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Implementing an Energy Management System

Using ISO 50001


This article will address issues related to sustainability efforts, through energy management
as it relates to ISO 50001, Energy Management System (EnMS). To some degree, they are
the same thing. Managing energy helps sustain business operations on several levels:
reducing operating and overhead costs; lowering you carbon footprint; understanding energy
use; energy consuming equipment; and understanding your energy sources.
The hardest part of getting started in any process is: knowing where to start. If you have a Quality
Management System (QMS) or Environmental Management System (EMS), then your start is easier.
First: define and document the scope of your EnMS. The challenge may be determining if your energy
scope is the same as your other scopes (QMS or EMS). Will it address the same boundary? Do you
have special considerations for your energy scope? Your consumption, intensity, efficiency and use
may be different. On the other hand, your boundaries may be well established and, therefore, the
same as your other management systems.
Clause 4.1, General Requirements, this clause requires a documented scope and to determine
how you will meet the requirements of the standard to achieve continual improvement of your energy
performance and the EnMS.
Clause 4.2 Management Responsibility has two sub-clauses: 4.2.1 General; and 4.2.2 Roles,
Responsibility and Authority. The General sub-clause is similar to QMS and EMS. Top Management
has to:

Establish the Energy Policy;


Appoint a management representative and approve the EnMS team;
Provide resources;
Identify the scope and boundary of the EnMS;
Communicate;
Ensure energy objectives and targets are established;
Ensure Energy Performance Indicators (EnPIs) are appropriate;
Considerations energy performance in long-term planning; and
Conduct Management Reviews.

The second sub-clause, Roles, Responsibility and Authority, requires top management to appoint a
management representative whose duties include:

Ensure the EnMS is established, implemented, maintained, and continually improved;


Report on the performance of the EnMS and changes in energy performance;
Identify person(s) to work with in support of energy management activities;
Plan and direct energy management activities to support the energy policy;
Define and communicate responsibilities and authorities;
Determine criteria and methods needed to ensure the operation and control of the EnMS are
effective; and
Promote awareness of the energy policy and objectives.

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The Energy Policy clause (4.3) requires commitment by top management to ensure the Energy
Policy:

Is appropriate to the nature and scale of energy use and consumption;


Includes a commitment to continual improvement in energy performance;
Includes a commitment to ensure the availability of information and of necessary resources to
achieve objectives and targets;
Includes a commitment to comply with applicable legal and other requirements to which they
subscribes which relate to energy use, consumption and efficiency;
Provides the framework for setting and reviewing energy objectives and targets;
Supports the purchase of energy efficient products and services, and design for energy
performance improvement;
Is documented, communicated, and understood; and
Is regularly reviewed, and updated as necessary.

ENERGY PLANNING
There are six parts to Energy Planning: General; Legal and Other Requirements: Energy Review;
Energy Baseline; Energy Performance Indicators; and Objectives, Targets and Action Plans.
4.4.1 General. The General clause requires you to conduct and document energy planning that
includes the clauses mentioned above. Energy planning leads to activities to improve energy
performance and involves a review of activities which can affect energy use and consumption, or
relate to them in a wider sense. Having brought this data and information together, a range of tools
and techniques are available to develop the energy planning outputs.
4.4.2 Legal and Other Requirements. The Legal and Other Requirements clause is worded similar
to EMS. You need to identify and have access to the applicable legal and other requirements to
which you subscribe related to energy uses. You need to determine how these requirements apply to
energy use, consumption and efficiency and ensure the legal and other requirements to which you
subscribe are considered when establishing, implementing and maintaining the EnMS.
4.4.3 Energy Review. The Energy Review clause outlines the need to develop, record, and maintain
an energy review. The methodology and criteria used to develop the energy review shall be
documented. To develop the energy review, you need to analyze energy use based on measurement
and other data, to include:

Identifying current energy sources;


Evaluating past and present energy use and consumption; and
Estimating future energy use and consumption.
Based on the energy use analysis, identify the areas of significant energy use and
consumption to:
Identify the facilities, equipment, systems, processes and personnel working for or on your
behalf that significantly affect energy use and consumption;
Identify other relevant variables affecting significant energy uses;
Determine the current performance of facilities, equipment, systems, and processes related
to identified significant energy uses; and
Estimate future energy use and consumption.

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Identify, prioritize, and record opportunities for


improving energy performance, including, where
applicable, potential energy sources, use of
renewables, or alternative energy sources. The
energy review needs to be updated at defined
intervals and in response to major changes in
facilities, equipment, systems, or processes.

4.4.4 Energy Baseline. The Energy Baseline clause,


requires an energy baseline be established using the
information in the initial energy review considering a data
period suitable to the energy use. Changes in energy
performance need to be measured against the energy
baseline. Adjustments to the baseline shall be made
when:

Energy Performance Indicators no longer reflect


energy use;
There have been major changes to the process,
operational patterns, or energy systems; or
According to a predetermined method.
This needs to be maintained and recorded.
4.4.5 Energy Performance Indicators. The Energy
Performance Indicators (EnPIs) clause states you need to
identify EnPIs appropriate for monitoring and measuring
energy performance. The methodology for determining and
updating the EnPIs shall be recorded and regularly
reviewed. EnPIs shall be reviewed and compared to the
energy baseline on a regular basis.
4.4.6 Objectives, Targets and Action Plans. The last
planning clause, Objectives, Targets and Action Plans
clause, is again much like the EMS standard, where you
need to establish, implement and maintain documented
energy objectives and targets within the organization. Time
frames need to be established for achievement of the
objectives and targets. The objectives and targets need to
be consistent with the energy policy. Targets shall be
consistent with the objectives. When establishing and
reviewing objectives and targets, you need to take into
account:

Legal and other requirements,


Significant energy uses, and opportunities to
improve energy performance as identified in the
energy review;
Financial, operational and business conditions
Technological options; and
The views of interested parties.

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You need to establish, implement, and maintain energy management action plans for achieving your
objectives and targets. The energy management action plans need to include:

Designation of responsibility;
The means and time frame by which individual targets are to be achieved;
A statement of the method by which an improvement in energy performance shall be verified;
and
A statement of the method of verifying the results of the action plan.
The energy management action plans need to be documented, and updated at defined intervals. As
you can see, there are a lot of synergies that can be used from existing quality and environmental
systems.
IMPLEMENTATION AND OPERATION
This section of the standard has seven parts: General; Competence, Training and Awareness;
Communication; Documentation; Operational Control; Design; and Procurement of Energy Services,
Products and Equipment. These sections are closely related to the QMS and EMS requirements.
4.5.1 General. The General clause simply states that an organization needs to use the action plans
and other outputs resulting from the planning process for implementation and operation.
4.5.2 Competence, Training and Awareness. The Competence, Training and Awareness clause is
similar to EMS. This applies to employees and those working on an organizations behalf with regard
to your significant energy uses. Training needs must be identified. Then, training or some other
action is taken to meet those needs. Records of these activities must also be maintained. In
addition, employees and those working on the organizations behalf need to be made aware of the
following:

Importance of conformity to the energy policy, procedures and requirements of the EnMS;
How they help or are involved in achieving these requirements;
Benefits of improved energy performance; and
Impact (actual or potential) with respect to energy use and consumption of their activities and
behavior contribute to the achievement of energy objectives and targets, potential
consequences of departure from specified procedures.

4.5.3 Communication. The Communication clause is similar to what is found in an EMS. You need
to communicate internally with regard to its energy performance and EnMS, as appropriate. You need
to establish and implement a process by which any person working for, or on behalf of, the
organization can make comments or suggest improvements to the EnMS. You decide whether to
communicate externally about your energy policy, EnMS and energy performance, and shall
document your decision. If the decision is to communicate externally, you need to establish and
implement a method for this external communication.
4.5.4 Documentation. The Documentation clause is closely related to QMS and EMS. The clause
has two sub-clauses, related to Documentation Requirements and Control of Documents.
4.5.4.1 Documentation Requirements. You need to establish, implement and maintain
information, in paper, electronic or any other medium, to describe the core elements of the EnMS
and their interaction. The EnMS documentation includes:

Scope and boundaries of the EnMS;

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Energy Policy;
Energy objectives, targets, and action plans;
Documents, including records, required by the standard; and
Other documents determined by the organization to be necessary.

The degree of documentation can vary for different organizations for the following reasons:

The scale of the organization and type of activities;


Complexity of the processes and their interactions; and
Competence of personnel.

4.5.4.2 Control of Documents. Documents required by the standard and your EnMS need to be
controlled, including technical documentation where appropriate. You need to establish, implement
and maintain procedure(s) to:

Approve documents for adequacy prior to issue;


Periodically reviewed and updated as necessary;
Ensure that changes and the current revision status of documents are identified;
Ensure that relevant versions of applicable documents are available at points of use;
Ensure that documents remain legible and readily identifiable;
Ensure documents of external origin necessary for the planning and operation of the EnMS
are identified and their distribution controlled; and
Prevent the unintended use of obsolete documents, and suitably identify those to be retained
for any purpose.

4.5.5 Operational Control. The Operational Control clause closely resembles the EMS Operational
Control (4.4.6) requirement. You need to plan operations associated with their significant energy
uses to be consistent with their Energy Policy, Objectives, Targets and Action Plans. This must be
carried out under specified conditions which are:

Establish and set criteria for effective operation and maintenance of significant energy uses or
where the absence could lead to a significant deviation from effective energy performance;
Operate and maintain facilities, processes, systems and equipment in accordance with
operational criteria; and
Appropriate communication of operational controls to persons working for or on your behalf.

As noted, these requirements are very similar to and easily integrated with an existing EMS. There is
a note: When planning for contingency or emergency situations or potential disasters, including
procuring equipment, you may choose to include energy performance in determining how it will react
to these situations. As the EnMS standard has no Emergency Preparedness and Response clause,
there is a need not to forget and plan for contingencies.
4.5.6 Design. The Design clause is similar to the QMS requirements (7.3, Design and
Development). In this case, you need to consider energy performance improvement opportunities and
operational control in the design of new, modified and renovated facilities, equipment, systems and
processes that can have a significant impact on its energy performance. The results of the energy
performance evaluation shall be incorporated where appropriate into the specification, design and
procurement activities of the relevant project(s) and the results of the design activity shall be
recorded.

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4.5.7 Procurement of Energy Services, Products and Equipment. This clause requires that as
you move toward increased efficiency in energy performance, the design inputs noted above become
the outputs in the purchase of equipment, other products and services. When procuring energy
services, products and equipment that have, or can have, an impact on significant energy use, you
need to inform suppliers that procurement is partly evaluated on the basis of energy performance.
You need to establish and implement the criteria for assessing energy use, consumption and
efficiency over the planned or expected operating lifetime when procuring energy using products,
equipment and services which are expected to have a significant impact on the organization's energy
performance. You need to define and document energy purchasing specifications, as applicable, for
effective energy use. A Life Cycle Analysis may become one of the defining selection criteria tools.
CHECKING
This is the set of clauses where performance is verified and the systems checks and balances are
implemented. It has five clauses: Monitoring, measurement and analysis; Evaluation of compliance
with legal and other requirements; Internal audit of the EnMS; Noncomformities, correction,
corrective and preventive action; and Control of records.
4.6.1 Monitoring, Measurement and Analysis. This clause is much like all other ISO management
system standards, organizations need to make sure key characteristics of its operations that
determine energy performance are monitored, measured and analyzed at planned intervals. Key
characteristics minimally include: outputs of the energy review; significant energy uses, with its
relationship between use and
consumption; Energy Performance
Indicators (EnPIs); and effectiveness
in achieving objectives and targets.
In addition, the results from
monitoring and measurement need
to be recorded.
A defined and periodic review of
measurement needs is required.
Equipment used in monitoring and
measuring data must be accurate
and repeatable, with appropriate
calibration records. An investigation
and
response
to
significant
deviations in energy performance,
with results, need to be maintained.
4.6.2 Evaluation of Legal and Other Compliance. This clause has the same basis requirements as
the EMS. At planned intervals, organizations must evaluate compliance with legal and other
requirements to which they subscribe that are relevant to their energy use, against records of
previous evaluations.
4.6.3 Internal Audit of the EnMS. You need to conduct internal audits to make sure the EnMS
conforms to their arrangements, and that the standard and is effectively implemented and
maintained. The audit plan and schedule is developed considering the status and importance of the
processes and areas to be audited as well as the results of previous audits. The selection of auditors
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and the conduct during audits need to ensure objectivity and the impartiality of the audit process.
Records of the audit results need to be maintained and results reported to top management.
4.6.4 Nonconformities, Correction, Corrective, and Preventive Action. You need to make sure
they have procedure(s) for dealing with actual and potential nonconformities and for taking corrective
and preventive actions. The procedures shall define requirements for:

Reviewing nonconformities or potential nonconformities and determining their causes;


Evaluating the need for action to ensure that nonconformities do not occur (preventive)
and/or reoccur (corrective);
Determining and implementing the appropriate action needed;
Maintaining records of corrective and preventive actions; and
Reviewing the effectiveness of the corrective or preventive action taken.

Corrective and preventive actions need to be appropriate to the magnitude of the actual or potential
problems, as well as, the energy consequences encountered. Any necessary changes are then made
to the EnMS documentation.
4.6.5 Control of Records. You need to maintain records as necessary to demonstrate conformity to
the Standard, including energy performance results achieved. You will need to define and implement
controls for the identification, retrieval and retention of records. Records need to remain legible,
identifiable and traceable to the relevant activity, product or service.
MANAGEMENT REVIEW
4.7 Management Review. At planned intervals top management needs to review the EnMS to
ensure its continuing suitability, adequacy, and effectiveness, with records of management review
maintained.
4.7.1 Input to Management Review. Inputs to the management review need to include:

Follow-up actions from previous management reviews;


Review of the energy policy;
Review of energy performance and related EnPIs;
Evaluation of legal compliance and changes in legal and other requirements to which you
subscribe;
Extent to which the energy objectives and targets have been met;
EnMS audit results; the status of corrective and preventive actions;
Projected energy performance for the following period, as appropriate; and
Recommendations for improvement.

4.7.2 Output from Management Review. Outputs from the management review need to include
any decisions or actions related to:

Changes in the energy performance of the organization;


Changes to the energy policy;
Changes to the EnPIs;
Changes to objectives, targets or other elements of the EnMS, consistent with your
commitment to continual improvement; and
Allocation of resources.

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For those with an active ISO 14001, ISO 9001, or other ISO management system, these
requirements should be familiar. The inclusion of energy activities to an existing system, can make
the implementation of an EnMS easier, as you have the existing platforms and understanding of the
common elements, such as Training, Control of Documents and Records, etc.
SUMMARY
The implementation of an EnMS is a cost savings / cost avoidance process, driven by requirements
to:

Demonstrate continual energy efficiency;


Formalize processes and procedures to identify energy use and consumption, including those
determined to be significant;
Develop a baseline, used to demonstrate energy efficiency;
Develop objectives (goals), with ancillary targets (to what degree do you want to achieve the
goal) and action plans (methods and responsibilities define to meet the objectives and
targets);
Implement processes to train employees, communicate, control documents and records,
operational control, design and procurement;
Verify the processes are effective and implement processes to make corrections for potential
and actual issues; and
Involve management in the overall determination of the EnMS implementation.

Jerry Skaggs, P.E., Environmental, Health, Safety and Energy Product Manager

***

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