Iso 50001 Guide and Check List Uk

ISO 50001 (EnMS)
Energy Management Systems

ISO 50001 Energy Management System (EnMS) - Implementation
guide
Executive Summary
Energy management is now in the global spotlight, due to the pressing

need to save energy and reduce greenhouse gas emissions worldwide.
Energy-saving technologies and facilities are only part of the methodologies for
improving energy efficiency.
A more sensible and systematic approach to improve an enterprise’s energy performance

sustainably is to establish and implement a standardised, process-based energy management
structure. Published on 15 June 2011, the ISO 50001 Energy Management System (EnMS)
standard is a globally accepted framework for managing energy, providing technical and
management strategies for enterprises to increase energy efficiency, reduce costs, and improve
environmental performance.
Organisations, by following the ISO 50001 standard, can help to create a viable method for
establishing a policy, a program, and a culture of energy and asset management that is
accurate, repeatable, timely, and, most importantly, cost effective—both financially and
environmentally.
Whilst relevant to any organisation, ISO 50001 certification is particularly relevant to

organisations needing to demonstrate compliance with the Energy Saving Opportunity Scheme
(ESOS).
The aim of this document is to provide an overview of the ISO 50001 standard, including a
summary of the essential requirements of the standard, procedures and skills to identify key
processes and to develop controls, documentation and auditing requirements for the
management of an EnMS.
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Content Page
1 Introduction 3
1.1 Demand for Energy Management

1.2 Benefits of Adopting Energy Management System
1.3 ISO 50001 vs. Other Management System Standards
2 Overview of ISO 50001 Standard 8

2.1 General Requirements
2.2 Management Responsibility
2.3 Energy Policy
2.4 Energy Planning
2.5 Implementation and Operation
2.6 Checking
2.7 Management Review
3 Improvement on Energy Performance 27

4 Process and Auditing Requirements of ISO 50001 Certification 28
4.1 Accredited Certification Bodies
4.2 ISO 50001 Certification Process
4.3 Certification Requirements
4.4 Non-conformities
Reference
Annex A 33
ISO 50001 Self Evaluation Checklist
Annex B 45
Energy Saving Opportunity Scheme (ESOS}
 About
 Timescales & deadlines
 Reporting compliance to the Environment Agency
 Penalties
 Steps to ESOS Compliance
 ISO 50001 and ESOS
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Introduction
Developed by the International Organisation of Standardization (ISO) Project Committee of Energy

Management (ISO/PC 242), ISO 50001 Energy Management Systems (EnMS) – Requirements with
Guidance for Use was published in June 2011. ISO 50001 standard has been developed based on
the common elements that can be found in all of the ISO management system standards such as
ISO 9001 quality management system and ISO 14001 environmental management system.
1.1 Demand for Energy Management

Over the recent years, the environment has become a more and more significant concern to the
sustainability of global business community, and poses serious challenges to individual
organisations, affecting their development in the long run. Out of many factors, the main reasons for
the energy issue to draw a serious attention from businesses may come from global government
initiatives to mitigate climate change and increasing expenses for obtaining natural resources to
support daily operation.
Combating Climate Change
Climate change has caused extreme weather patterns and a rising sea level. The concentration of
greenhouse gases (GHG) such as carbon dioxide, methane and nitrous oxide emitted by human
activities keeps increasing, which leads to greenhouse effect and global warming. The primary
anthropogenic source of carbon emissions is from direct burning of fossil fuels such as coal, oil and
gas. Despite the recent development on renewable sources of energy (e.g. solar energy, biofuels,
etc.), fossil fuels still play the major role in global energy mix as the primary source for generating
electricity.
Since the announcement of Copenhagen Accord and Kyoto Protocol, the international community
has been aware of the urgency of reducing GHG in order to limit the increase of global mean
temperature below 2°C based on pre-industrial level. To this end, many countries have released
new energy saving measures. For example, United States has released new fuel-economy
standards, the European Union has established a target to cut down energy demand in 2020 by
20%, China has targeted a 16% reduction in energy intensity by 2015, and Japan has committed to
cutting down its electricity consumption by 10% by 2030. Hong Kong, alongside 20 other Asia-
Pacific Economic Co-operation economies, has set a target to achieve a reduction in energy
intensity of at least 25% by 2030 (using 2005 as the base).
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Introduction
Driven by these national or regional energy targets and supporting policies, some jurisdictions have
developed own energy management standards to assist the industries in creating their own strategy
and roadmap. For example, there are energy management systems standard EN 16001 in Europe,
ANSI/MSE 2000 in US, B0071 in Korea, VD14602 in Germany, DS 2403:2001 in Denmark,
SS627750:2003 in Sweden, AS3595:1990 in Australia, PLUS 1140:1995 in Canada, and GB/T-
23331 in China. The publication of ISO 50001 helps to synchronize the efforts by many different
countries and regions, and to provide businesses with a standard approach to improve their energy
management
Sustaining Business
Energy costs have gone through a considerable increase over the past few years. Due to the
increasing prices of oil and other natural resources, the global fossil-fuel subsidiaries in 2011 have
reached US $523 billion, close to a 30% increase than previous year. Since modern business
operation relies heavily on energy (e.g. electricity, fuel) to carry on, the direct impact of energy price
fluctuation to overhead of organisations is not insignificant.
However, these burdens do not fall evenly on all industries or organisations. When there are
economic uncertainties, there are also potential business opportunities. Companies that are able to
forge their strategic position properly can gain additional competitiveness against their counterparts.
In view of the connection between energy efficiency and business competitiveness, many buyers
start to set their own targets related to energy performance, encouraging their supply chain to pay
more attention to energy management. For example, the large international retailer TESCO aims to
reduce its supply chain carbon emissions by 30% by 2020 and reach zero emissions by 2050; while
another retailer giant Wal-Mart announced in 2010 to cut down 20 million tonnes of GHG by 2015
and to reduce energy use at stores by 30% by 2017.
Corporate Responsibility
The increasing public awareness on environmental issues is another driving force for businesses to
reconsider their energy policy. People are paying more attention on the energy performance of
organisations. As part of corporate responsibility, besides making profits, organisations should also
practice their due diligence to sustainable development of the environment and community,
including addressing the public concerns on climate change and resource depletion.
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Introduction
1.2 Benefits of Adopting Energy Management System

By offering a systematic methodology for any sizes of organisation, including small and medium
enterprises (SMEs), to establish own energy management system, ISO 50001 can provide
organisations with a number of business benefits. These include:
• Helping to achieve energy use reduction and carbon emissions in a systematic way;
• Creating a clear picture of current energy use status, based on which new goals and targets
can be set;
• Evaluating and prioritizing the implementation of new energy-efficient technologies and
measures;
• Providing a framework to promote energy efficiency throughout supply chain;
• Providing guidance on how to benchmark, measure, document and report corporate energy
use;
• Making better use of energy consuming assets, thus identifying potentials to reduce
maintenance costs or expand capacity;
• Demonstrating to the stakeholders that corporate commitment to comply with their best
practice to protect the environment; and
• Fulfilling the associated regulatory requirements and responding with confidence to green
trade barriers in global market
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Introduction
1.3 ISO 50001 vs. Other Management System Standards

As a new member of international standards family, ISO 50001 has been developed based on the
common elements shared by other major ISO management system standards, ensuring a high level
of compatibility with them. It is notably aligned with ISO 9001 quality management system and ISO
14001 environmental management system standards. The comparison table below provides a quick
overview on the comparison between the main clauses of ISO 50001, ISO 9001 and ISO 14001.
Table 1.1 Comparisons of ISO 50001 vs. ISO 14001 and ISO 9001 Management Systems
Content ISO 50001 ISO 14001 ISO 9001

Core concept for Based on energy consumption of Based on relevant Based on clients’ quality
establishing guidelines the whole organisation, or a environmental aspects requirements
particular production process.
For compliance with ESOS your

ISO 50001 system must cover all
your organisation or groups
energy consumption.
Policy Energy policy illustrates the Environmental policy Meet the clients’
strategy of the organisation on illustrates how the requirements
energy management. The policy organisation handles
provides the framework for environmental matters,
setting up associated objectives commitment to
and targets to enhance energy environmental protection,
performance as well as associated
objectives and targets.
Typically the policy will

include the organisations
commitment to preventing
pollution, regulatory
compliance and continuous
improvement.
Strategy Conducting energy reviews to Compliance to relevant Setting up quality objectives,
identify significant energy use environmental regulatory targets and quality
activities and set up energy requirements. management plans.
baseline as well as energy
performance indicators. Setting up environmental
objectives, targets and
Compliance to relevant regulatory implementation plans.
requirements and setting up
energy objectives, targets and
implementation plans.
Baseline Energy baseline is foundation to No such requirement No such requirement
establish the system
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Overview of ISO 50001
According to the definition stipulated in ISO 50001 standard, energy can be in various forms, such as
electricity, fuels, steam, heat, compressed air and renewable, which can be
purchased,stored,treated,used in equipment or in a process, or recovered. The main purpose of
adopting an Energy Management System (EnMS) is to enable an organisation to improve its energy
performance, which generally includes energy use, energy efficiency and energy consumption,
in a systematic approach.
Similar to other management system standards published by the International Organisation for
Standardization (ISO), ISO 50001 is based on the PLAN-DO-CHECK-ACT approach to achieve
continual improvement in energy performance. The relationship between its main elements is
illustrated below.
Monitoring, Non conformities,

Measurement correction,
and Analysis Corrective action
& Prevention
Energy Energy Implementation

Policy and Operation
Checking
Planning
Management Internal
review audit of the
EnMS
Figure 1: Main elements of an Energy Management System
The next section explains the core requirements of ISO 50001

standard in order to help the user understand and apply these
requirements in a systematic manner. A self-assessment
checklist is provided in Annex A to enable companies determining
their gaps and readiness against the ISO 50001 standard
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2.1 General Requirements
The ISO 50001 Standard says…
It requires the organisation to establish, document, implement and improve its EnMS according to
ISO 50001 standard. The organisation should define and document the scope and boundaries of its
EnMS as well as how to achieve continual improvement of its energy performance and EnMS. (Item
4.1)
The purpose of ISO 50001 standard is to enable organisations to establish systems and processes
necessary to improve energy performance. The standard applies to all factors affecting energy use
that can be monitored and influenced by an organisation. ISO 50001 standard does not specify
energy performance criteria. It provides a general-purpose system that allows organisations to choose
performance standards that they deem best meet their requirements.
Prior to developing the EnMS, the organisation should define the scope and boundaries of its
management system. The scope refers to the extent of activities, facilities and decisions that the
organisation addresses through an EnMS, which can include several boundaries. The boundaries are
defined as physical or site limits and / or organisational limits as defined by the organisation that could
be a process, a group of processes, a site, an entire organisation and multiple sites under the control
of an organisation.
The focus of an ISO 50001 EnMS is on improving management processes, practices, and procedures
that control an organisation’s functions and activities with significant energy use. The overarching
intent is that by implementing a management process and continually improving this management
system, it will eventually lead to an improved energy performance.
2.2 Management Responsibility

2.2.1 Management Support and Commitment
The ISO 50001 Standard says…

It requires the top management to demonstrate its commitment to support and continually improve
the effectiveness of the EnMS. (Item 4.2.1)
In addition to providing general support, top management should provide the necessary resources
such as time, personnel, financial, materials, etc. for the effective implementation of the EnMS.
Top management commitment is crucial to the successful implementation of the EnMS. It must be
communicated and made visible to the entire organisation to encourage active participation of all staff
members in adhering to the EnMS.
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Key factors for successful implementation of an EnMS include:
• Top management support;

• Sufficient resources; and
• Management commitment.
To ensure effective operation of the EnMS, top management is required to appoint a management
representative and approve the formation of an energy management team. The management
representative (MR) is responsible for managing all aspects of the EnMS as it evolves. MR should
have sufficient authority, competency and resources to ensure the overall effectiveness of the EnMS.
The energy management team is responsible for ensuring the implementation of actions / measures
of the energy management decisions. The composition and size of the energy management team
should be determined with due consideration of the size and complexity of the organisation.
2.2.2 Management Representative
The ISO 50001 Standard says……

It requires the top management to appoint a management representative(s) to promote awareness
and oversee the implementation of the EnMS. (Item 4.2.2)
The ISO 50001 standard requires an organisation to appoint a management representative to oversee the
development and operation of the EnMS. He / she is the key person to help the organisation achieve its
energy objectives and targets and for improving energy performance. The management representative
should be competent to perform the required duties and be capable of exerting influence throughout the
organisation to implement and improve the EnMS.
The selection of this person should be carefully considered in order to fulfil the following responsibilities:
• Selecting, training and leading the energy management team;

• Coordinating energy management team activities;
• Identifying and communicating resources needed for energy management activities;
• Working with senior management for planning of resources;
• Arranging to deliver energy management awareness training in the organisation and for
contractors;
• Being involved in drafting the policy and other EnMS documents;
• Providing information for and participating in energy management strategic planning;
• Ensuring appropriate monitoring, data collection and verification activities;
• Ensuring instrument calibration;
• Overseeing internal audit programme;
• Identifying training needs of staff members related to the EnMS; and
• Managing the corrective/preventive action system.
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2.3 Energy Policy

It requires the organisation to define an energy policy to state its commitment for achieving energy
performance improvement. (Item 4.3)
The energy policy is a cornerstone for implementing and improving an organisation’s EnMS and
energy performance within its scope and boundaries. The policy provides a statement of the high-
level overview of management’s intent that members of the organisation should apply to their work
activities. The policy also provides a framework for an organisation to set energy objectives and
targets and associated energy management action plans to further improve its energy performance.
ISO 50001 requires an organisation to at least state the following commitments in the energy policy:
• Continual improvement in energy performance;

• Availability of information and of necessary resources to achieve objectives and targets; and
• Compliance with relevant legislation and other requirements related to energy use,
consumption and efficiency.
In addition to these commitments, the policy will include the support for purchasing energy efficient
products and services, as well as designing for enhanced energy performance. The policy should be
defined and approved by the top management to show its commitment to meet the organisation’s
goals. In terms of management, the policy must be communicated to all staff and be reviewed and
updated in a systematic manner. Unlike other common standards, the organisation can decide
whether or not to make the policy available externally.
Example of an Energy Policy

We shall comply with all applicable legal and other requirements related to energy management.
We shall improve energy efficiency as a continuous improvement process.
We shall assure the availability of information and resources to meet our objectives and targets.
We shall incorporate energy efficiency as a key component for new equipment, major renovation, and
new design.
We shall promote energy saving awareness to our staff.
Executive Director: _ Date:
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2.4 Energy Planning
2.4.1 Legal and Other Requirements

It requires the organisation to identify and have access to the applicable legal and other requirements in
relation to its energy uses, consumption and efficiency to which it subscribes. (Item 4.4.2)
The element of legal and other requirements in ISO 50001 is intended to ensure that the organisation
complies with applicable legislation and other requirements related to energy use, consumption and
efficiency to which it subscribes. Legal requirements include those international, national, regional and
local governmental statutory requirements which are applicable to the energy use of the organisation.
Other requirements refer to customers’ requirements, industry code of practices, government
guidelines, voluntary programs, public commitments of the organisation or its parent organisation, and
requirements of trade associations and others.
It is suggested that the following issues are addressed when conducting energy planning with regard
to legal and other requirements:
• How to identify the applicable legal and other requirements;

• How to ensure the organisation is compliant with applicable requirements;
• How to ensure the key staff members have the necessary knowledge to access legal and
other requirements;
• How to communicate relevant information on legal and other requirements to other staff; and
• How to ensure the information on legal and other requirements is up to date.
Identification of legal and other requirements applicable to energy use, consumption and efficiency is
usually demonstrated through the establishment of a register of applicable legal and other
requirements. Once identified, the organisation needs to ensure that it has implemented necessary
actions to comply with these requirements. Moreover, the organisation should stay abreast of new or
revision of legal and other requirements related to energy uses. It involves first a review of such
changes for their applicability; and second, if determined to be applicable, an evaluation of what those
specific changes mean for the organisation’s facilities, processes, systems and / or equipment. Once
the evaluation is completed and the impacts of the changes are understood, the organisation should
implement actions to ensure compliance with those new or changed requirements. This may include
additional or modified training, operational controls, reporting, etc. depending on the nature of the new
or changed requirements.
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2.4.2 Energy Review, Baseline and Performance Indicators

It requires the organisation to develop record and maintain an energy review as well as document the
methodology and criteria used to develop the review. (Item 4.4.3)
It requires the organisation to establish an energy baseline(s) for the measurement of the energy
performance. (Item 4.4.4)
It requires the organisation to identify appropriate energy performance indicators to monitor and
measure its energy performance. (Item 4.4.5)
The organisation must record and maintain an energy review with certain documented methodology
and criteria. An energy review is a process to determine an organisation’s energy performance based
on data and/or actual measurement, leading to identification of opportunities for improvement. The
review provides useful information for the development of the energy baseline and the selection of
energy performance indicators (EnPIs). It also establishes the monitoring capability to support
effective continuous improvement of the EnMS in the future.
To conduct the review, the organisation shall establish an equipment list and identify different energy
use and obtain energy consumption details for a specified period, normally a full year on a monthly
basis.
The following essential information should be available for the energy review:
• Name of equipment;
• Unique ID of major equipment (minor equipment such as fluorescence tubes, desktop
• PC could be grouped together);
• Equipment location;
• Rated power;
• Type of energy; and
• Measured energy consumption during a particular period (e.g. monthly record).
When conducting the energy review, the following items should be noted:
1. Major equipment with significant energy consumption should be itemized, i.e. energy
consumption record should be provided for each piece of equipment;
2. Installation of sub-meter to monitor and record the energy consumption (such as electricity,
diesel, gas and steam) of each major equipment;
3. When measurement of actual consumption is not available, estimation of energy consumption
by power rating and operating hours may be adopted. However, assumptions
and justifications for energy consumption estimation shall be clearly stated;
4. The energy review should be updated when necessary to add
new equipment and expel obsolete items; and
5. Replacement of estimation by actual data through
measurement as far as possible to enhance the
accuracy of the energy profile.
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Creating an Energy Profile
An energy profile is a useful tool to allow management to have a closer look at the detailed energy
consumption status of the organisation. An example of an energy profile presented in a pie chart format is
shown in Figure 2.
Figure 2: Sample of Energy profile
To prepare an energy profile, comprehensive energy consumption data in relation to an organisation’s

business operation must be collected. The organisation should consider recoding and maintaining
records of all their energy consumption data
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Determination of Energy Consumption
Energy consumption can be collected by reviewing energy bills, installing sub-meters and estimating
from available technical data.
a. Analysis of energy bills
An organisation may consume different types of energy in its daily operation including electricity,
diesel, gasoline, liquefied petroleum gas (LPG), natural gas, coal and steam. All the relevant energy
consumption bills should be properly maintained as they are a good source of information to
determine the overall energy consumption as well as the consumption of specific equipment for the
preparation of an energy profile. For example, an electricity bill provides the energy consumption
information of equipment; an oil filling bill tells you the gasoline or diesel consumption of a particular
vehicle; a diesel tank filling record / bill provides the fuel consumption of a diesel boiler / emergency
generator.
b. Energy measurement by sub-meters
It is necessary to obtain energy consumption data of different types of equipment in order to prepare
the energy profile and monitor energy consumption continuously. To measure energy consumption of
different equipment, it is suggested to install sub-meters for individual equipment, such as, electricity
meters, diesel meters, LPG meters, steam meters, etc for diesel / coal boilers, fossil fuel ovens,
burners, diesel generators, production machines and cooking stoves in a canteen kitchen. Reading of
sub-meters should be recorded at least once a month. To ensure the accuracy of data, regular
maintenance, checking and calibration of the sub-meters shall be arranged at the frequency
recommended by the manufacturers or at least once a year. Human error in recording meter reading
should also be avoided.
c. Energy estimation
When actual measurement of data is not available, estimation of monthly energy consumption by
power rating and operating hours may be adopted for the preparation of energy profile. However,
assumptions and justifications for the estimation of energy consumption shall be stated clearly.
Nevertheless, energy estimation should be replaced by actual measurement as far as possible to
enhance the accuracy of the profile.
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After establishing the energy profile, the organisation should identify appropriate Energy Performance
Indicators (EnPls) to monitor and measure its energy performance. EnPIs are useful tools to enable
management to assess actual energy performance against expected outcomes. An EnPI can be a
simple parameter, a simple ratio or a complex model. Typically, it measures energy use and its
efficiency per unit of performance.
EnPIs could be
• Energy consumption per time

• Energy consumption per unit of floor area • energy consumption per unit of production
• Energy consumption per unit of material consumed • energy consumption per unit of material
transported
The organisation can select and determine suitable EnPIs according to the operation to better reflect
and measure its energy performance. The EnPIs should be updated when business activities or
baselines change that affect their relevance. The methodology to determine and update the EnPIs
should be recorded and reviewed regularly.
2.4.3 Energy Objectives, Targets and Action Plans

It requires the organisation to establish, implement and maintain documented energy objectives, targets
and action plans specified outcome or achievement defined to meet its energy policy related to improved
energy performance. (Item 4.4.6)
Documented energy objectives and targets should be established to ensure compliance with the
organisation’s energy policy, and to facilitate continual improvement in energy performance.
Objectives should state what the organisation wants to achieve; while targets should specify how the
organisation would achieve those objectives. The objectives and targets should be practical,
achievable and measurable, and must conform to the organisation’s business objectives and
preferably provide some challenge to the organisation.
For example:
We shall improve energy efficiency as a continuous improvement target
Objective Reduce overall electricity consumption by 10%
Target Reduce electricity consumption in production by 15% and in warehouse by 5% by December

2014
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Action plans should be developed to address all of the organisation’s energy objectives and targets
detailing how and when they are to be achieved, which will subsequently facilitate monitoring the
progress in achieving the energy objectives and targets. The action plans should include schedules,
resources and responsibilities for achieving the objectives and targets. However, they should be
flexible and be able to be revised to reflect any changes in the objectives and targets.
2.5 Implementation and Operation

2.5.1 Competence, Training and Awareness

It requires the organisation to ensure all staff and persons related to significant energy uses are
competent. (Item 4.5.2)
Competence refers to persons who possess the required skills, knowledge, qualifications, and
capacity to perform their duties that can significantly affect energy use or the implementation of the
EnMS. It is normally assessed based on a combination of education, training, skills and experience of
the relevant person. A competent workforce is essential in successfully implementing the
organisation’s EnMS and achieving improved energy performance. The knowledge and skills that are
necessary to implement the EnMS, ensure control of the significant energy uses and achieve the
energy objectives and targets must be addressed.
Basically, appropriate training should be provided to all relevant personnel. This training should
include general concept of energy management as well as skills training (usually on-the-job) to allow
personnel to carry out their tasks with an awareness of the impact their activities can have on the
energy performance. The level and degree of training will inevitably vary according to job function. For
instance, general energy awareness training should be provided for all employees; and energy audit
training should be provided for those who are responsible for the establishment of energy profile.
Table 2. Examples of EnMS Training Courses

Targets
EnMS Awareness  All employees
EnMS Implementation Training  Middle Management
 Management Representative
 Energy Management Team
EnMS Auditor Training  EnMS Internal Audit Team
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In the event of any contractors working within the boundary of the organisation, they should be
required to provide details of their competence to carry out the work in an energy efficient manner
and/or be provided with procedural guidance.
Examples of Competence and Training Records:
• Documented personnel job descriptions that include energy-related competencies;

• Personnel records describing the staff’s competencies;
• Records of staff’s training and education; and
• Records assessing the staff’s competencies based on those required for their job description.
2.5.2 Communication
ISO 50001 Standard says……
It requires the organisation to address internal communication in relation to its energy performance
and EnMS. The organisation should also decide whether to communicate externally about its energy
policy, EnMS and energy performance. (Item 4.5.3)
For internal communication, the organisation should clearly demonstrate communication links in both
vertical and horizontal directions within the organisation. An internal communication procedure could
include how staff members are made aware of energy issues, how decisions are made or information
is disseminated to staff etc. This should also make provision for the communication of suggestions /
complaints etc. relevant to energy management and how these are dealt with. The communication
procedure should also cover the process in responding to comments and suggestions by contractors
working for or on behalf of the organisation. Methods for communication include, for example:
• Meetings;
• Videos;
• Briefings;
• E-mails, posters, memos, circulars; and
• Suggestion boxes, employee hotlines.
Externally, the organisation should maintain a documented decision on whether it will communicate its
energy policy, EnMS and energy performance. For those who choose to communicate this
information externally, they should consider the following aspects:
• Type and level of information to be communicated;

• Targets of communication;
• Mechanisms and responsible parties to handle and respond to
enquiries;
• Official response time; and
• Recording system and format of communication
and the associated correspondence.
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2.5.3 Documentation
It requires the organisation to establish, implement and maintain information to describe the core
elements of the EnMS and their interaction. (Item 4.5.4.1)
It requires to control all the EnMS documents. (Item 4.5.4.2)
Documentation within a management system will assist in both EnMS implementation and promoting
understanding of system implementation. Documentation helps the organisation communicate its
intent and ensure that energy-related activities are performed consistently and according to the
requirements. It provides information and supporting evidence to demonstrate the effectiveness and
efficiency of the EnMS and could be in the form of electronic files or paper copies.
According to the ISO 50001 Standard, organisations are required to document information that
describes the core elements of their EnMS. In short, the following should be documented in an EnMS:
• Scope and boundaries of the system;

• Energy policy;
• Energy planning process including methodology and criteria used to develop the energy
review, energy baselines and methodology for determining and updating the EnPIs;
• Energy objectives, targets and action plans; and
• Decision whether to communicate externally about information of energy performance.
In addition to the above specific documentation requirements referred to in the ISO 50001 Standard,
the organisation may consider developing other documents that are deemed necessary to support the
implementation of the EnMS, as documentation is the most easiest and effective method of achieving
this. Nevertheless, it should be borne in mind that the primary focus of the organisation should be on
effective implementation of the EnMS instead of creating a complex documentation system.
To ensure that there are no out-of-date or obsolete documents and valid version of each document is
readily identifiable and available; a clear procedure should be established to control all EnMS
documents. This should include mechanisms for amending, distributing, maintaining and updating
relevant documents. The organisation should first identify the types of information that should be
controlled, how these documents will be distributed, and who will need access to them. This
requirement is similar to that contained in the ISO 9001 quality management and ISO 14001
environmental management standards and therefore organisations with such management systems in
place can base this EnMS requirement on the existing procedures.
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2.5.4 Operational Controls
It requires the organisation to identify and plan operations and maintenance activities which are related
to its significant energy uses in order to ensure that they are carried out under specified conditions.
(Item 4.5.5)
Implementation of the EnMS is dependent on the establishment and maintenance of operational

procedures and controls to ensure that the significant energy uses are being controlled and that the
policy, objectives and targets are being met. The organisation should consider the different operations
and activities, which contribute to its significant energy uses, and establish / confirm and implement the
requisite control procedures.
In order to identify operational controls, the organisation should systematically review all of its significant
energy uses to identify those which are not already controlled or where existing controls may be
insufficient, and to subsequently ensure that control procedures are in place for all such areas.
It is suggested that the following are considered in relation to the preparation of operational control:
• Level of detail of the control procedures required;

• Target user of the procedures e.g. working level or management supervisory level;
• Distribution to relevant staff and / or contractors, where applicable; and
• developing a matrix to cross check significant energy uses against operational controls to
ensure that relevant procedures are in place for controlling each of the significant energy uses.
2.5.5 Design
It requires the organisation to consider energy performance improvement opportunities and operational
control in the design of facilities, equipment, systems and processes that can have a significant impact on
its energy performance. (Item 4.5.6)
This requirement is applicable to the design of new, modified and renovated facilities, equipment,
systems and processes that can have a significant impact on an organisation’s energy performance. It
requires an organisation to consider energy performance improvement opportunities when performing
these activities.
It is recommended to consider and identify energy performance improvement opportunities

at the beginning of design, renovation work or modification of any significant energy
using facilities, equipment, systems and processes. The whole process
involves identifying design inputs, reviewing and verifying the design.
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By incorporating the results of energy performance evaluation into the specification, design and
procurement activities of relevant project(s), management can ensure that a sustainable design or an
aggressive energy retrofit actually leads to targeted energy outcomes.
Examples of Energy Performance Considerations:
The following criteria could be considered in energy performance evaluation process during the design of
new, modified and renovated facilities, equipment, systems and processes with significant energy
impact:
• Any alternative energy sources?

• Any other possible energy saving measures?
• Energy saving percentage (i.e. compared with the traditional technology), investment cost and
payback period
• Power rating, power factor and harmonic distortion
• Energy baseline
• Lifetime (i.e. frequency of replacement)
• Impact on efficiency, product quality, existing manufacturing process and production time
• Technical feasibility
• After-sale maintenance service
2.5.6 Procurements of Energy Services, Products, Equipment and Energy

It requires the organisation to inform suppliers that procurement is partly evaluated on the basis of
energy performance when procuring services, products and equipment that have an impact on
significant energy use. (Item 4.5.7)
Energy improvement of an organisation could be achieved through procurement in twofold: firstly using
more energy-efficient products and services; and secondly influencing supply chain to improve its energy
behaviour which may indirectly improve the organisations’ energy performance.
ISO 50001 requires an organisation to inform suppliers that energy performance will be evaluated as part
of the procurement assessment process when selecting services, products and equipment that have or
may have an impact on its significant energy use. This requirement ensures that suppliers are in line with
the organisations’ energy policy and objectives in addition to the consideration of cost and service /
product quality. To this end, organisations should establish energy-related criteria to facilitate the
assessment of energy performance over the planned or expected
operating lifetime during the procurement process.
These requirements should be included in quotations
and tender specification.
21
Below are three major items that an organisation should consider for the procurement of energy using
products, equipment and services which are expected to have a significant impact on energy
performance:
• How suppliers are informed that procurement is partly evaluated on a basis of energy
performance?
• What are the criteria for assessing energy use, consumption and efficiency over the planned
or expected operating lifetime?
• How to define energy purchasing specifications for effective energy use?
The elements of energy purchasing specification could include energy quality, availability, cost
structure, environmental impact and renewable sources.
Examples of criteria to be considered when defining energy purchasing specifications for a lighting
system:
 Unit cost and total cost

 Number of lighting devices required
 Power rating
 Power factor
 Energy saving percentage (i.e. compared to traditional bulb) and its payback period
 Lifetime (i.e. frequency of replacement)
 Lux level
 Colour rending index
 Colour temperature
 Luminous efficiency in terms of lm/w
 Lumen depreciation
 Surface temperature (i.e. impact on operating cost of air conditioning system)
 Any stroboscopic effects?
 Any need for special disposal arrangements? Any hazardous materials or heavy metals inside
the equipment?
 After-sale maintenance and service
22
2.6 C h e c k i n g
To gauge the effectiveness of the EnMS and monitor the actual energy performance, an organisation
is required to perform regular checking through energy-related data measurement and analysis, as
well as carrying out internal audits.
2.6.1 Monitoring, Measurement and Analysis

It requires the organisation to monitor measure and analyze the key characteristics of its operations
that determine energy performance at planned intervals. Equipment used in monitoring and
measurement of key characteristics should be calibrated to ensure data are accurate and repeatable.
(Item 4.6.1)
With respect to monitoring of the key characteristics, the organisation should review all significant
energy uses to determine which aspects should be monitored in order to check that the controls are
being effective. The results help management define appropriate energy performance improvement
actions. A monitoring schedule could be drafted in order to facilitate the monitoring activities.
According to the standard, key characteristics required monitoring shall include at a minimum:
a. Significant energy uses and other outputs of the energy review;

b. The relevant variables related to significant energy uses;
c. EnPIs;
d. The effectiveness of the action plans in achieving objectives and targets; and
e. Evaluation of actual versus expected energy consumption.
Appropriate procedures should be in place to ensure the reliability of the data through the testing of
equipment, calibration and sampling. Evaluation of actual versus expected energy consumption as
well as review its measurement needs shall be carried out. The organisation shall also investigate and
respond to significant deviations in energy performance. These can be easily addressed through
periodic meetings of the Energy Management Team or other working groups.
23
2.6.2 Evaluation of Compliance with Legal Requirements and Other Requirements
It requires the organisation to evaluate compliance with legal requirements and other requirements to
which it subscribes related to its energy use and consumption at planned intervals. (Item 4.6.2)
The organisation is required to maintain a process to evaluate compliance with legal and other
requirements (identified under Item 4.4.2) regularly so as to enable management to monitor progress
against planned milestones that meet all applicable requirements. Evaluation results should be
recorded to demonstrate its compliance status.
After collecting all the information on the compliance status, the evaluation can be undertaken through
periodic meeting of the Energy Management Team or other working groups.
2.6.3 Internal Audit

It requires the organisation to conduct internal audits regularly to ensure effective implementation of
the EnMS. (Item 4.6.3)
According to the ISO 50001 standard, organisations should establish a programme to evaluate
periodically on its EnMS implementation and check the effectiveness of the system in fulfilling their
energy policy. The programme should include the scope and frequency of the audits. Internal audit of
EnMS is different from an energy audit or assessment. The internal audit evaluates the processes,
procedures and implementation of the EnMS to determine if they are appropriate to the organisation,
implementation status and conforming to requirements of the ISO 50001 standard. It helps identify
nonconformities and opportunities for improvement of the EnMS. In practice, it can be performed by
either internal or external persons, as long as they are competent, impartial and objective in conducting
the EnMS audit.
At the end of the audit, proper records should be maintained and submitted to management for review.
In general, the audit programme and procedures should cover:
• Specific activities / areas of the EnMS to be audited;
• Frequency of audits (different elements of the EnMS may be audited at different
frequencies);
• Responsibilities and selection of auditor(s);
• Communication of audit results;
• Auditor competence; and
• Process of conducting audits
24
2.6.4 N o n - c o n f o r m i t i e s , C o r r e c t i v e a n d P r e v e n t a t i v e A c t i o n s
It requires the organisation to address nonconformities by making corrections, and by taking corrective
action and preventive action. (Item 4.6.4)
The findings of monitoring and other reviews of EnMS implementation should be documented. In case
nonconformities are identified, the necessary corrective and preventive actions must be initiated and
implemented. A follow-up system should be maintained by management to ensure that corrective and
preventive actions have been completed and effective.
A fundamental principle of the ISO 50001 standard is that organisations are capable of identifying and
fixing the problems, as well as taking actions to eliminate the cause of the problem. According to the
standard, corrective action refers to action to eliminate the cause of a detected nonconformity; while
preventive action refers to action to eliminate the cause of a potential nonconformity. For organisations
with ISO 9001 and ISO 14001 in place, addressing non-conformance should be relatively straight
forward as the procedures developed under these standards can provide the basis for fulfilling ISO
50001 requirements.
Procedures addressing non conformities should include:
 analysis of the cause of non conformance

 identification and implementation of corrective actions
 modification of existing controls, if necessary
 establishment of preventative measures where appropriate
 recording any changes in written procedures resulting from corrective or preventative
actions
 ensuring follow-up actions are in place to ensure satisfactory resolution of the non
conformance, and
 Non conformances should be reviewed in the Management Review process and
Energy Management Team/Working Group meetings.
25
2.6.5 Control of Records
It requires the organisation to establish and maintain records to demonstrate conformity to the EnMS.
(Item 4.6.5)
In order to demonstrate the effective functioning of the EnMS, organisations are required to keep legible,
identifiable and traceable records. Records provide evidence of actions taken to adhere to the EnMS
requirements and comply with the ISO 50001 standard. A comprehensive system for managing and
maintaining records is necessary to ensure that records are easily identified, collated, indexed, filed,
stored, retrieved and maintained for an appropriate length of time.
Records for the EnMS should cover but not necessarily be limited to, the following:
• Methodology, criteria and result of energy review;

• Opportunities for improving energy performance;
• Energy baseline;
• Energy performance indicators;
• Training records;
• Internal communication records;
• Decision on whether to externally communicate its EnMS and energy performance criteria and
results;
• Design activity results;
• Monitoring and measurement results of key operational characteristics;
• Calibration records;
• Compliance evaluation results;
• Internal audit programme and results;
• Non conformance records;
• Corrective and preventive action records; and
• Management review agenda and minutes.
When considering the management of EnMS records, the following issues should be addressed:
a. identifying the nature and extent of energy information that the organisation needs to manage;
b. what type of information should be made available to internal and external parties; and
c. location of records and responsibilities for maintenance including period of retention, signatures,
dating, review and disposal.
26
2.7 Management Review
It requires the top management to review the EnMS regularly to ensure its suitability, adequacy and
effectiveness. (Item 4.7)
The management review will assist the organisation to achieve continual improvement and to assess the
suitability, adequacy and effectiveness of the EnMS. It should be noticed that although management
review needs to cover the scope of the whole EnMS, not all the elements in system are required to be
reviewed at once. The review process can take place over a period of time.
When conducting management review, the organisation should also take into account the concept of
continual improvement, which is achieved by evaluating the energy performance against the policies,
objectives and targets. The management review should also address external issues relevant to the
energy performance of the organisation and identify opportunities for improvement and where
appropriate changes of emphasis or direction.
The Scope of Management Review should cover:
• Review of energy policy, objectives, targets and evaluation of overall progress in achievement;
• Findings of previous management review and EnMS audit;
• Evaluation of the effectiveness of EnMS, EnPIs and energy performance;
• Review of changes in: legislation, expectations and requirements of interested parties, products
/ activities of the organisation, advances in technology, market preference, etc.
• Evaluation of follow-up actions in relation to nonconformities;
• Projection of energy performance in the next period;
• Revision on policies, objectives, targets, resources or other elements of EnMS, if necessary;
• Review of resources allocation; and
• Identification of room for improvement.
3.0 Improvement on Energy Performance
Continual improvement on energy performance is the ultimate goal of implementing an ISO 50001
Energy Management System (EnMS). In order to achieve it, organisations need to look closely at their
specific operation. For the manufacturing sector, a significant amount of energy is consumed by
hardware installations, since their operations involve different types of production machines,
equipment and auxiliary devices. With the advancement of technologies, production
machines and auxiliary equipment with high energy efficiency are available
in the market that can help reduce energy consumption and
achieve cost saving. There are also quite a number of practical
energy-saving measures and techniques applicable to various
industrial applications. Organisations should take these
technologies and measures into consideration when improving
their energy performance. 27

4.0 Process and Auditing Requirements of ISO 50001
This section details the typical certification process in accordance with the requirements of ISO 50001
and ISO / IEC Guide 62 General requirements for bodies operating assessment and certification /
registration of quality systems.
It should be noted that the certification process may vary between different certification bodies.
4.1 Accredited Certification Bodies

Certification of an EnMS will demonstrate to an organisation’s customers that the organisation has
attained an internationally recognized standard in terms of energy management and is continuously
improving its energy performance.
Using a Certification Body (CB) that has been accredited by an International Accreditation Body on
ISO 50001 provides international recognition of the EnMS established. Accreditation is a process in
which a CB is audited by a third party (e.g. United Kingdom Accreditation Service (UKAS)) in order to
ensure the competence of the CB in the provision of relevant certification process.
The Accreditation Body will determine whether the CB has implemented, and is following, its
certification management system in accordance with the following international guidelines:
• ISO / IEC Guide 62 General requirements for bodies operating assessment and certification /
registration of quality systems; and
• Interpretations by the International Accreditation Forum (IAF) Guidance on the Application of

ISO/IEC Guide 62 for bodies operating assessment and certification / registration of quality
systems.
4.2 ISO 50001 Certification Process

The ISO 50001 certification process generally includes the following steps:
Step 1 - Initial Visit
Step 2 - Agreement / Contract between CB and the Organisation

Seeking ISO 50001 Certification
Step 3 – Stage 1 – Pre Audit
Step 4 – Certification Audit
Step 5 – Follow up visit (if required)
Step 6 – Surveillance visits
Step 7 – Renewal/Re-certification Audit
Step 8 – 3 year rolling cycle repeating steps 6 & 7
28
Step 1 Initial Visit
Some certification bodies may conduct an initial visit to evaluate the complexity of the energy
management system to be audited or upon client’s request. The initial visit allows certification body to
understand the clients’ activities, products and services and the potential significant energy use
related to different stakeholders of the organisation. In addition, the initial visit can ascertain the
readiness of an organisation’s EnMS for the certification audit.
Before the initial visit, the certification body will send a preliminary questionnaire to organisation
seeking for certification. The questionnaire aims to obtain basic information about the organisation
and most importantly the information about the energy uses and consumptions in the organisation.
The questionnaire allows the certification bodies to better understand the certification scope and the
procedures involved in the energy management system. In addition, it helps determine the audit
scope and the durations for the audit.
Step 2 Agreement / Contract Between Certification Body and the Organisation

Seeking ISO 50001 Certification
After reviewing the questionnaire and conducting the initial visit, the Certification Body will send a
quotation to the client for the certification process. The quotation will specify the number of man-days
required to conduct the certification process, the experience of the audit team and the associated fee.
An agreement or contract between certification body and the organisation will be signed upon the
acceptance of the quotation.
Step 3 Document Review
Certification body will conduct a document review in order to achieve the following objectives:
• To assess the compliance to ISO 50001 in documents and records;

• To verify the comprehensiveness and adequacy of the EnMS; and
• To identify areas to be audited in the First Stage Assessment (FSA).
29
In general, the following EnMS documentation will be reviewed:
• Energy Manual;
• Energy Policy;
• Energy Review;
• Energy Baseline;
• Energy Objectives, Targets and Action Plans;
• List of Significant Energy Uses;
• List of Legislative Requirements Related to Energy Uses and Procurement;
• Records of the internal audit results;
• Records of corrective and preventive actions;
• Records of management review;
• Complaints received & incidents; and
• Energy procedure and list of operational controls.
Step 4 S t a g e 1 – Pr e - A u d i t
The Stage 1 usually starts with a site tour to allow the auditor(s) to understand the organisation’s
operations and identify its potential significant energy uses. The FSA focuses on the system design
and the key elements of the EnMS that normally include legal requirements, evaluation of internal
audit, management review, training and communication.
It is not uncommon to find out a number of observations or non-conformities which need to be

addressed before the Certification Audit during the FSA. Organisation is required to follow up and
rectify these observations and non-conformities to proceed with the Certification Audit.
Step 5 Certification Audit
The Certification Audit will be conducted approximately 1 month after the FSA to allow sufficient time
for any non-conformities or observations identified in the FSA to be corrected. The Certification Audit
focuses on the implementation of the documented system including the control of significant energy
uses through various operational controls and the implementation of energy objectives, targets and
action plans.
It is important that the EnMS established should meet the basic requirements of ISO 50001 including
regulatory compliance and continual improvement in energy performance.
The Certification Body will recommend the organisation to receive the
ISO 50001 certification if there is no critical non-conformity identified
during the Certification Audit.
30
Step 6 Follow-up Visit
A Follow-up visit will be conducted if serious NCs are identified in the Certification Audit. An on-site
visit will be conducted by the Certification Body to ensure these NCs are effectively addressed by
implementing appropriate corrective actions.
Step 7 Surveillance Visit
Depending on the origin of the accreditation, the Certification Body will conduct surveillance visits
every 6 months or 1 year to check the EnMS implementation such as progress against objectives and
targets. The auditor will also check whether there is any change in significant energy uses, energy
baseline and regulatory compliance of the organisation.
The use of the certificate and the certification logo will also be checked.
Step 8 Renewal Audit
The ISO 50001 certificate is issued for 3 years. Before the expiry of the certificate, renewal audit
should be carried out. Similar to the FSA and certification audit as described earlier, the focus of the
renewal audit will be on how the organisation conduct energy review and the results as well as the
identification of significant energy uses and the formulation of proper controls.
An approximate time from commencing system development to achieving certification could be

between 6 and 12 months depending on the size and complexity of the organisation and also the
current state of the organisations’ energy management and their existing management systems.
4.3 Certification Requirements

During EnMS audit, certification can only be granted if all of the criteria indicated below are met:
The EnMS must be effectively implemented at least to the extent that:
• The EnMS has been operational for a minimum of three months;

• The internal audit is implemented and can be shown to be effective;
• One management review has been conducted;
• All staff are aware of the energy policy, objectives and the energy management system; and
• Staff involved in managing significant energy uses and associated impacts
have received training according to a training needs analysis.
31
In addition to the above mandatory requirements in certification, the certification bodies also focus on
the following aspects, most of which are related to the energy review.
• The methodology in determining significant energy uses (SEU);

• Prioritization of areas for improvement in energy review;
• The analysis and evaluation of energy review;
• The methodology to determine the energy baseline for the organisation or individual SEU;
• The methodology to determine the energy performance indicator(s) for the
organisation or individual SEU;
• The method and result verification for energy objectives, targets and action plans; and
• The operational control related to SEU.
4.4 Non-conformities
Non-conformities (NCs) are generally divided into two categories: major NCs which relate to serious
omissions or failures of the EnMS; and minor NCs.
For those related to serious omissions or failures of the EnMS such as the following, a follow-up visit
is likely to be required:
• Absence of one or more system elements;

• Ineffective implementation; and / or
• Issues that could seriously affect capability to achieve policy and objectives.
To be classified into major NCs, the omissions or failures of the EnMS are normally associated with
any, or a combination of:
• Inadequate identification of significant energy uses;

• Regulatory non-compliances; and / or
• No real policy, objectives and targets which would lead to continual improvement.
For minor NCs of a less serious nature, e.g. an isolated event such as not following a procedure, they
can usually be resolved by an acceptable corrective action plan.
32
Annex A Self Evaluation Checklist
Resources, Roles, Responsibility and Authority

Conformity
Requirements Yes No N/A
1. Have the roles, responsibilities and authorities for energy
management been defined and documented?
2. Have a Management Representative and an Energy
Management Team been designated?
3. Have the roles, responsibilities, and authorities for the
Management Representative and Energy Management Team
been defined?
4. Have the required resources (e.g. personnel, technology,
finance) for implementation and control of the energy
management system been provided by the management?
5. Does the personnel appointed in energy management have the
competence required?
Energy Policy
Conformity
1. Has the organisation defined and documented its energy policy?
2. Is the energy policy appropriate to the nature and the scale of, and
the impact on the organisation’s energy use and consumption?
3. Does the policy include commitments to
• continual improvement of energy efficiency?
• Compliance with applicable legislation and other
requirements?
• support purchase of energy-efficient products and services?
4. Does the energy policy provide a framework for setting energy
objectives and targets?
5. Has the energy policy been documented, implemented,
maintained and communicated to all persons working for or on
behalf of the organisation?
6. Has the energy policy been regularly reviewed and updated?
33
Legal and Other requirements
Conformity
1. Has a procedure been developed and implemented to identify
applicable regulatory, legal and other requirements?
2. Has the organisation identified, implemented, and access to the
applicable legal requirements and other requirements, which are
related to the energy use consumption and efficiency?
3. Has the organisation determined how the applicable legal
requirements and other requirements apply to its energy use,
consumption and efficiency?
4. Are current copies of all applicable regulatory and other
requirements accessible to personnel as necessary?
Energy Review, Energy Baseline, and Energy Performance Indicators (EnPI’s)

Conformity
1. Has a procedure been established, implemented and maintained
to identify the baseline and Energy Performance indicators?
2. Has energy baseline related to potential significant energy use
been considered in establishing and implementing the EnMS?
3. Has the organisation identified the areas of significant energy
use?
4. Has the organisation determined the current
energy performance related to identified significant energy uses?
5. Are all significant energy uses controlled by objectives, targets,
and programmes, procedures or monitoring?
6. Has the organisation identified other relevant variables affecting
significant energy uses?
34
Energy Objectives, Energy Targets and Energy Management Action Plans
Conformity
1. Have documented energy objectives and targets been
established at relevant functions and levels within the
organisation?
2. Are the energy objectives and energy targets specific,
measurable, concrete and understandable?
3. Are the objectives and targets consistent with the energy
policy?
4. Has an energy performance evaluation system been
established to periodically review the achievement of the
objectives and targets?
5. Have action plans including the following items for the
achievement of energy objectives and targets been established
and implemented?
 Designation of responsibility for achieving objectives and
targets at each relevant function and level of the
organisation
 The means and time-frame by which the programmes are
to be achieved
 The statement of the method by which an improvement in
energy performance3 shall be verified; and
 The statement of the method of verifying the results of the
action plans
6. Have the action plans been documented and updated at

defined intervals?
35
Competence, Training and Awareness
Conformity
1. Are all the personnel, related to significant energy uses,
competent on the basis of appropriate education, training, skills
or experience?
2. Have training needs associated with the control of its
significant energy uses and the operation of its EnMS been
identified?
3. Have procedures been established to assure that all the
personnel working for or on behalf of the organisation are
aware of
• the importance of conformity with the energy policy,
procedures and the requirements of the EnMS?
• their roles, responsibilities and authorities in achieving
the requirements of the EnMS?
• the benefits of improved energy performance?
• the impacts, actual or potential of their activities and
how their activities and behaviour contribute to the
achievement of energy objectives and targets and the
potential consequences of departure from specified
procedures?
4. Are training records, certificates and licenses maintained to

demonstrate the competence?
36
Communication
Conformity
1. Does the organisation communicate internally with regard to its
energy performance and the EnMS?
2. Are procedures maintained for communication of energy issues
between various levels of the organisation?
3. Has the organisation established and implemented a process
by which any person working for, or on behalf of, the
organisation can make comments or suggestions to EnMS?
4. Has the organisation decided whether its energy policy, EnMS
and energy performance should be communicated externally?
5. If so, are there any documented and implemented external
communication plans?
Documentation
Conformity
1. Have the core elements of the EnMS and their interaction been
documented in paper and/or electronic form?
2. Are the following EnMS elements documented?

• Scope and boundaries of the EnMS
• Energy policy
• Energy objectives, targets and action plans; and
• Documents required by ISO 50001, e.g. energy review
37
Control of Documents
Conformity
1. Are procedures maintained to ensure periodic review and
appropriate approved distribution and revision of all required
documents?
2. Are current versions and changes of all required documents
identified?
3. Are documents of external origin that are to be necessary for
the planning and operation of the EnMS identified and
controlled?
4. Is all documentation legible, readily retrievable and identifiable,
and revision level or date identified?
5. Are obsolete documents promptly removed or otherwise
assured against unintended use?
Operational Control
Conformity
1. Have the operations and maintenance activities, which are
related to significant energy uses and are consistent with energy
policy, objectives and action plans, been identified and planned
with the following considerations?
• Establishing and setting criteria for the effective
operation and maintenance of significant energy uses;
• Operating and maintaining facilities, processes,
systems and equipment in accordance with operational
criteria; and
• Appropriate communication of the operational controls
to personnel working for the organisation.
38
Design
Conformity
1. Have procedures been implemented to identify and consider
energy performance improvement opportunities and
operational controls in the design of new, modified and
renovated facilities, equipment, systems and processes?
2. Are the design considerations documented?
Procurement of Energy Services, Products, Equipment and Energy

Conformity
1. Have the criteria for assessing energy use, consumption and
efficiency over the lifetime of the product, equipment or service
been established and implemented?
2. Are specifications for items being purchased clearly defined and

documented in the energy performance related requirements?
3. Have energy performance related requirements been

communicated to suppliers?
4. Have suppliers been made aware that energy performance is part

of the evaluation criteria?
39
Monitoring and Measurement
Conformity
1. Have procedures been documented and implemented to
monitor the following key characteristics of operations that can
have significant impacts?
 Significant energy uses and other outputs of the energy
review
 Relevant variables related to significant energy uses;
 Energy performance indicators (EnPIs);
 Effectiveness of the action plans in achieving objectives
and targets; and
 Evaluation of actual versus expected energy consumption.
2. Are records available to track performance and conformity with
the key characteristics?
3. Has the energy measurement plan been defined and
implemented?
4. Are all monitoring equipment appropriately maintained and

calibrated?
Evaluation of Compliance
Conformity
1. Are documented procedures established, implemented and
maintained for periodical evaluation compliance with relevant
energy legislation and other requirements related to energy
use and consumption?
2. Is the compliance status with regard to relevant energy

legislation and other requirements related to energy use
and consumption evaluated?
40
Internal Audit
Conformity
1. Have internal audit procedures been developed and
implemented?
2. Has the internal audit schedule been developed?
3. Are the internal audits conducted to ensure that the EnMS
• conforms to planned arrangements for energy

management according to ISO 50001 standard
requirements?
• conforms with the energy objectives and targets
established?
• is effectively implemented and maintained, and improves
energy performance?
4. Are audit reports and records documented?
5. Are the auditors conducting the audits competent and in a

position to conduct the audits objectively and impartially?
41
Non conformity, Corrective Action and Preventative Action
Conformity
1. Have procedures been established to define the responsibility

for handling, investigating and controlling, and mitigating
nonconformity?
2. Does the organisation address the actual and potential

nonconformities by making corrections, and by taking
corrective and preventive actions with the following elements?
• Reviewing nonconformities or potential nonconformities;

• Determining the causes of nonconformities or potential
nonconformities;
• Evaluating the need of action to ensure that
nonconformities do not occur or recur;
• Determining and implementing the appropriate action
needed;
• Maintaining records of corrective and preventive
actions;and
• Reviewing the effectiveness of the corrective and
preventive actions taken
3. Are procedures changed and / or updated as a result of

corrective action and preventive action?
42
Control of records
Conformity
1. Have procedures been established and implemented for the
identification, retrieval and retention of records?
2. Are records legible, identifiable and traceable to the relevant

activities?
3. Does the organisation retain the following records?
• Training records;
• Audit results;
• Management review records;
• Information on applicable energy laws and other
requirements;
• Inspection,maintenance and calibration records;
• Informationon significant energy use and energy
performance indicators;
• Procurement records;
• Permits;
• Monitoring data;
• Detailsof nonconformities,incidents,complaints and
follow-up actions;
• Contractors and suppliers records;and
• Process and product information.
43
Management Review
Conformity
1. Do periodic management reviews take place to ensure the

continuing suitability, adequacy and effectiveness of the
EnMS?
2. Are management review records retained?
3. Are the management reviews carried out based on the

following documents or information?
• EnMS audit reports;
• Evaluation of compliance with legal requirements and other
requirements to which the organisation subscribes;
• Achievement of EnMS objectives and targets;
• Communications and complaints on EnMS internally;
• Energy policy;
• Energy performance and related Energy performance
indicators (EnPIs) of the organisation;
• Status of corrective and preventive actions;
• Follow-up actions from previous management reviews;
• Projected energy performance of the following period;
• Changing circumstances, including developments in legal
and other requirements related to its energy use; and
• Recommendations for improvement.
4. Are the management reviews included in the decisions or

actions related to:
• Energy performance of the organisation;
• Energy policy;
• Energy performance indicators (EnPIs);
• Objectives and targets of the EnMS; and
• Allocation of resources.
44
Annex B Energy Saving Opportunity Scheme (ESOS)
The Energy Savings Opportunity Scheme

The EU Energy Efficiency Directive entered into force in November 2012. The Directive aims to
drive improvements in energy efficiency across the EU. Article 8(4) includes a requirement that
all large (non-SME) enterprises undertake energy audits by 5 December 2015 and every 4
years thereafter. This is the largest new policy within the Directive from a UK perspective.
The Government has developed the Energy Saving Opportunity Scheme (ESOS) in order to
comply with the Article 8(4) requirement. On 10 July 2013 the Government launched a 12-week
consultation on the proposals for this scheme, seeking the views of business, industry and trade
bodies, and other interested parties. The consultation closed on 3 October 2013. The
Government contracted independent expert consultants to carry out detailed analysis of
consultation responses and has since been developing the legislation and guidance that give
effect to the scheme.
The scheme seeks to minimise the administrative burden on business, including by realising
synergies with existing policies and requirements, such as the CRC Energy Efficiency Scheme.
At the same time, the Government also aims to maximise the energy efficiency and economic
gains from the scheme.
Who must comply with ESOS?
Participation in ESOS will be mandatory for any undertaking which carries out business activity within
the UK and which meets any one of the following criteria:
1. It has 250 or more staff; or

2. It has fewer than 250 staff but has an annual turnover
exceeding €50m and a balance sheet exceeding €43m
3. It is part of a corporate group which includes a large undertaking (as defined by (1) or (2),
above).
45
ESOS Scheme operation and timings
ESOS will operate in four-yearly compliance phases. Organisations in the UK must assess whether or
not they are required to participate in ESOS on the qualification date of each phase.
The qualification date for the 1st phase is the 31st December 2014.
The last day of each compliance phase (the compliance date) is the date by which the participant
must have undertaken its ESOS Assessment and notified its compliance to the Environment Agency.
For the first phase, this means that activity to support your ESOS Assessment must have been
undertaken between the 6 December 2011 and the 5 December 2015 to be considered compliant.
If you remain in scope of the scheme, you must then undertake ESOS Assessments within each
subsequent phase.
ESOS Phase Timings
Phase Qualification Dates Four Year Compliance Date

Compliance Phase
Phase 1 31/12/2014 6/12/2011 – 5/12/2015 5/12/2015
Phase 2 31/12/2018 6/12/2015 – 5/12/2019 5/12/2019
Phase 3 31/12/2022 6/12/2019 – 5/12/2023 5/12/2023
46
ESOS Reporting requirements
Participants will be required to notify the Environment Agency of their compliance at the end of
each compliance period. The basic notification details will include confirmation of compliance;
information on the participant, including the name of the director(s) or equivalent who signed off the
report and information on the Lead Assessor, including name and approved qualification (or approved
membership of a professional register).
For undertakings that are complying as a group, the participant will also need to provide
information on the participant undertakings.
Participants will also have the opportunity to voluntarily disclose additional information about the
results of their ESOS Assessment and energy audits, actions taken as a result, and their energy
consumption and management in general.
The Environment Agency will publish a list of all participants which have notified that they have
complied with ESOS, together with any voluntary information provided by participants.
Reporting your ESOS compliance

You will need to make a notification to the ESOS Scheme Administrator that you have completed an
ESOS compliant assessment for your organisation. The notification must be made to the Scheme
Administrator on, or before, the compliance date of each phase. As noted above, the compliance date
for the first phase is the 5th December 2015.
You will be required to submit this notification to the Environment Agency through an online
notification system. This system will become operational in 2015, and details will be published on the
ESOS website: https://www.gov.uk/energy-savings-opportunity-scheme-esos
Signing off your Assessments

Before you can submit your notification to the Environment Agency, you will need to have your ESOS
Assessment signed off by a director or, if your organisation does not have a director, an equivalent
senior manager.
The requirement for sign-off and notification applies irrespective of the compliance route, or routes,
you’ve chosen in complying with ESOS – i.e. ESOS Energy Audits, Display Energy Certificate (DEC)
reports, Green Deal assessments or an ISO50001 certified
Energy Management System.
47
ESOS Scheme Administrator
The Environment Agency will be the ESOS Scheme Administrator for the United Kingdom. As such,
the Environment Agency will be responsible for receiving notifications of compliance from ESOS
participants, maintaining guidance on compliance and approving registers of Lead Assessors (see
Section 5), as well as other duties.
The Environment Agency will also be the compliance body for participants in England. The Scottish
Environment Protection Agency (SEPA), Natural Resources Wales (NRW) and the Northern Ireland
Environment Agency (NIEA) will be the compliance bodies for participants in Scotland, Wales and
Northern Ireland respectively.
The participant’s compliance body is determined by the location of its registered office or where there
is no registered office its principal place of activity.
The compliance bodies will be responsible for monitoring the compliance of those in scope of the
scheme and will be able to issue penalties for non-compliance
Penalties
The scheme compliance bodies will have the authority to apply civil penalties against an
organisation/group found to be required to participate in ESOS and found to be non-compliant
For all non-compliances, the compliance bodies will have the power to publish information on non-
compliance on their website. This information, available to the public, will include: The name of the
ESOS participant; details of the failure in respect of which a civil penalty has been imposed; and the
penalty amount.
Non-compliances include:
• Failure to notify the Scheme Administrator of compliance by the required date;

• and/or failure to provide basic details as part of notification
• Failure to maintain adequate records to demonstrate compliance with ESOS
• Failure to undertake an ESOS Assessment
• Failure to comply with an enforcement, compliance or penalty notice
• Making a statement which is false and misleading
Each non-compliance category carries its own penalties,

these range from £5,000 to over £50,000 plus additional
non-monetary penalties.
48
Key Steps to Complying with ESOS
49
ISO 50001 certification and ESOS
Certification under international standard ISO 50001:2011(energy management system, EnMS) is
permitted as a compliance route under ESOS as an alternative to undertaking ESOS Audits.
ISO 50001:2011 provides a framework of requirements for organisations to:
• develop a policy for more efficient use of energy;

• fix targets and objectives to meet the policy;
• use data to better understand and make decisions about energy use;
• measure the results;
• review how well the policy works; and
• continually improve energy management.
A certified ISO 50001 energy management system can be applied across all of the assets and
activities of an organisation/group or applied to a specific asset/activity (e.g. utilised to manage a
high energy using asset/activity).
To be valid as a route to compliance under ESOS, your ISO 50001:2011 energy management
system must be certified by a United Kingdom Accreditation Service (UKAS) accredited certification
body, by a body accredited by another EU member states‟ national accreditation body, or by a body
which is a member of the International Accreditation Forum.
If you maintain a compliant but not certified system, you may wish consider seeking certification to
permit the use of your energy management system as a route to compliance under ESOS.
Where an ISO 50001 certified system covers all of your organisation or group, at the time the
certification was undertaken, this shall constitute compliance with ESOS provided the certification is
still valid at the compliance date (5th December 2015 for the first ESOS phase). In this
circumstance, there is no requirement for an organisation or group holding such a certification to
have its ESOS compliance verified by a Lead Assessor.
50
Why TÜV NORD
The TÜV NORD GROUP has been conducting ISO 50001 audits since 2011 and currently audits
and certifies nearly 300 client sites around the world, giving us a wealth of knowledge & experience.
Clients include:
AVG
Exxon Mobil
Fiat Auto
Dr Oetker
General Motors
Johnson Controls
Mahindra Steel
Mahle
Mars
Mitsubishi Hitech Paper
Outokumpu
Outokumpu Stainless
Siemens AG Energy
Thyssenkrupp Steel
Yokohama Tires
Through our German parent company, our existing ISO 50001 accreditation has been held since
2011 through DAkkS, the German national accreditation body, allowing us to meet the ESOS
requirements for an accredited certification body, accredited by an EU member states‟ national
accreditation body, or by a body which is a member of the International Accreditation Forum. We
are also currently evaluating the benefit of ISO 50001 accreditation through UKAS.
Contact us to discuss your requirements and we can audit and certify your EnMS system to ISO
50001, enabling you to achieve and declare ESOS compliance.
51
TÜV UK Ltd
AMP House
Suites 27-29, Fifth Floor
Dingwall Road
Croydon
CR0 2LX
Phone: +44 (0) 20 8680 7711

Fax: +44 (0) 20 8680 4035
E-mail: enquiries.uk@tuv-nord.com
Web: www.tuv-uk.com
ISO 50001: TUV UK / TUV NORD CERT
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ISO 50001 (EnMS)

Energy Management Systems

Energy management is now in the global spotlight, due to the pressing

A more sensible and systematic approach to improve an enterprise’s energy performance

Whilst relevant to any organisation, ISO 50001 certification is particularly relevant to

1.1 Demand for Energy Management

2 Overview of ISO 50001 Standard 8

3 Improvement on Energy Performance 27

Developed by the International Organisation of Standardization (ISO) Project Committee of Energy

1.1 Demand for Energy Management

Combating Climate Change

1.2 Benefits of Adopting Energy Management System

1.3 ISO 50001 vs. Other Management System Standards

Content ISO 50001 ISO 14001 ISO 9001

For compliance with ESOS your

Typically the policy will

Monitoring, Non conformities,

Energy Energy Implementation

Figure 1: Main elements of an Energy Management System

The next section explains the core requirements of ISO 50001

2.2 Management Responsibility

The ISO 50001 Standard says…

• Top management support;

2.2.2 Management Representative

The ISO 50001 Standard says……

• Selecting, training and leading the energy management team;

The ISO 50001 Standard says……

• Continual improvement in energy performance;

Example of an Energy Policy

Executive Director: _ Date:

2.4.1 Legal and Other Requirements

The ISO 50001 Standard says……

• How to identify the applicable legal and other requirements;

The ISO 50001 Standard says……

Figure 2: Sample of Energy profile

To prepare an energy profile, comprehensive energy consumption data in relation to an organisation’s

a. Analysis of energy bills

b. Energy measurement by sub-meters

• Energy consumption per time

2.4.3 Energy Objectives, Targets and Action Plans

We shall improve energy efficiency as a continuous improvement target

Objective Reduce overall electricity consumption by 10%

Target Reduce electricity consumption in production by 15% and in warehouse by 5% by December

2.5 Implementation and Operation

The ISO 50001 Standard says……

Table 2. Examples of EnMS Training Courses

Examples of Competence and Training Records:

• Documented personnel job descriptions that include energy-related competencies;

• Type and level of information to be communicated;

• Scope and boundaries of the system;

Implementation of the EnMS is dependent on the establishment and maintenance of operational

• Level of detail of the control procedures required;

It is recommended to consider and identify energy performance improvement opportunities

Examples of Energy Performance Considerations:

• Any alternative energy sources?

2.5.6 Procurements of Energy Services, Products, Equipment and Energy

 Unit cost and total cost

2.6.1 Monitoring, Measurement and Analysis

a. Significant energy uses and other outputs of the energy review;