LRQA Guidance

Why is ISO 50001 good for you?

And what you should be aware
of when implementing it!

LRQA Business Assurance

Improving performance, reducing risk
 Why is ISO 50001 good for you?
And what you should be aware of
when implementing it!
Energy comes in many forms
including electricity, gas, oil and
steam and is a resource used by
organisations worldwide.
It is becoming increasingly more
expensive as the Earths non-renewable
resources are used up. So reducing your
energy consumption will not only reduce
your costs, but will also reduce your
carbon footprint and help protect the
natural environment. It also reduces your
reliance on others to provide the energy
you need to operate, hence reducing the
risk to your organisation.
Energy management is therefore, quickly
becoming one of the most fundamental
areas of focus across all business sectors.
The new international energy
management standard, ISO 50001 was
issued on 15 June 2011. As with other
ISO standards it is based on the Plan-Do-
Check-Act cycle, which allows easy
integration with your existing systems.
This article provides practical advice and
guidance for those intending to
implement an energy management
system (EnMS) and undergo certification
to ISO 50001:2011.
This article was written by Lead Assessor,
Carolyn Campbell. She has worked for
LRQA for nine years, assessing a wide
variety of companies against ISO 14001
and has more recently been involved
with the development of LRQAs
assessment procedures to ISO 50001.
2 LRQA Guidance ISO 50001
Why is ISO 50001 good for you?
Implementing an energy management
system certified to ISO 50001, aids in the
reduction of your energy consumption
through a structured approach to
monitoring your energy use, identifying
areas for improvement and then
implementing action plans to improve
your energy performance. Stakeholder
engagement, including employees, is a
key part of the system requirements to
ensure ongoing effectiveness.
Certification to ISO 50001 enables you to
demonstrate your commitment to your
stakeholders for improving your energy
performance and minimising your impact
on the environment.
Why ISO 50001 when theres
ISO 14001?
Although energy is included as an
aspect in the majority of organisations
ISO 14001 environmental management
systems, no particular emphasis is shown
to energy and it is often overlooked with
organisations concentrating on the more
obvious environmental aspects, such as
chemicals and waste.
ISO 50001 has been designed solely for
the management of energy and includes
a number of requirements not covered
by ISO 14001.
Implementing an energy management
system certified to ISO 50001, includes
the need to establish baseline(s) of
energy usage and energy performance
indicators as well as the usual objectives
and targets which exist within an
environmental management system.
There are also specific clauses relating to
design (covering facilities and production
lines, etc) and procurement, including
specifying energy purchasing
requirements.
By actively considering energy
specifications, organisations are
encouraged to not only consider where
their current energy is from and any
impacts or risks associated with that, but
also where their energy could come from,
such as renewable and on-site sources.
Although organisations generally
recognise that energy is a significant cost
and an area where improvements could
be made it is often neglected during the
purchasing and design decisions. So,
opportunities for ongoing energy
efficiency improvements and financial
savings are often missed. ISO 50001
specifically highlights these areas, so your
energy management system will ensure
that these opportunities are investigated
and improvements realised.
Before you start implementing
Prior to establishing an energy
management system you will need to
gather background data on your energy
usage and consumption so that you can
determine your energy baseline(s).
Without this information you will be
unable to complete the requirements
of the energy planning section of
ISO 50001.
Some energy baselines can be obtained
online from your suppliers, such as
electricity for those with half hourly
meters. Where installed, automatic meter
readings are also available, with larger
organisations often installing these due to
their Carbon Reduction Commitment
(CRC) requirements.
For other baselines the data can be
logged using manual readings for
electricity and gas usage, usually taking
readings weekly or monthly depending
on the usage level. Please note, the use of
utility bills can cause problems for
baseline data due to estimated readings
and varying numbers of days covered in
each bill period. Baselines can also be
established for other forms of energy by
using invoices from suppliers or fuel card
data if measuring diesel usage.
4.1 General requirements
As the starting point of the standard, this
clause requires your organisation to
establish, implement, maintain and
improve an energy management system
(EnMS). You must ensure your system is
documented where it is a requirement
within ISO 50001.
One of the first things you need to decide
as an organisation is the extent of your
system, i.e. its scope and boundaries.
Remember the definitions for these are
given in the standard (e.g. . . .
boundaries are the physical or site limits
and/or organisational limits as defined by
the organisation whereas the scope is the
extent of activities, facilities and decisions
that the organisation addresses through
an EnMS, which can include several A management representative will need
boundaries). By setting a clear scope and to be appointed by top management.
boundaries you will enable everyone to This should be a person who has the
understand the coverage of your system. appropriate skills and competence to
carry out the required tasks. Their role
The final part of 4.1 requires you to should be clearly defined to cover points
determine how you will meet the a) to h) in clause 4.2.2. Again, your
requirements of ISO 50001, in other system should be able to demonstrate
words, planning what you are going to that these commitments are in place.
do. Organisations plan in different ways,
but typical examples of a system Although not specified as documented
establishment plan include the use of requirements within the standard,
project management systems, simple flow documents such as job descriptions,
diagrams or actions from a meeting. meeting minutes and procedures often
form part of the evidence within a system
4.2 Management Responsibility to demonstrate that these requirements
ISO 50001 clearly states the requirements are being met.
for both top management (4.2.1) and the
management representative (4.2.2). Clause 4.2.1 also includes a requirement
These two clauses go into much more for top management to approve the
detail than other standards such as formation of an energy management
ISO 9001 and ISO 14001 to ensure a team. Clause 4.2.2 then includes the
consistent approach across organisations requirement for the management
and that the necessary commitments are representative to identify a person(s) to
in place for an effective system. work with them to support energy
management activities. When deciding on
To meet these requirements you need to your team you will need to take into
first agree these commitments (as stated account the size and complexity of your
in points a) to j) in clause 4.2.1) with your organisation. For smaller organisations
top management and make sure they can the team may consist of one person, such
be demonstrated once your system is as the management representative.
established.
LRQA Guidance ISO 50001 3
Why is ISO 50001 good for you?
And what you should be aware of when implementing it!
4.3 Energy Policy
As with all the common management
system standards, ISO 50001 requires
your organisation to have an energy
policy. This needs to be defined by your
top management and must be
appropriate to the nature and scale of
your organisations energy use and
consumption.
There are certain commitments which you
need to clearly state within your energy
policy. These are:
A commitment to continual
improvement in energy performance
A commitment to ensure the
availability of information and of
necessary resources to achieve
objectives and targets
A commitment to comply with
applicable legal and other
requirements to which the
organisation subscribes related to its
energy use, consumption and
efficiency.
4 LRQA Guidance BS 25999
As well as these commitments the policy
also has to meet the other requirements
as defined in points a) to h) of clause 4.3.
These include the need to ensure it
supports the purchase of energy-efficient
products and services, and design for
energy performance improvement. This
links well to the later clauses on design
(4.5.6) and procurement (4.5.7).
Your policy will need to be documented
and communicated to all levels within the
organisation. Unlike other common
standards you can decide whether or not
to make the policy available externally.
The energy policy is the cornerstone of
your system and should clearly lay out
your commitments, aims and
expectations for your energy
management system.
4.4 Energy Planning
Now that the basis has been established
for your system we move onto the main
planning part of the standard. You now
need to conduct and document an energy
planning process. This needs to be
consistent with your policy requirements
and drive continual improvement in your
energy performance. It also needs to
involve a review of your activities that can
affect your energy performance (similar to
an environmental aspect assessment in
ISO 14001).
Legal and other requirements applicable
to your energy use, consumption and
efficiency need to be identified (clause
4.4.2). These may well form part of a
current EMS as ISO 14001 has a similar
clause to identify applicable environmental
legal and other requirements and as
energy is generally treated as an
environmental aspect there is no need to
repeat the work. For the majority of
organisations this is usually demonstrated
through the introduction of a list, or
register, of applicable legal and other
requirements.
Although the standard does not require
this to be documented it is often the
easiest way to demonstrate that you have
identified all the necessary requirements.
Once identified you need to ensure that
your organisation has implemented any
necessary requirements to make sure you
are compliant.
The next stage is to conduct your energy
review (clause 4.4.3). This requires your
organisation to analyse your energy use
and consumption based on measurement
and other data, i.e. identify current energy
sources and evaluate past and present
energy use and consumption.
Once this analysis is complete you then
need to use the output to identify the areas
of significant energy use (facilities,
equipment, systems, processes and
personnel). Any applicable variables for
these significant energy uses should also be
identified, such as temperature or
production levels. You then need to
determine the current energy performance
for significant energy uses and estimate
your future energy use and consumption.
Finally, your organisation is required to
identify, prioritise and record opportunities
for improving energy performance. These
opportunities can include your energy
sources, so you might want to consider
potential renewable energy opportunities
such as wind or solar.
An energy baseline(s) needs to be
established using the information from
the initial energy review. These should
cover a time period suitable for your
organisation. The amount of energy
baseline(s) depends upon the size and
complexity of your organisation and how
far you want to split up your energy use
and consumption for monitoring of your
energy performance. These baselines will
be used to determine any improvements
in energy performance as your system
develops. Going forward, they need to be
altered as required, e.g. due to major
changes to processes, operational
patterns or energy systems.
Why is ISO 50001 good for you?
And what you should be aware of when implementing it!
Energy performance indicators (EnPIs)
must then be set which are appropriate
for monitoring and measuring your
energy performance. You will also need
to record your methodology for
determining and updating these EnPIs.
They will need to be reviewed and
compared against your energy baseline(s)
as appropriate to allow you to
demonstrate improvement. Try to set
these as stretching but realistic levels so
they are neither too easily met, nor
impractical to achieve.
As with other management systems the
final part of planning your system, is to
set objectives and targets. Within
ISO 50001 requirements there also
needs to be documented action plans
established, implemented and maintained
to show how they will be achieved. The
action plans should include allocation of
responsibilities, timescales and statements
on how any energy performance
improvement will be verified and the
method of verifying the results.
4.5 Implementation and Operation
Moving on to the do part of the
standard, ISO 50001 requires your
organisation to use the action plans and
other outputs form the planning process
to implement and operate your system.
Again, as with other standards,
ISO 50001 requires your organisation to
ensure that any person(s) working with
energy usage on its behalf (including
employees, agency workers and
contractors) are competent on the basis
of appropriate education, training, skills
or experience. This clause (4.5.2) has
specific requirements that any person
working for or on behalf of your
organisation must be aware of, as stated
in points a) to d) and covering areas such
as importance of conformity with the
energy policy and EnMS requirements;
their roles and responsibilities; the
benefits of improved energy performance
and the impact of their activities.
The purpose of these requirements is to
ensure that everyone plays an active part
in energy management and is aware of
their role and the potential benefits of
good energy performance. You will also
need to ensure that appropriate records
are maintained.
Internal communications should be used
to make people aware of your energy
performance and so that everyone
working for, or on your behalf, has the
ability to make comments or suggest
improvements to the EnMS. An example
of this could be improvement suggestion
cards and boxes, or a section on an
intranet site providing its available to
everyone. For external communications
your organisation needs to decide
whether to communicate externally about The operational control clause requires
your energy policy, EnMS and energy your organisation to identify and plan
performance. ISO 50001 is different to your operations and maintenance
other management system standards in activities which are related to your
that it does not require you to make your significant energy uses to ensure they are
energy policy publicly available. This carried out under specified conditions.
decision needs to be documented and a Examples of maintenance activities would
method established and implemented if be to minimise compressed air leaks,
the decision is to communicate. maintain steam traps and the set up and
servicing of boilers.
Clause 4.5.4.1 lists the documentation
requirements for ISO 50001. These are There is no separate clause for emergency
the minimum that are required. The list preparedness in ISO 50001, but a note
includes part e) which simply states other within the operational control clause
documents determined by the states organisations may chose to include
organisation to be necessary, so energy performance in determining how
effectively everything you think would be they will react to emergency situations.
beneficial to document on top of the
specified documents. The design clause (4.5.6) refers to the
design of new, modified and renovated
The clause related to document control facilities, equipment, systems and
(4.5.4.2) is similar to other management processes that can have a significant
system standards such as ISO 9001, impact on your energy performance. It
ISO 14001 and OHSAS 18001. This also looks at how your organisation
requires you to have a process in place to considers energy performance
ensure that among other requirements, improvement opportunities when carrying
documents are controlled and changes out these design activities. It does not
identified. cover design of your products.
Similar to ISO 14001 requirements, Where appropriate, you need to
ISO 50001 includes a clause (4.5.5) incorporate the results of an energy
covering operational control. However, performance evaluation into the
the areas of design and procurement are specification, design and procurement
covered in separate clauses within activities of the relevant project(s) and
ISO 50001, giving them more prominence keep records of the design activity.
and detailed requirements than in
ISO 14001.
LRQA Guidance ISO 50001 5
Why is ISO 50001 good for you?
And what you should be aware of when implementing it!
Your organisation has to inform suppliers
that procurement is partly evaluated on
the basis of energy performance when
procuring energy services, products and
equipment that have, or can have, an
impact on significant energy use.
You also need to establish and implement
criteria for assessing energy use,
consumption and efficiency over the
planned or expected operating lifetime
when procuring energy using products,
equipment and services which are
expected to have a significant impact on
your organisations energy performance.
Energy purchasing specifications need to
be defined and documented.
The guidance part of ISO 50001 states
that you can use the specification
proposed by an energy supplier for this
requirement. A good example of a
specification used includes organisations
choosing to specify the use of renewable
sources only for their electricity supply
rather than from any fossil fuel sources.
6 LRQA Guidance ISO 50001
4.6 Checking
Progressing onto the checking part of
the standard, clause 4.6.1 requires your
organisation to monitor, measure and
analyse the key characteristics of your
operations that determine energy
performance. As a minimum these key
characteristics must include those listed in
parts a) to e) of this clause, including EnPIs
and effectiveness of action plans. The
results must be recorded and you will also
need to define and implement an energy
measurement plan.
The level of measurement will vary for
each organisation and could range from
reading utility meters up to complete
software application systems,
consolidating data inputs and delivering
automatic analysis. The measurement level
should be appropriate to the size and
complexity of your organisation. You also
need to make sure that the data you use
is accurate and repeatable, so will need to
calibrate or otherwise verify the
monitoring and measurement equipment
used. Any significant deviations in energy
performance (such as unexpected spikes
in usage) should be investigated and
responded to and there is a need to keep
appropriate records.
As with ISO 14001 and OHSAS 18001
there is a need to evaluate compliance
with legal and other requirements (clause
4.6.2), this time focusing on energy. As
inline with the requirements of other
standards, you will need to plan and carry
out internal audits to ensure that your
system remains effective (clause 4.6.3).
Also you are required to manage
non-conformities, correction, corrective
actions and preventive actions (clause
4.6.4).
The final clause in this section of the
standard covers the control of records
(4.6.5). This is similar to the requirements
within other management system
standards as records need to be
established and maintained in a way that
they remain legible, identifiable and
traceable to the relevant activity.
4.7 Management Review
This clause is similar to the management
review requirements within other common
management system standards such as ISO
9001, ISO 14001 and OHSAS 18001.
The areas to be included as inputs to the
review are clearly described within the
standard, along with the expected
outputs.
Management review is an essential part of
an effective system. It allows top
management to step back and take an
overall look at your system, not only
reviewing if it meets the requirements of
the standard and legal and other
requirements, but also whether it is
suitable for your organisation and is
delivering what you want from your
EnMS. Although it is not specified what
format management review should take,
the majority of organisations use meetings
to review their system to allow discussion
and any necessary actions to be agreed.
The frequency of management reviews
varies from company to company,
normally ranging from monthly to
annually. When first establishing your
system, and while your system remains
immature, you should expect to have
more frequent management reviews,
often monthly or quarterly.
As the system matures the time frames
often move out for full reviews, but more
frequent reviews remain necessary for
some elements, such as energy
performance, audit results and results
from the evaluation of compliance with
legal and other requirements.
Many organisations use some form of
existing management meetings for these
interim management reviews. For your
EnMS your energy team could be used,
with reports going to top management
for review if top management are not part
of the energy team.
Each organisation is unique and you
need to find what works well for your
organisations energy management.
Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

Energy Management
Self-appraisal Questionnaire
This questionnaire is designed to help you
judge whether your Energy Management
System (EnMS) is ready for assessment.
Completing this questionnaire will assist
you in determining if your EnMS is ready
for assessment by LRQA.
Guidance Note
The following questionnaire should be
completed in all sections by answering
Yes or No in the appropriate column.
Please explain NO answers in the space
provided at the end of the questionnaire.

If you are unsure about any of the
questions, please do not hesitate to
contact us. Our free technical helpline can
provide advice about any aspects of this
questionnaire or interpretation of
ISO 50001:2011.
Where there is a specific reference in your
system which addresses this requirement
in your EnMS please record this. This
document is numbered in accordance
with the ISO 50001:2011 document.

No. Question Yes / No Ref. ISO 50001

Clause

Energy Management System General Requirements 4.1

1 Have you:

a) established, documented, implemented, maintained and improved your EnMS?

b) defined and documented the scope and boundaries of your system?
c) determined how your system will meet the requirements of ISO 50001 in
order to achieve continual improvement of your energy performance and
your EnMS?

Management Responsibility 4.2

2 Has your organisations top management demonstrated their commitment to 4.2.1

supporting the EnMS and to continually improve its effectiveness by:
a) defining, establishing, implementing and maintaining an energy policy?
b) appointing a management representative and approving the formation of
an energy management team?
c) providing the resources needed to establish, implement, maintain and
improve the EnMS and the resulting energy performance?
d) identifying the scope and boundaries to be addressed by the EnMS?
e) communicating the importance of energy management to those in
the organisation?
f) ensuring that energy objectives and targets are established?
g) ensuring that the EnPIs (energy performance indicators) are appropriate
to the organisation?
h) considering energy performance in long-term planning?
i) ensuring that the results are measured and reported at determined intervals?
j) conducting management review?

LRQA Guidance ISO 50001 7

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

3 Has the organisations top management appointed a management representative 4.2.2

with the appropriate skills and competence, who, irrespective of other
responsibilities has the responsibility and authority to:
a) ensure the EnMS is established, implemented, maintained, and continually
improved in accordance with ISO 50001?
b) identify person(s), authorised by an appropriate level of management, to work
with the management representative in support of energy management activities?
c) report to top management on energy performance?
d) report to top management on the performance of the EnMS?
e) ensure that the planning of energy management activities is designed to
support your organisations energy policy?
f) define and communicate responsibilities and authorities in order to facilitate
effective energy management?
g) determine criteria and methods needed to ensure that both the operation
and control of the EnMS are effective?
h) promote awareness of the energy policy and objectives at all levels of
your organisation?

Energy Policy 4.3

4 Do you have an energy policy which states your organisations commitment to 4.3
achieving energy performance improvement?

5 Has your top management defined the energy policy and ensured that it: 4.3
a) is appropriate to the nature and scale of your organisations energy use
and consumption?
b) includes a commitment to continual improvement in energy performance?
c) includes a commitment to ensure the availability of information and of
necessary resources to achieve objectives and targets?
d) includes a commitment to comply with applicable legal requirements and
other requirements to which your organisation subscribes related to your
energy use, consumption and efficiency?
e) provides the framework for setting and reviewing energy objectives
and targets?
f) supports the purchase of energy-efficient products and services, and
design for energy performance improvement?
g) is documented and communicated at all levels within your organisation?
h) is regularly reviewed, and updated as necessary?

Energy Planning 4.4

6 Has your organisation conducted and documented an energy planning process? 4.4.1

7 Was the energy planning consistent with your energy policy and will it lead to 4.4.1
activities that continually improve energy performance?

8 Did energy planning involve a review of your organisations activities that can 4.4.1
affect energy performance?

9 Has your organisation identified, implemented and have access to the applicable 4.4.2
legal requirements and other requirements to which your organisation subscribes
related to your energy use, consumption and efficiency?

8 LRQA Guidance BS 25999

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

10 Has your organisation determined how these requirements apply to your 4.4.2
energy use, consumption and efficiency and ensured that these legal
requirements and other requirements to which you subscribe are considered in
establishing, implementing and maintaining your EnMS?

11 Are legal requirements and other requirements reviewed at defined intervals? 4.4.2

12 Has your organisation developed, recorded, and maintained an energy review? 4.4.3

13 Has the methodology and criteria used to develop the energy review
been documented? 4.4.3

14 When the energy review was developed, did your organisation: 4.4.3
a) analyse energy use and consumption based on measurement and
other data, i.e.
identify current energy sources?
evaluate past and present energy use and consumption?
b) based on the analysis of energy use and consumption, identify the areas
of significant energy use, i.e.
identify the facilities, equipment, systems, processes and personnel
working for, or on behalf of, the organisation that significantly affect
energy use and consumption?
identify other relevant variables affecting significant energy uses?
determine the current energy performance of facilities, equipment,
systems and processes related to identified significant energy uses?
estimate future energy use and consumption?
c) identify, prioritise and record opportunities for improving energy performance?

15 Is your energy review updated at defined intervals, as well as in response to major 4.4.3
changes in facilities, equipment, systems, or processes?

16 Has your organisation established an energy baseline(s) using the information in 4.4.4
the initial energy review, considering a data period suitable to your organisation's
energy use and consumption?

17 Have changes in energy performance been measured against the energy baseline(s)? 4.4.4

18 Are adjustments to the baseline(s) made in the case of one or more of 4.4.4
the following:
EnPIs no longer reflect organisational energy use and consumption, or
there have been major changes to the process, operational patterns, or
energy systems, or
according to a predetermined method?

19 Is the energy baseline(s) maintained and recorded? 4.4.4

20 Has your organisation identified EnPIs (energy performance indicators) 4.4.5

appropriate for monitoring and measuring your energy performance?

LRQA Guidance ISO 50001 9

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

21 Is the methodology for determining and updating the EnPIs recorded and 4.4.5
regularly reviewed?

22 Are the EnPIs reviewed and compared to the energy baseline as appropriate? 4.4.5

23 Has your organisation established, implemented and maintained documented 4.4.6

energy objectives and targets at the relevant functions, levels, processes or
facilities within your organisation?

24 Have time frames been established for achievement of the objectives and targets? 4.4.6

25 Are the objectives and targets consistent with the energy policy? 4.4.6

26 Are the targets consistent with the objectives? 4.4.6

27 When establishing and reviewing objectives and targets, did your organisation 4.4.6
take into account legal requirements and other requirements, significant energy
uses and opportunities to improve energy performance, as identified in the
energy review?

28 Did it also consider its financial, operational and business conditions, 4.4.6
technological options and the views of interested parties?

29 Has your organisation established, implemented and maintained action plans 4.4.6
for achieving its objectives and targets?

30 Do the action plans include: 4.4.6

designation of responsibility;
the means and time frame by which individual targets are to be achieved;
a statement of the method by which an improvement in energy performance
shall be verified;
a statement of the method of verifying the results?

31 Are the action plans documented, and updated at defined intervals? 4.4.6

Implementation and Operation 4.5

32 Has your organisation used the action plans and other outputs resulting from 4.5.1
the planning process for implementation and operation?

33 Has your organisation ensured that any person(s) working for or on its behalf, 4.5.2
related to significant energy uses, are competent on the basis of appropriate
education, training, skills or experience?

34 Has your organisation identified training needs associated with the control of 4.5.2
your significant energy uses and the operation of your EnMS?

10 LRQA Guidance BS 25999

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

35 Has your organisation provided training or taken other actions to meet these needs? 4.5.2

36 Are appropriate records maintained? 4.5.2

37 Has your organisation ensured that any person(s) working for or on your behalf 4.5.2
are aware of:
a) the importance of conformity with the energy policy, procedures and the
requirements of the EnMS;
b) their roles, responsibilities and authorities in achieving the requirements
of the EnMS;
c) the benefits of improved energy performance;
d) the impact, actual or potential, with respect to energy use and consumption,
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?

38 Has your organisation communicated internally with regard to your energy

performance and EnMS, as appropriate to the size of your organisation? 4.5.3

39 Has your organisation established and implemented a process by which any 4.5.3
person working for, or on behalf of, your organisation can make comments or
suggest improvements to the EnMS?

40 Has your organisation decided whether to communicate externally about your 4.5.3
energy policy, EnMS and energy performance, and documented your decision?

41 If the decision is to communicate externally, has your organisation established 4.5.3

and implemented a method for this external communication?

42 Has your organisation established, implemented and maintained information, in 4.5.4.1

paper, electronic or any other medium, to describe the core elements of the
EnMS and their interaction?

43 Does the EnMS documentation include: 4.5.4.1

a) the scope and boundaries of the EnMS;
b) the energy policy;
c) the energy objectives, targets, and action plans;
d) the documents, including records, required by ISO 50001;
e) other documents determined by your organisation to be necessary?

44 Are the documents required by ISO 50001 and the EnMS controlled? 4.5.4.2

45 Does this include technical documentation where appropriate? 4.5.4.2

LRQA Guidance ISO 50001 11

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

46 Has your organisation established, implemented and maintained procedure(s) to: 4.5.4.2
a) approve documents for adequacy prior to issue;
b) periodically review and update documents as necessary;
c) ensure that changes and the current revision status of documents
are identified;
d) ensure that relevant versions of applicable documents are available at
points of use;
e) ensure that documents remain legible and readily identifiable;
f) ensure documents of external origin determined by the organisation to be
necessary for the planning and operation of the EnMS are identified and
their distribution controlled;
g) prevent the unintended use of obsolete documents, and suitably identify
those to be retained for any purpose?

47 Has your organisation identified and planned those operations and maintenance 4.5.5
activities which are related to your significant energy uses and that are consistent
with your energy policy, objectives, targets and action plans, in order to ensure
that they are carried out under specified conditions, by means of the following:
a) establishing and setting criteria for the effective operation and maintenance
of significant energy uses, where their absence could lead to a significant
deviation from effective energy performance;
b) operating and maintaining facilities, processes, systems and equipment, in
accordance with operational criteria;
c) appropriate communication of the operational controls to personnel
working for, or on behalf of, your organisation?

48 Does your organisation consider energy performance improvement opportunities 4.5.6

and operational control in the design of new, modified and renovated facilities,
equipment, systems and processes that can have a significant impact on your
energy performance?

49 Are the results of the energy performance evaluation incorporated where 4.5.6
appropriate into the specification, design and procurement activities of the
relevant project(s)?

50 Do you record the results of the design activity? 4.5.6

51 When procuring energy services, products and equipment that have, or can 4.5.7
have, an impact on significant energy use, does your organisation inform
suppliers that procurement is partly evaluated on the basis of energy performance?

52 Has your organisation established and implemented the criteria for assessing 4.5.7
energy use, consumption and efficiency over the planned or expected operating
lifetime when procuring energy using products, equipment and services which
are expected to have a significant impact on your organisation's energy
performance?

53 Has your organisation defined and documented energy purchasing specifications, 4.5.7
as applicable, for effective energy use?

12 LRQA Guidance ISO 50001

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

Checking 4.6

54 Has your organisation ensured that the key characteristics of your operations 4.6.1
that determine energy performance are monitored, measured and analysed at
planned intervals?

55 Do your key characteristics include at a minimum: 4.6.1

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;
e) evaluation of actual versus expected energy consumption?

56 Are the results from monitoring and measurement of your key 4.6.1
characteristics recorded?

57 Is an energy measurement plan, appropriate to the size and complexity of 4.6.1

your organisation and its monitoring and measurement equipment,
defined and implemented?

58 Has your organisation defined and periodically reviewed your measurement needs? 4.6.1

59 Has your organisation ensured that the equipment used in monitoring and 4.6.1
measurement of key characteristics provides data which are accurate
and repeatable?

60 Do you maintain records of calibration and other means of establishing accuracy 4.6.1
and repeatability?

61 Does your organisation investigate and respond to significant deviations in 4.6.1

energy performance?

62 Do you maintain results of these activities? 4.6.1

63 At planned intervals, does your organisation evaluate compliance with legal 4.6.2
requirements and other requirements to which you subscribes related to your
energy use and consumption?

64 Do you maintain records of the results of the evaluations of compliance? 4.6.2

65 Does your organisation conduct internal audits at planned intervals to ensure 4.6.3
that the EnMS:
conforms to planned arrangements for energy management including
the requirements of ISO 50001;
conforms with the energy objectives and targets established;
is effectively implemented and maintained, and improves energy performance?

LRQA Guidance ISO 50001 13

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

66 Have you developed an audit plan and schedule taking into consideration the 4.6.3
status and importance of the processes and areas to be audited as well as the
results of previous audits?

67 Does the selection of your auditors and the conduct of your audits ensure 4.6.3
objectivity and impartiality of your audit process?

68 Are records of your audit results maintained and reported to top management? 4.6.3

69 Does your organisation address actual and potential nonconformities by making 4.6.4
corrections, and by taking corrective action and preventive action, including
the following:
a) reviewing nonconformities or potential nonconformities;
b) determining the causes of nonconformities or potential nonconformities;
c) evaluating the need for action to ensure that nonconformities do not
occur or recur;
d) determining and implementing the appropriate action needed;
e) maintaining records of corrective actions and preventive actions;
f) reviewing the effectiveness of the corrective action or preventive action taken?

70 Are your corrective actions and preventive actions appropriate to the magnitude 4.6.4
of the actual or potential problems and the energy performance consequences
encountered?

71 Does your organisation ensure that any necessary changes are made to the EnMS? 4.6.4

72 Has your organisation established and maintained records, as necessary, to 4.6.5

demonstrate conformity to the requirements of its EnMS and of ISO 50001,
and the energy performance results achieved?

73 Has your organisation defined and implemented controls for the identification, 4.6.5
retrieval and retention of records?

74 Do you ensure your records shall be and shall remain legible, identifiable and 4.6.5
traceable to the relevant activity?

Management Review 4.7

75 At planned intervals, do your top management review your organisation's 4.7.1

EnMS to ensure its continuing suitability, adequacy and effectiveness?

76 Do you maintain records of management review? 4.7.1

14 LRQA Guidance ISO 50001

Why is ISO 50001 good for you?
And what you should be aware of when implementing it!

No. Question Yes / No Ref. ISO 50001

Clause

77 Do the inputs to your management review include: 4.7.2

a) follow-up actions from previous management reviews;
b) review of the energy policy;
c) review of energy performance and related EnPIs;
d) results of the evaluation of compliance with legal requirements and
changes in legal requirements and other requirements to which the
organisation subscribes;
e) the extent to which the energy objectives and targets have been met;
f) EnMS audit results;
g) the status of corrective actions and preventive actions;
h) projected energy performance for the following period;
i) recommendations for improvement?

78 Do the outputs from your management review include any decisions 4.7.3
or actions related to:
a) changes in the energy performance of the organisation;
b) changes to the energy policy;
c) changes to the EnPIs;
d) changes to objectives, targets or other elements of the EnMS, consistent
with the organisation's commitment to continual improvement;
e) changes to allocation of resources?

Notes

LRQA Guidance ISO 50001 15

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