UNDERSTANDING THE REQUIREMENTS
OF THE ENERGY MANAGEMENT
SYSTEM CERTIFICATION
A DISCUSSION AbOUT THE CHAllENGES, IMpACTS AND
OppORTUNITIES FOR ENERGY EFFICIENCY
AUGUST 2010
AUTHOR
Eric G.T. Huang
Global Product Manager, Energy/ Sustainability, SGS
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1
AbSTRACT
The purpose of this document is to provide an introduction to the Energy
Management System (EnMS) certification requirements. This document
is not intended to be a full explanation of the certification standards and
related requirements or of its implementation. Rather, it aims to promote
understanding of the standard and to enable organisations to establish the
systems and processes necessary to improve energy performance.
CONTENTS
I. EXECUTIVE SUMMARY 1
II. GlObAl ENERGY MANAGEMENT 2
III. ENERGY MANAGEMENT SYSTEMS STANDARDS 3
IV. GlObAl SOlUTIONS FOR ENERGY MANAGEMENT 8
V. CONClUSION 10
I. EXECUTIVE SUMMARY
“Energy efficiency is the most promising
means to reduce greenhouse gases
in the short term,” said Yvo de Boer,
former Executive Secretary of the
United Nations Framework Convention
on Climate Change (UNFCCC).
Energy conservation technology and
facilities/equipment are only part
of the approach to improve energy
efficiency. Systematic management and
the behaviour approach have become
the core efforts to improve energy
efficiency today. The purpose of BS
EN 16001 and ISO 50001, the EnMS
standards discussed in this paper, is to
enable organisations to establish the
systems and processes necessary to
improve energy performance. They are
based on the continual improvement
and Plan-Do-Check-Act approaches
utilised in the ISO 9001 and ISO 14001
management systems standards to
provide compatibility and integration
opportunities. Implementing these
Standards should lead to reductions in
energy cost, greenhouse gas emissions
and minimise the negative impact on
the environment.
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II. GlObAl ENERGY MANAGEMENT
1 Economist Intelligence Unit Report. Countdown to Copenhagen.
Available at: http://graphics.eiu.com/marketing/pdf/copenhagen/Sustainability_2009.pdf
2 McKinsey Global Institute Report: Productivity of growing global energy demand:
A microeconomic perspective. Available at: http://www.fypower.org/pdf/McKinsey_Global_Energy_Full.pdf
3 McKane, et al. Industrial Energy Efficiency As Standard Practice.
Available at: http://www1.cetim.fr/eemods09/pages/programme/083-McKane-final.pdf
IMpROVING ENERGY EFFICIENCY AND
A report, “Productivity of growing global
The barriers to improving industrial
REDUCING WASTE
energy demand: A microeconomic
energy efficiency have been highlighted
With energy costs and the importance
attributed to climate change having
risen over the past several years, energy
efficiency has become paramount.
According to a report by the Economist
Intelligence Unit, energy efficiency
management is critical to businesses
perspective”, published in 2006 by the
McKinsey Global Institute asserted that
“there are sufficient economically viable
opportunities for energy-productivity
improvements that could keep global
energy-demand growth at less than one
percent per annum”.2
because they need to be seen to be1:
As pressures mount on businesses
to include3:
Lack of information regarding
energy efficiency;
Limited awareness of the financial or
qualitative benefits arising from
energy efficiency measures;
Inadequate skills to implement
such measures;
Keeping costs under control during
economic recession;
Capital constraints and corporate
culture leading to more investment in
new production capacities rather than
energy efficiency; and
Greater weight given to addressing
upfront (first) costs compared to
recurring energy costs, especially if
these costs are a small proportion of
production costs.
A change in the organisational culture
is needed in order to realise industrial
energy efficiency potential. An EnMS
standard can provide a supportive
organisational framework necessary
to move beyond an energy saving
project approach to an energy efficiency
approach that routinely and methodically
seeks out opportunities to increase
energy efficiency, no matter how large
or small.
to become more energy efficient,
managing resources effectively is
proving more essential than ever. In
Positioning themselves and their
addition, customers are increasingly
brands as green product providers;
asking for assurance from organisations
Meeting increasingly stringent
that they treat the environment
compliance requirements;
responsibly and are able to demonstrate
Improving the environmental footprint
energy efficiency.
of their products/services; and
Implementing stronger
A MAJOR OppORTUNITY
controls over suppliers of
Efficient energy management requires
environmental standards.
the identification of where energy is
Businesses that are wasting energy
are reducing profitability and causing
avoidable pollution, primarily through
increased carbon emissions, which
contributes to both climate change
and dwindling fuel reserves. Making
businesses more energy efficient is
seen as a largely untapped solution
to addressing global warming, energy
security and fossil fuel depletion.
used, where it is wasted and where
any energy saving measures will have
most effect. The key feature of a
successful EnMS is that it is owned
and fully integrated as an embedded
management process within an
organisation, energy management
implications are considered at all stages
of the development process of new
projects, and that these implications are
part of any change control process.
Energy productivity (the output and
quality of goods and services per unit of
energy input) can be improved by either
reducing the amount of energy required
to produce something or increasing the
quantity or quality of goods and services
produced from the same amount
of energy.
The key question for energy
management practitioners is how to
provide the best case for successful
energy management within their
organisation, achieve the desired
buy-in at top management level,
and implement a successful
management system.
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III. ENERGY MANAGEMENT
SYSTEMS STANDARDS
THE bS EN 16001 ENERGY
and can be used independently of, or
MANAGEMENT SYSTEM
integrated with, any other management
BS EN 16001: 2009 provides the
requirements and guidance intended
to assist organisations in reducing
both costs and greenhouse gas
emissions. This is achieved through the
development and implementation of an
EnMS. The Standard also specifies the
requirements of an EnMS to allow an
organisation to develop and implement
an energy policy, establish objectives,
targets, and programmes, which take
into account legal requirements and
information pertaining to significant
THE bS EN 16001 ENERGY MANAGEMENT SYSTEM MODEl
Source: BS EN 16001:2009 standard
system. The structure of BS EN 16001
is similar to that of the Environmental
Management Systems (EMS) standard
ISO 14001.
The level of detail and complexity
of individual EnMS will depend on a
number of factors, including the size of
the organisation, the scope of its energy
management system and the nature of
its activities and products/services.
The same is true of the documentation
and resources required to implement
the EnMS.
energy use. It is intended to apply to
BS EN 16001 recognises that energy
all types and sizes of organisations
management encompasses a range
Continuous
Improvement
Internal Audit
Energy Policy
Planning
Management Review
Implementation
and Operation
Checking and
Corrective Action
Corrective and
Preventive Action
of issues, including those with both
strategic and competitive implications.
Demonstration of successful
implementation of this Standard can
be used by an organisation to assure
clients and stakeholders that it has an
appropriate EnMS in place.
Whilst BS EN 16001 does not specify
particular performance criteria with
respect to energy management, it
does provide a framework for continual
improvement of an organisation’s
energy efficiency and sustainable use.
It enables an organisation to take a
systematic approach to the continual
improvement of its energy efficiency.
Monitor and Measure
*
BS EN 16001 comprises both the
requirements of an EnMS together with
guidance on the use of the Standard.
The requirements identified are
as follows:
The need for an official, publically
available energy policy which includes
a commitment for achieving improved
energy performance;
The identification and review of
an organisation’s energy aspects
which highlight those elements of
an organisation’s activities, goods or
services that can effect energy use
or energy consumption, as well as its
legal obligations; and
The establishment of energy
objectives and targets which detail
how the organisation plans to improve
energy efficiency, including the tasks
and resources required.
Resources, roles, responsibilities and
authorities necessary to establish and
maintain an EnMS have to be defined.
There also needs to be the level of staff
awareness and training necessary to
ensure that personnel performing tasks
which can cause significant impacts on
energy consumption are competent
to do so.
Organisations are required to have the
necessary operational controls in place
to ensure that operations associated
with significant energy aspects are
conducted in such a way that will control
and improve their energy performance.
Additionally, there need to be sufficient
monitoring and measurement in place
to verify achievement with, or deviation
from, its stated energy objectives and
targets, and the compliance of its EnMS
to legal and other requirements.
bS EN 16001 ApplIES THE
“plAN-DO-CHECK-ACT” (pDCA)
METHOD
Plan: Establish energy management
policy, objectives, targets, processes
and procedures relevant to managing
risk and improving energy efficiency to
deliver results in accordance with an
organisation’s overall policies
and objectives.
Do: Implement and operate the
energy management policy, controls,
processes and procedures.
Check: Monitor and measure
process performance against energy
management policy, objectives and
targets, and report the results to
management for review.
Act: Take corrective and preventive
actions, based on the results of the
management review, to achieve
continual improvement of the
EnMS. This supports consistent
and integrated implementation and
operation with related management
systems such as ISO 14001.
NEW ENERGY MANAGEMENT SYSTEM
STANDARD – ISO 50001
Realising the importance of energy
management, ISO 50001 was
developed as the future International
Standard for energy management
by the International Organization for
Standardization (ISO) in 2008. Due
to be released in 2011, ISO 50001 is
anticipated to affect up to 60 percent of
the world’s energy consumption and has
the potential to become a global trade
catalyst for industrial energy efficiency in
the same way that ISO 9001 has
for quality.
ISO 50001 specifies requirements
for an organisation to establish,
implement, maintain and improve
an energy management system,
which enables that organisation to
take a systematic approach in order
to achieve continual improvement of
energy performance, energy efficiency
and energy conservation. It helps
organisations to manage energy supply
and energy uses and consumption,
including measurement, documentation
and reporting, design and procurement
practices for energy using equipment,
systems, processes, and personnel.
Implementation of this Standard
should lead to reductions in energy
cost, greenhouse gas emissions and
other environmental impacts, through
systematic management of energy.
ISO 50001 will establish an international
framework for industrial, commercial
or institutional facilities, or entire
companies, to manage their energy,
including procurement and use. It
is applicable to all types and sizes
of organisations irrespective of
geographical, cultural or
social conditions.
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Conformance with ISO 50001 will
demonstrate that a plant or company
has sustainable EnMS in place, has
completed a baseline of energy use, and
has committed to continuously improve
energy intensity.
The framework of ISO 50001
encompasses a combination of technical
and strategic management aspects,
which are expected to give this Standard
wide acceptability. The Standard will be
based on the continual improvement and
PDCA approaches utilised in ISO 9001
and ISO 14001 to provide compatibility
and integration opportunities.
DEVElOpING ISO 50001
The U.N. Industrial Development
Organization (UNIDO) was one of the
earliest entities to recognise the industry
need to develop an effective response
to climate change and to the proliferation
of national energy management
standards. In March 2007, UNIDO
hosted a meeting of experts which led
to the submission of a formal request to
the ISO Central Secretariat to consider
undertaking work on an international
energy management standard.
In February 2008, the Technical
Management Board of ISO approved
the establishment of a new project
committee (PC 242 – Energy
Management) to develop the new ISO
Management System Standard for
Energy. The project committee consists
of 35 participating countries and 5
observing countries. The Associação
Brasileira de Normas Técnicas (ABNT)
and the American National Standards
Institute (ANSI) jointly serve as the
Secretariat. The U.S. Council for Energy-
Efficient Manufacturing and the U.S.
Department of Energy are supporting
ANSI’s role in developing the standard.
The first ISO/PC 242 committee
convened in Washington, DC in
September 2008 and again in Brazil in
March 2009. The Draft International
Standard (ISO/DIS 50001) was released
in March 2010, and the publication is
planned to take place before mid-2011.
ISO 50001 REQUIREMENTS
General ISO 50001
requirements include:
Establishing, documenting,
implementing and maintaining
an EnMS in accordance with the
requirements of this Standard;
Defining and documenting the scope
and the boundaries of the EnMS; and
Determining and documenting how
it will meet the requirements of this
Standard in order to achieve continual
improvement of its energy efficiency.
It is the responsibility of management
to demonstrate commitment to and
support of the EnMS, and continually
improve its effectiveness.
WHAT DOES ISO/DIS 50001 COVER?
The ISO/DIS 50001 Standard includes
four main clauses:
1. Scope
2. Normative References
3. Terms and Definitions
4. Energy Management
System Requirements
Annex A: Guidance on clause 4 Energy
Management System Requirements
Clause 4 of the Standard is further
broken down into 7 sub-clauses. Details
of these sub-clauses are as follows:
4.1 General Requirements
The organisation must:
Establish, document, implement
and maintain an EnMS in accordance
with the requirements of
this Standard;
Define and document the scope and
the boundaries of its EnMS; and
Determine and document how it
will meet the requirements of this
Standard in order to achieve continual
improvement of its energy efficiency.
4.2 Management Responsibility
Top management must demonstrate its
commitment and support to the EnMS,
and continually improve its
effectiveness by:
Establishing, implementing, and
maintaining the energy policy;
Appointing a management
representative and approving
the formation of an energy
management team;
*
Providing the resources needed to
establish, implement, maintain and
improve the EnMS;
Ensuring energy performance
objectives and targets are
established; and
Ensuring EnPIs are appropriate to
the organisation.
4.3 Energy Policy
Top management must ensure that the
energy policy:
Is appropriate to the nature and scale
of, and impact on, the organisation’s
energy use;
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;
Provides the framework for setting
and reviewing energy objectives
and targets;
Supports the purchase of energy
efficient products and services;
Is documented, communicated,
and understood within the
organisation; and
Is regularly reviewed, and updated
as necessary.
4.4 Energy Planning
The organisation must conduct and
document energy planning covering:
Legal and other requirements;
Energy review;
Energy baseline;
Energy performance indicators;
Objectives and targets; and
Action plans.
Energy planning should lead to activities
to improve energy performance.
4.5 Implementation and Operation
The organisation must:
Use the energy management action
plans (a result of the planning process)
for implementation and operations;
Ensure any person involved with
significant energy uses are competent
in education, training, skills and
experience;
Establish, implement and maintain
procedures to approve documents;
Identify and plan those operations
which are consistent with its energy
policy, objectives, targets and
action plans;
Communicate internally its energy
performance and EnMS, as
appropriate for the size of
the organisation;
Consider energy performance
improvement opportunities in
the design of new, modified and
renovated facilities, equipment,
systems and processes; and
Inform suppliers that procurement is
partly evaluated on the basis of
energy performance.
4.6 Checking Performance
The organisation must:
Ensure that the key characteristics
of its operations are monitored,
measured and analysed at
planned intervals;
Define and periodically review its
measurement needs;
Ensure that the equipment used in
monitoring and measuring of key
characteristics provides data which is
accurate and repeatable;
Investigate and respond to significant
deviations in energy performance;
Conduct internal audits at planned
intervals; and
Establish, implement and maintain a
procedure(s) for dealing with actual
and potential nonconformity(ies),
making corrections, and taking
corrective or preventive action.
4.7 Management Review
Top management must review the
organisation’s EnMS to ensure it is
continuing its suitability, adequacy and
effectiveness at planned intervals.
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7
THE ISO 50001 ENERGY MANAGEMENT SYSTEM MODEl
MANAGEMENT Management system for energy
TECHNICAl
plAN
• Policy/goals/targets
(4.3, 4.4.6)
• Resources (4.2.1)
ACT plAN
CHECK DO
DIFFERENCES bETWEEN bS/EN 16001 AND ISO/DIS 50001
The main differences between the requirements of BS EN 16001:2009 and
ISO/DIS 50001 exist in the areas of energy policy, the scope of ‘Energy’
(energy characterisation), energy performance, purchasing, metering systems
and improvement opportunities, as follows:
Theme Differences
Energy Policy ISO 50001 requires a commitment related to the purchase of energy efficient
products and services.
BS EN 16001 only requires the consideration of energy consumption when buying
energy consuming equipment.
Energy characterisation ISO 50001 considers energy supply in the EnMS scope.
BS EN 16001 only concerns energy efficiency.
Energy performance improvement
opportunities
plAN
• Energy baseline (4.4.4)
• Energy Performance
Indicators (4.4.5)
DO
• Training (4.5.2)
• Communication(4.5.5)
• Control equipment system
& processes (4.5.4)
DO
• Design(4.5.6)
• Energy purchasing
(4.5.7)
CHECK
• Corrective/preventive
action (4.6.4)
• Internal audit (4.6.3)
CHECK
• Monitoring (4.6.1)
• Measurement (4.6.1)
ACT
• Management review (4.7)
ACT
• Energy performance
and EnPIs review (4.7.1)
ISO 50001 states that energy performance improvement opportunities should be
considered in the design, modification and renovation of significant energy consuming
facilities, equipment, systems and processes.
BS EN 16001 considers installations, equipments, buildings and facilities.
Purchasing BS EN 16001 considers energy performance criteria in the purchase of equipment.
ISO 50001 concerns renewability and carbon intensity related to energy supply.
Metering systems BS EN 16001 requires organisations to have a metering plan.
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IV. GlObAl SOlUTIONS FOR
ENERGY MANAGEMENT
WHY ENERGY MANAGEMENT
SYSTEM STANDARD?
EnMS Standards provide the
following benefits:
Strategic planning that requires
measurement, management, and
documentation for continuous
improvement for energy efficiency;
Addressing policies and procedures
based on all aspects of energy
purchase and use;
Demonstrating continuous
improvement in energy efficiency;
Creating an Energy Manual, a living
document that evolves over time as
additional energy saving projects and
policies are undertaken
and documented;
Identifying key performance
indicators, unique to the
company, that are tracked to
measure progress;
Assisting organisations in making
better use of their existing
energy-consuming assets;
Offering guidance on benchmarking,
measuring, documenting, and
reporting energy intensity
improvements and their projected
impact on reductions in greenhouse
gas emissions;
Creating transparency and facilitating
communication on the management
of energy resources;
Promoting energy management best
practices and reinforcing good energy
management behaviours;
Assisting facilities in evaluating and
prioritising the implementation of new
energy efficient technologies;
Step D – This is ‘Stage 2’ of the
initial audit process. The audit
includes interviews with you and
your colleagues and examination
of records. Observation of your
working practices determines how
compliant your actual processes are
with the standard and with your own
documentation system. At the end of
this stage, we will present the findings
of the audit classified as either
major or minor non-conformances
along with other observations and
opportunities for improvement.
Once you have addressed the non-
conformities, a technical review of
the audit will then be conducted by an
authorised SGS Certification Manager
to confirm the issuance of
a certificate;
Step E – Our surveillance visits will
be scheduled at either six or twelve
month intervals depending on the
contract. During the visits, we review
the implementation of the action plan
addressing the past non-conformities
and examine certain mandatory and
other selected parts of the system in
line with an audit plan that we provide
you before each visit; and
Step F – Shortly before the third
anniversary of the initial certification,
our routine visit will be extended
to enable a re-certification audit.
Surveillance visits will then continue,
as before, on a 3-year cycle.
* Please note that SGS can provide a stand-alone pre-audit (gap analysis), which can be carried out
independently of any certification activity.
Providing a framework for promoting
energy efficiency throughout the
supply chain; and
Facilitating energy management
improvements in the context of
greenhouse gas emission
reduction projects.
HOW DOES THE ENERGY MANAGEMENT
SYSTEM CERTIFICATION
pROCESS WORK?
The BS EN 16001 and ISO 50001
certification process, which is similar
to ISO 14001:2004, consists of the
following six steps:
Step A – SGS provides you with a
proposal based on the size and nature
of your organisation. You can then
proceed with the audit by accepting
the proposal;
Step B – You may ask SGS to perform
a ‘pre-audit’* to give an indication of
the readiness of your organisation for
the audit. This stage is optional, yet it
is often found useful in identifying any
weaknesses in your systems and in
building confidence before the
formal audit;
Step C – The first part of the formal
audit is the ‘Stage 1 – Readiness
Review’. This lets us evaluate the
compliance of your documented
system with the requirements of the
standard to better understand the
nature of your organisation, to plan
the rest of the audit as effectively
as possible and to initially examine
key elements of the system. You
will receive a report after this stage
identifying any concerns or observed
non-compliances so that you can take
immediate action if required;
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bS EN 16001:2009 AND ISO 50001 CERTIFICATION pROCESS
Step A
Agree
Contract
Step B
Optional
Pre-Audit
Surveillance Visits typically
Assessment and certification
At 6 to 12 month intervals
Step C
Stage 1
Audit
Certificate
Step D
Issue on
Stage 2
Completion
Audit
of Successful
Audit
Step e
Surveillance
Visits
Action and Closure of Identified
Non-Conformities
Action and
Closure of
Identified
Non-Conformities Certification Cycle Typically 3 years
Step F
Recertification
Audit
11.
Source
ISO 50001 Energy Management StandardHow can you continuously improve energy efficiency? Realizing the importance of energy management, ISO 50001 was developed as the future International Standard for energy management by the International Organization for Standardization (ISO) in 2008. Due to be released at the end of 2011, ISO 50001 is anticipated to affect up to 60% of the world’s energy consumption. ISO 50001 energy management standard specifies requirements for an organization to establish, implement, maintain and improve an Energy Management System (EnMS), enabling the organization to take a systematic approach to achieving continual improvement of energy performance. This new Standard will establish an international framework to help manage the energy supply, uses and consumption of industrial, commercial, or institutional organizations, including measurement, documentation and reporting, design and procurement practices for energy using equipment, systems and processes. ISO 50001 energy management standard applies to all aspects affecting energy use, which can be monitored and influenced by an organization. Having a certification against BS EN 16001 will help adopt ISO 50001 faster, when the final version of the standard is launched. The benefits of ISO 50001 energy management standard
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