally be in contact, such as in a container, processing or logistical facility or site [3].

Handling of certificates (or proof of sustainability) throughout the chain

• The organization receives a certificate from the CB. As part of the traceability, the certified organization gives out a transaction certificate for each delivery that includes a reference to the above-mentioned certificate [3]. Information requirements in a transaction certificate by each delivery to ensure the traceability are provided [3].

• Organizations in the beginning of the chain do not receive transaction certificates, but only issue transaction certificates [3].

Information requirements for stakeholders in the value chain

The organization shall be able to produce at least the following information [3]:

• All received and issued transaction certificates;

• All agreements with suppliers and buyers, as far as it is related to the biomass flows;

• Evidence of calibrated measure equipment used;

• Registrations per received consignment that includes at least the information from the above-mentioned transaction certificate;

• Registrations of the raw materials in storage, with detailed data requirements;

• Description of the internal processes, with detailed data requirements;

• Registrations of the end products in storage;

• Registrations per shipped delivery

An organization shall carry out measurements yearly to monitor the soil, water and air quality [3].

Costs:

Direct costs of system

Cost of certification

Certificate cost for operators:

Annual fee per certificate [€50- €200] AND Fee per metric ton [€0.03] OR Annual membership fee [€50-€5,000]

For each certificate an annual fee will be charged. This annual fee is collected by the CB


Pagina 12 van 13

and subsequently transferred to the scheme manager

Cost of auditing

• NTA 8081 provides detailed guidance regarding the number of audit days required for initial certification audits, yearly surveillance audits and 5-yearly certification prolongation audits. The audit effort is divided along the chain and with this it is linked to the number of certificates and the scope of the certificates [1].

• If the organization is a ‘producer’, the audit effort will increase by a number of days for inspecting and assessing the production unit(s), which is linked to the area of cultivation [1]

• The audit duration per certificate may be reduced or increased depending on size and complexity. Complexity depends on the processes, the number of departments involved, the number of positions and persons within the organization [3].

References:

1. NL Agency (2011), How to select a biomass certification scheme?

2. Information on website NTA8080, http://www.sustainable-biomass.org/, information collected in December 2011

3. Netherlands technical agreement NTA 8081(en), Certification scheme for sustainably produced biomass for energy purposes, Version 1.3, January 2011

4. NEN, Interpretation document 05 linked to NTA8081, 2011-08-16


Page 13 of 13

Documents

Factsheet NTA 8080/81 - Netherlands Enterprise … NTA 8080/81 | March2012 Page 3 of 13 Colophon Date March, 2012 Status Final version This study was carried out in the framework of