iso 50001:2011 - aeeny.org aee(min… · iso 50001:2011 --- the standard, applications and...

ISO 50001:2011 --- THE STANDARD,

APPLICATIONS AND EXAMPLES,

CERTIFICATION PROCESS, AND

FREQUENTLY ASKED QUESTIONS

Presented by:

Karen Bakker, Product Manager – ISO 50001

2

Benefits of an Energy Management System (EnMS) ----

Why Have One?

The ISO 50001:2011 Standard

Definitions

Structure / Components

Examples

Updates to the ISO 50001 Standard

Superior Energy Performance (SEP)

The Implementation and Certification Process

Steps to Develop, Implement, and Certify an EnMS

Frequently Asked Questions

AGENDA

3

MODULE TOPIC

Benefits of an Energy Management System (EnMS) – Why Have One?






4

GLOBAL PERSPECTIVE:

Rising Costs and/or Uncertainty in Costs of Energy

Technological Alternatives and Suitability

Local Distributions and Energy Options

Regional and Global Energy Politics

Business Sustainability

LOCAL PERSPECTIVE:

It’s not just about what your customers think of your company,

but it’s all about how you look at and deal with your

business.

BENEFITS OF AN ENERGY MANAGEMENT

SYSTEM ---- WHY HAVE ONE?

5



6

Energy Management System (EnMS) …

“The purpose of this International Standard is to enable

organizations to establish the systems and processes necessary

to improve energy performance, including energy efficiency, use

and consumption …” (Introduction, ISO 50001:2011)

Advocating … A Systematic Approach

Requiring … Leadership and Commitment

Engaging … Employees/Activities under the Organization’s Control

Benefitting … Organizations of all Types and Scopes

Enabling … Improvement / Optimal Energy Performance



7

ISO 50001 --- Energy Management Systems ---

Requirements with Guidance for Use

This is the one for Certification.

ISO 50004 --- Guidance on Implementation

This is the one for Guidance and Examples.

ISO 50002 --- Energy Audit

ISO 50003 --- EnMS Audit and Certification

ISO 50006 --- Measuring Performance

FRAMEWORK OF THE STANDARDS FOR

ENERGY MANAGEMENT SYSTEMS

8

MODULE TOPIC







9

General Requirements ---

The organization shall:

a. Establish, document, implement, maintain and improve an

EnMS in accordance with the requirements of this

International Standard.

and

c. Determine how it will meet the requirements of this

International Standard in order to achieve continual

improvement of its energy performance and of its EnMS.

ISO 50001 = Performance Standard

ISO 50001 – FRAMEWORK AND LANGUAGE

10



b. Define and document the scope and boundaries of its

EnMS.

Scope --- Extent of activities, facilities, and decisions that the

organization addresses through the EnMS.

Boundary --- Physical limits, site limits, or organizational limits

--- Can include a process, group of processes, site, entire

organization, or multiple sites.

Consider that this is a Performance Standard, which is based

on Monitoring & Measurement. Consider how can

portions of a site be metered for energy consumption.


11



b. Define and document the scope and boundaries of its

EnMS.


12


13


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts

Continual Improvement

Objectives/Targets

Action Plans

- Comply

-Continually

Improve

-Purchase

and

Design

-Monitoring,

-Measurement, Analysis

-EnMS Audits

-Compliance Audits

-Corrective &

- Preventive Actions

-Records Control

-Inputs/Outputs

-Changes

-Resources

-Operational Controls

-Maintenance Controls

-Roles & Responsibility

-Training/Competence

-Communications

-Contractors

-Design

-Purchase

-Document Control

Energy

Performance

Indicators &

Baseline

14


Policy

Management

Review

Checking

Planning

Operations

- Comply

-Continually

Improve

-Purchase

and

Design

15


ENERGY POLICY

Main Commitments:

Compliance with all Legal & Other Requirements

Continual Improvement in Energy Performance --- measurable

results related to energy efficiency, energy use, and energy

consumption

Availability of Resources & Information to Achieve Objectives &

Targets

Purchase of Energy-Efficient Products/Services

Design for Energy Performance Improvement.

Demonstrate Top Management Commitment (signed/dated)

Regularly Reviewed and Updated

Communicated at All Levels within the Organization.

16


Policy

Management

Review

Checking

Planning

Operations

Energy Review

- Comply

-Continually

Improve

-Purchase

and

Design

17


ENERGY REVIEW

18


ENERGY REVIEW

Develop, record, and maintain Energy Review.

Document methodology and criteria.

Focused on:

Identify current energy sources

Evaluate past and present energy use and consumption.

Updated at defined intervals + in response to major

changes to facilities, equipment, systems, or processes.

19


ENERGY REVIEW

Energy Sources --- Electricity, Natural Gas, Diesel,

Gasoline, Propane, Solar, …

List of Equipment --- Production Equipment, Support

Equipment, HVAC, Air Compressors, Boilers, Chillers,

Cooling Water Towers, Lighting, …

Annualized Energy Consumption per Equipment

In-Line Metering

Spot Metering

Nameplate Data

Burner Ratings

Production Hours … sometimes look at full run vs. idle

…. Think about Verifying total summed wrt Utility Bill

20


ENERGY REVIEW

Nat Gas

Refinery Sanitation Kiln Furnace &Kiln Furnace Only Total Natural Gas

79,859 3,480 73,017 163,990

90,972

247,329

21


ENERGY REVIEW

Identify Significant Energy Use (SEU)

Organization defines methodology – Examples:

• Consumption only

• Formulation of Consumption and Loss/Attackability

22


ENERGY REVIEW

For the Significant Energy Use (SEU), the Organization

determines:

What are the facilities, equipment, systems, processes

involved

Who are the personnel involved (employees & contractors)

What are the Relevant Variables –

• Weather-Related --- HDD, CDD, Humidity, …

• Production-Related --- Hours, Sequencing, …

• Equipment Efficiency-Related --- changing filters, …

Current Energy Performance

Future Energy Use and Consumption

23


ENERGY REVIEW

SEU Future Energy Use and Consumption

24


ENERGY REVIEW

Identify, Prioritize, and Record Opportunities for Improving

Energy Performance

25


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts

- Comply

-Continually

Improve

-Purchase

and

Design

26


LEGAL & OTHER REQUIREMENTS

Identify ----- Typically a Register or Listing

Legal – Federal, State, Local

Other – Corporate, Industry-Specific, etc.

Access ----

Websites

E-mails from Agencies and/or Subscriptions

Corporate

Etc.

Evaluation of Compliance (within the Checking section)

27


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts

- Comply

-Continually

Improve

-Purchase

and

Design

Energy

Performance

Indicators &

Baseline

28


Energy Performance Indicators (EnPIs) & Baseline

Identify EnPIs appropriate for monitoring and measuring energy

performance ---- Considerations: Facility-Level vs. SEU Level,

total energy consumption vs. by energy source

Review/compare EnPIs to Energy Baseline, as appropriate

Establish an Energy Baseline / Adjust Baseline, as needed

Significant Deviation --- Define. Track for EnPIs vs. Baseline.

29


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts


Objectives/Targets

Action Plans

- Comply

-Continually

Improve

-Purchase

and

Design

Energy

Performance

Indicators &

Baseline

30


OBJECTIVES, TARGETS, and ACTION PLANS

Objective – Specified outcome or achievement set to meet

the organization’s energy policy related to improved

energy performance

Target – Detailed, quantifiable energy performance goal

Considerations:

Significant Energy Use (SEU)

Legal & Other Requirements

Opportunities for Improving Energy Performance

Financial, Operational, and Business Conditions

Technological Options

Views of Interested Parties

31



Action Plans:

Means (Tasks needed to achieve target)

Timeframe (for achievement of target)

Responsible Party

Statement of Method by which an improvement in energy

performance shall be verified

Statement of Method of Verifying Results.

Considerations:

Targets for various projects should tally to enable

organization to meet overall plant energy reduction targets.

Timing of projects can affect the organization’s ability to meet

overall plant energy reduction targets.

32



33



34


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts


Objectives/Targets

Action Plans

- Comply

-Continually

Improve

-Purchase

and

Design





-Communications

-Contractors

-Design

-Purchase

-Document Control

Energy

Performance

Indicators &

Baseline

35


OPERATIONAL CONTROLS

Production and Maintenance-Related Activities

Setting Operational Criteria / Ranges of Operation

36


TRAINING & COMPETENCE FOR SEU AREAS

37


TRAINING & AWARENESS FOR THE ORGANIZATION

(For Employees and Contractors)

Energy Policy

Objectives and Targets // Action Plan Projects

EnPI Goals … How is the organization doing?

What Everyone Can Do on a Day-to-Day Basis

Communications Outward

How to Get Energy-Savings Suggestions In

INTERNAL & EXTERNAL COMMUNICATIONS

What and How Much is to be Externally Communicated

38


DESIGN & PROCUREMENT

Design

Consider energy performance improvement opportunities in the design of

new, modified and renovated facilities, equipment, systems and processes

that can have a significant impact on energy performance

The results of the evaluations shall be incorporated where appropriated into

the relevant project

Procurement of Energy Services, Products, Equipment and Energy

Inform suppliers that procurement is partly evaluated on the basis of energy

performance

Establish and implement life cycle cost analysis when procuring energy

using products

Define and document energy purchasing specifications .

39


DOCUMENTATION & DOCUMENT CONTROL

Documentation Requirements

The EnMS documentation shall include:

Scope and boundaries of EnMS

Energy Policy

Energy Objectives, targets and action plans

Documents including records required by ISO 50001

Document Control

Review and Approval

Relevant Versions at point of use / No obsolete

documents

External Document (equipment manuals, etc.) control

40


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts


Objectives/Targets

Action Plans

- Comply

-Continually

Improve

-Purchase

and

Design

-Monitoring,


-EnMS Audits

-Compliance Audits

-Corrective &


-Records Control





-Communications

-Contractors

-Design

-Purchase

-Document Control

Energy

Performance

Indicators &

Baseline

41


MONITORING, MEASUREMENT, & ANALYSIS

42



43



Energy Measurement Plan (Examples on previous 2 pages)

Calibration of Equipment

Significant Deviations ---- The organization shall define and

periodically respond to significant deviations in energy

performance. Significant deviation is defined by the

organization to ensure investigation, root cause, and

corrective action to get performance back on track.

44


COMPLIANCE EVALUATION

Required review with respect to Legal & Other Requirements.

EnMS INTERNAL AUDIT

Required review of the clauses, processes, and energy

performance related to the Energy Management System.

CORRECTIVE & PREVENTIVE ACTIONS

For identified Non-Conformances, the process of short-term

containment, root cause analysis, long-term corrective action,

and verification of effectiveness.

45


Policy

Management

Review

Checking

Planning

Operations

Energy Review

Legal and

Other Req’mts


Objectives/Targets

Action Plans

- Comply

-Continually

Improve

-Purchase

and

Design

-Monitoring,


-EnMS Audits

-Compliance Audits

-Corrective &


-Records Control

-Inputs/Outputs

-Changes

-Resources





-Communications

-Contractors

-Design

-Purchase

-Document Control

Energy

Performance

Indicators &

Baseline

46

MANAGEMENT REVIEW

Usually Performed 1x/yr to 4x/yr basis

Overarching Review of the whole EnMS, what is working,

and what is not working --- what improvements to make

Required Inputs for Management Review

Required Outputs for Management Review

Decisions and Actions to take to improve the EnMS

This is the “ACT” portion of the EnMS that then facilitates

the continual improvement cycle.


47

MODULE TOPIC







48

ISO 50001 STANDARD UPDATE

ISO Standards are typically reviewed every 5 years.

ISO 50001:2016 is currently in the review process.

Proposed changes:

Clarifications in language.

Adjustment of the structure of the ISO 50001 Standard to

Annex SL format … similar to ISO 9001:2015 and ISO

14001:2015 … which will allow easier integration of

management systems in the future.

ISO 50001 – LOOKING FORWARD

49

SUPERIOR ENERGY PERFORMANCE (SEP)

Administered through US Department of Energy (DOE)

Requires ISO 50001 EnMS … and then the verification of

Energy Performance every three years through SEP

Ranks facility performance to Silver, Gold, or Platinum

ranking ---- based on either the Energy Performance

Pathway or the Mature Energy Pathway --- verified using

SEP Measurement & Verification Protocols --- requiring

additional auditing with an SEP-specific Audit Team

Visit the US DOE website at:

http://www.energy.gov/eere/amo/superior-energy-

performance

SUPERIOR ENERGY PERFORMANCE (SEP)

50

MODULE TOPIC







51

ISO 50001 – IMPLEMENTATION/CERTIFICATION

Gap Analysis

Implementation

Internal Audit &

Corrective Action

Management Review

Pre-Assessment (Typically 2-3 months prior)

Stage 1 Audit (Readiness Assessment –

Typically 3-4 weeks prior to Stage 2)

Stage 2 Audit (Certification Audit)

Surveillance Audits (Annual / Semi-Annual)

Registration Implementation

52

ISO 50001 - IMPLEMENTATION/CERTIFICATION

Right before implementation

6-9 months prior to internal

audit

Anytime prior to Management

Review

Pre-assessment

minus 2 months

Stage 1 minus 2 months

Stage 2 minus 2-3 weeks

Certification minus 3 weeks

53


Summary of a Pre-Assessment

The objective of the Pre-Assessment audit is to assess the state of

your MS: (1) how your organization aligns with the requirements of the

Standard; (2) that your MS conforms with the Standard; (3) any areas

of your MS that require addressing prior to a Certification Audit.

Elements of a Pre-Assessment are:

• We perform a mock audit of both Stage 1 and Stage 2

• We provide a detailed report outlining findings

• Next step - Plan and Review

Types of findings – Critical and Non-Critical Findings and Opportunities

for Improvement

54


Summary of a Stage 1 Audit

The objective of the Stage 1 audit is to review your MS

documentation and to confirm: (1) the management system

conforms with the applicable elements of the Standard; (2) to assess

your readiness for the Stage 2 Certification audit.

Elements of a Stage 1 Audit are:

• We review all MS documentation and KPI’s

• We review Scope/Boundary & Regulatory requirements

• Review availability of Planning and Implementation information

• Review of Internal Audits and Management Reviews

• Next step Plan and Review & Stage 2 Readiness

Types of findings – Critical and Non-Critical Findings and

Opportunities for Improvement

55

Summary of a Stage 2 Audit

The objective of the Stage 2 Audit is to confirm the management

system: (1) conforms with the applicable elements of the Standard;

(2) the organization conforms with its own policies and procedures;

(3) the management system is suitable for the organization; and (4)

that the management system is suitable and effective, and enables

the client to achieve its own objectives.

This is a full assessment of the implementation and effectiveness of

the MS. There is a wide sample of interviews, records review,

facilities tour, observations, etc. to make this determination.

Types of findings – Major or Minor Non-Conformances, Opportunities

for Improvement, and Positives


56

Summary of a Surveillance Audit

The objective of the on-going Surveillance Audits is to confirm the

management system continues to conform with the applicable

elements of the Standard; to confirm the organization continues to

conform with its own policies and procedures; to confirm the

management system is suitable for the organization; to confirm that

the management system is suitable and effective, and enables the

client to achieve its own objectives.

This is a moderate assessment of the implementation and

effectiveness of the MS. Moderate sample of interviews, records

review, facilities tour, observations, etc. are conducted.

Types of findings – Major or Minor Non-Conformances, Opportunities

for Improvement, and Positives


57

MODULE TOPIC







58

YES ---- Plenty of Common Clauses:

• Management Review

• Internal Audits

• Corrective / Preventive Actions

• Documentation / Document Control / Records Control

• Policy

• With ISO 14001

Legal & Other Requirements / Evaluation of Compliance

Operational Controls

Training, Awareness, and Competence

Communications

• With ISO 9001

Design

Purchasing / Procurement

More Alignment with the Next Evolution of the Standard

FREQUENTLY ASKED QUESTIONS CAN I INTEGRATE ISO 50001 WITH OTHER STANDARDS?

59

Focused Energy Planning ----

• Rigorous Energy Review and Understanding of Energy Sources

and Consumptions and Efficiencies

• Formulated Methodology for Selecting Significant Energy Use

• Understanding of Relevant Variables with respect to Energy Use

• Formal Identification of Opportunities for Improvement

• Establishment of Baseline and Energy Performance Indicators

Performance Standard / Verification of Objectives/Targets

More Focus on Monitoring, Measurement, and Analysis

Definition of Energy Significant Deviation

More Specific Focus on Operational Controls and

Training/Competence

Incorporation of Energy Focus in Design and Procurement

FREQUENTLY ASKED QUESTIONS I HAVE OTHER STANDARDS. WHY DO ISO 50001?

60

Performance Standard ----

• Demonstration of Continual Improvement through Energy

Performance Indicators and Verification of Objectives and Targets

• Strategic Long-Term Focus to have enough projects to meet O&Ts

• Can Write Non-Conformances for not Achieving Performance

Energy Planning & Monitoring/Measuring/Analyzing ----

• Development and Upkeep of Energy Review

• Establishment of Baseline and Energy Performance Indicators

• Setting and Verifying Objectives and Targets (and having

sufficient projects to meet overall targets)

• Monitoring for Significant Deviations and taking action

• Enhanced Monitoring, Measurement, and Calibration

Incorporation of Energy Focus in Design and Procurement

FREQUENTLY ASKED QUESTIONS BIGGEST “CHALLENGES” WITH ISO 50001?

61

Questions?

62

Thank you!

For more information, please contact:

www.sgs.com

Karen Bakker

Vice President, Operations

Energy Product Manager

[email protected]

http://www.sgs.com/

mailto:[email protected]