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ISO 50001-2011 Energy Management Systems - Self Audit Checklist PDF
ISO 50001-2011 Energy Management Systems - Self Audit Checklist PDF
uk
This checklist is intended to give you some idea about how far away from a fully
implemented energy management system (EnMS) your current system is. It is not
intended to be a comprehensive review but more of a quick guide to gauge if you are
currently on the right path to ISO 50001:2011.
ISO 50001:2011 does not set absolute energy performance criteria but it does
require you to demonstrate a commitment to continual improvement of energy
performance (defined as measurable results related to energy efficiency, energy
use and energy consumption) and you will need to have completed an energy review
and established a baseline from the energy review using a data period suitable to the
organizations energy use and consumption. If you already have an environmental
management system in place (ISO 14001:2004) then there are several similarities to
this standard but the requirement to establish a baseline and energy performance
indicators (EnPIs) does make this standard stronger in establishing and delivering
energy performance improvements than in ISO 14001:2004.
The items below are a summary of the requirements of the standard with my
interpretation below and comments. Following my guide will not mean that you will
achieve certification to ISO 50001:2011. You will need to implement the system and
ensure that all interrelations between the clauses are working and the system is
delivering improvement in energy performance over time. As with all systems it is
the iterative nature of the process that delivers improvement and this usually takes a
period of time to develop and produce results.
This guide is produced free of charge for reference with no guarantee as to accuracy
or completeness. You may use it as a quick reference guide but should you require
detailed information about any individual aspect of ISO 50001:2011 then please call
me direct on 07790147084 to discuss in further detail.
General Requirements
1. Have you established, documented and implemented an EnMS that meets all
the clauses of ISO 50001:2011?
2. Have you defined the scope of the EnMS with regards to physical site limits
and organizational boundaries and also considered the extent of business
activities, facilities and decisions that may include several boundaries e.g.
purchasing activities off-site?
I say - It might seem obvious but if you havent complied with all of the
requirements in the standard then you will not have implemented a complete
system. The decisions about boundary and scope are important as in many
organizations the manufacturing site may not have any influence over say
purchasing or design decisions at a Head Office located elsewhere.
Energy Review
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I say A comprehensive review to include asset registers and equipment lists
alongside previous energy consumption data is vitally important in order to be able
to identify where the areas of significant energy use are. This must be done first
before you attempt to write any policy.
Energy Baseline
1. Based on the energy review has an energy baseline been produced? (changes
in energy performance are measured against this baseline)
2. Has the baseline been maintained and recorded?
I say In order to see if your objectives, targets and action plans are actually
delivering results you will need to put a mark in the sand. Usually a financial or
operating year against which to benchmark future energy performance.
I say How are you going to measure energy performance? You need to set EnPIs
so that figures are recorded and analysed consistently e.g. kWhrs/SqM or
kWhrs/person. Think about these carefully for each objective.
Energy Policy
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I say Similar to ISO 14001, however the requirements to ensure availablility of
information and the requirements to ensure it is documented by top management
and supports the purchase of energy efficient products, services and design set it
apart from the environmental standard.
Management Representative
Top Management
Has top management, (person or group of persons who directs and controls an
organisation at the highest level)
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I say Similar legal register requirements to ISO 14001
1. Are objectives and targets documented and quantified consistent with the
energy policy?
2. Are targets consistent with the objectives?
3. Do the objectives consider the legal obligations and significant energy uses
and opportunities to improve energy performance?
4. Do action plans include named responsibility, deadlines and what is actually
going to happen to meet the objectives?
5. Is there a statement of the method by which an improvement in energy
performance is to be verified?
6. A statement of the method of verifying the actual results?
I say Clear objectives which are quantified and set relative to the baseline with
good EnPIs will give a clear indication of where you wish to go. Clearly defined
action plans saying who is going to do what and when will help move you
towards your goal. Make sure you state how you will verify that these have been
achieved before you verify them.
1. Are you using the energy review, policy, EnPIs, baseline and objectives in the
actual implementation of the system?
1. Have you identified who needs what training in order to implement your
policy and objectives?
2. Are those working on your behalf, related to significant energy use,
competent on the basis of education, training, skills or experience?
3. Do you keep records for the above?
4. Does everyone working for you ..
5. Realize the importance of working to the policy?
6. Their roles in achieving the requirements of the EnMS?
7. The benefits of improved energy performance?
8. How their behaviours can affect energy consumption and how deviation from
procedures in the EnMS can effect achievement of the objectives and
targets?
Communication
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1. Have you implemented a process by which any person working on your
behalf can suggest improvements or make comments on the EnMS?
2. Have you communicated internally on the requirements of the EnMS?
3. Have you made a decision about communicating externally on your energy
policy? If you have decided that you will have you documented how you will
do this?
Documentation
Document Control
Operational Control
1. Are all operations and maintenance activities related t significant energy use
carried out under specified conditions by:
2. Setting criteria for operation and maintenance of significant energy uses
where there absence could lead to a deviation of policy or objectives
3. Operating and maintaining facilities, processes and systems in accordance to
operational criteria
4. Have the operational controls been communicated to those working for and
on behalf of the organisation?
I say Similar to ISO 14001, Note: In planning for emergency situations the
organisation may choose to include energy performance in determining how it will
react to these situations.
Design
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1. Has energy performance been considered in the design of new, modified and
renovated facilities, equipment, systems and processes that can have a
significant impact on energy performance?
2. Results of the energy performance evaluation considered in the specification,
design and procurement of the above projects?
3. Have results of the design activity been recorded?
I say New requirement here to ensure that new facilities and projects are
considered for their energy performance prior to implementing or building. Quite a
common sense approach, there is no point in investing in a new energy inefficient
machine or process if it is going to contradict your policy or compromise objectives
to reduce energy efficiency.
Procurement
1. Whilst procuring energy services, products and equipment that can have an
impact on significant energy use, have you told suppliers that procurement is
partly evaluated on the basis of energy performance?
2. Are there procedures & criteria for assessing energy use, consumption and
efficiency over the expected lifetime when procuring energy using products,
equipment and services, which are expected to have a significant impact on
the organizations energy performance?
3. Are procurement procedures and specifications defined and documented?
I say New requirement here too, you need to ensure that suppliers of energy
services, products or equipment, realise that tenders will be evaluated partly by
considering energy use. Part of the policy too, so no getting away from it.
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I say Significant deviations are not non-conformities but rather spikes in energy
consumption or other trends. These are to be expected but must be evaluated and
investigated. The EnMS will generate plenty of data for review and these must be
produced consistently year on year if any trends are to be identified and
comparisons made.
I say The reason for producing a legal register previously (page 4) is to know
what legislation and other requirements you are supposed to comply with. This
clause ensures you measure your own compliance against them. A self regulatory
check, similar to ISO 14001.
Internal Audits
1. Has an audit plan been scheduled taking into account the importance of
processes and areas to be audited?
2. Are audits being completed?
3. Are internal auditors independent of the process they are auditing?
4. Are audit results recorded and reported to top management?
I say Similar to ISO 14001 You would expect to audit significant energy
processes more often than less energy intensive processes. One of the reasons for a
significance evaluation in the energy review (page 2).
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I say Correction = action to eliminate a detected nonconformity, e.g. a poorly
performing compressor using more energy than it should can be adjusted correctly.
Corrective action = action to eliminate the cause of a detected nonconformity,
e.g. all compressors can be modulated to ensure that they provide the appropriate
response to load as required by inclusion on a maintenance programme.
Records
Management Review
I say Clear list of inputs and outputs for the management review process.
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