I m p l e m e n ti n g and I m p ro vi n g M a n a g e m e n t S yste m an E n e rg y I m pl em en ti n g a n d I m provi n g a n E n erg y M a n a g em en t S ystem H o w to I SO M e e t th e Re q u i re m e n ts o f 0001 Graham Wooding and Kit Oung F i rst p u b l i sh e d in th e U K i n 01 By B SI S ta n d a rd s Li m i te d 89 Ch i s wi ck H i g h Lo n d o n © Th e Al l Ro a d W4 4AL B ri ti sh S ta n d a rd s I n s ti tu ti o n ri g h ts re s e rve d Act 8 , s yste m no E xce p t a s p e rm i tte d p a rt o f th i s p u b l i ca ti o n o r tra n s m i tte d re co rd i n g in o r o th e rwi se Wh i l st e ve ry ca re a cce p ts n o a n y fo rm ta ke n wi th re l i a n ce in on in d e ve l o p i n g g et i n m a d e to to u ch wi th Th e ri g h t o f G h a m wo rk h a s b e e n Co p yri g h t, tra ce a l l th e B S I we b s i te s i s , Wo o d i n g a s se rte d D esi g n s a n d o r wi l l and b y th e m to in in a th e to a cco rd a n ce th i s p u b l i ca ti o n , G re a t B ri ta i n th e e xte n t th a t su ch a n yo n e cl a i m i n g and a ccu te b y B e rfo rts G ro u p , a s th e a u th o rs o f th i s S e cti o n s 7 and www b e rfo rts co u k fro m th e th a t o r a p p ro p ri a te b e i d e n ti fi e d wi th or d o e s n o t g u a n te e – l e tte rp a rt co m fo r th i s b o o k i s a va i l a b l e - 0- 0- 6 - l i a b i l i ty a b o ve a d d re s s British Library Cataloguing in Publication Data I SB N B SI d i re ctl y o r i n d i re ctl y i n Pa te n ts Act 8 Pri n te d re co rd p u b l i sh e r o r a ccu cy o f U RLs fo r e xte rn a l Ki t O u n g F ru ti g e r b y Le tte rp a rt Li m i te d A ca ta l o g u e Pa te n ts re tri e va l p h o to co p yi n g , fro m co m p i l i n g a ri s i n g th i s b o o k, re m a i n , Typ e s e t i n in wri ti n g co p yri g h t h o l d e rs , a t th e re sp o n si b i l i ty fo r th e p e rsi s te n ce s u ch and ca u s e d , i ts co n te n ts e xce p t to th i rd - p a rty i n te rn e t we b s i te s re fe rre d a n y co n te n t o n in in l a w Wh i l e e ve ry e ffo rt h a s b e e n co p yri g h t sh o u l d D esi g n s a n d s to re d o r b y a n y m e a n s – e l e ctro n i c, – wi th o u t p ri o r p e rm i ss i o n h a s been m a y n o t b e e xcl u d e d has no u n d e r th e Co p yri g h t, m a y b e re p ro d u ce d , l i a b i l i ty fo r a n y l o ss o r d a m a g e co n n e cti o n B SI 01 B ri ti s h Li b ry o f th e Con ten ts Pre fa ce ix Ab o u t th e a u th o rs xi i I n tro d u cti o n xi i i Pa rt A – U n d ersta n d i n g I S O sta n d a rd s Ch a pter – I S O sta n d a rd s I n tro d u cti o n Wh a t i s a s ta n d a rd ? Typ e s o f I S O Te ch n i ca l sta n d a rd M a n a g em en t a n d Do co m m i tte e s – th e o wn e rs o f I S O l e a d e rsh i p sta n d a rd s s ta n d a rd s n o t s cu ttl e Cl a ssi fyi n g th e co n te n t o f I S O s ta n d a rd s Ch a pter – Term i n ol og y I n tro d u cti o n S p e ci a l Th e l a n g u a g es i m p o rta n ce Co m m o n o f te rm s a n d wo rd s u se d in th e d e fi n i ti o n s I SO 9000 se ri e s o f s ta n d a rd s Ch a pter – A bi rd ’s eye vi ew of I S O 0001 I n tro d u cti o n Th e I SO 0001 7 m a n i fe sto Ch a pter – Con form i ty a ssessm en t 21 I n tro d u cti o n 21 Co n fo rm i ty a sse ssm e n t 22 Ch a pter – Attesta ti on (or h ow to sa y th a t you com pl y) 27 I n tro d u cti o n 27 Wh a t i s ‘ a tte sta ti o n ’ ? 27 Ce rti fyi n g 28 bod i es Wh a t a b o u t ‘ a u d i ts’ ? 29 Yo u r ch o i ce 29 Wh i ch i s b e st? Wh a t d o e s I S O 30 0001 sa y a b o u t a tte s ta ti o n ? Implementing and Improving an Energy Management System 31 v Ch a pter – Provi d i n g th e evi d en ce 33 I n tro d u cti o n 33 E vi d e n ce re q u i re s m o re Wh a t wi l l th a n d o cu m e n ta ti o n 33 a u d i to rs l o o k fo r? 33 Ch a pter – D ocu m en ta ti on 41 I n tro d u cti o n 41 Wh a t d o e s ‘ d o cu m e n ta ti o n ’ Wh a t d o cu m e n ts m u st I Al l re fe re n ce s i n I SO m ea n ? 42 0001 : 01 Wh a t i s m e a n t b y ‘ co n tro l l e d ’ Ch a pter – At l a st! 41 ke e p ? to d o cu m e n ta ti o n 43 d o cu m e n ts? 52 G etti n g sta rted – th e I S O process a pproa ch 55 I n tro d u cti o n Th e Wh y i s th e cycl e Th e 55 p ro ce ss a p p ro a ch so d i ffe re n ce and th e PD CA cycl e b e twe e n th e – wh a t i s th e p ro ce ss a p p ro a ch i m p o rta n t? PD CA a n d I m p l e m e n ti n g I SO th e d i ffe re n ce ? and th e 56 PD CA 57 00 59 p ro ce ss 61 Pa rt B – U n d ersta n d i n g core tech n i ca l pri n ci pl es 67 I n tro d u cti o n 67 to Pa rt B Ch a pter – E n erg y effi ci en cy 69 I n tro d u cti o n 69 E n e rg y e ffi ci e n cy 69 E n e rg y e ffi ci e n cy i m p ro ve m e n t m e a su re s 70 Pu tti n g 75 it all to g e th e r Ch a pter – E n erg y perform a n ce I n tro d u cti o n 77 E n e rg y p e rfo rm a n ce d e fi n e d E n e rg y p e rfo rm a n ce ta ke n U si n g e n e rg y p e rfo rm a n ce Ch a pter 1 77 77 a p a rt 78 to 80 yo u r a d va n ta g e – M ea su rem en t 83 I n tro d u cti o n 83 Wh a t i s m e a su re m e n t? 83 Po i n ts o f re fe re n ce 84 Th e 85 i m p o rta n ce o f ch a cte ri s ti cs B a se l i n e s 87 E n e rg y p e rfo rm a n ce Ap p l e s a n d An d i n d i ca to rs p e a rs fi n a l l y 92 93 Pa rt C – I m pl em en ti n g I S O 0001 vi 89 95 Implementing and Improving an Energy Management System Ch a pter – H ow to u se Pa rt C 97 Co n te xt An d 97 fi n a l l y 00 Ch a pter – S cope of I S O 0001 01 Ch a pter – 1 05 G en era l req u i rem en ts Ch a pter – M a n a g em en t respon si bi l i ty 09 To p 09 M a n a g e m e n t re p re se n ta ti ve m a n a g em en t 1 Ch a pter – E n erg y pol i cy 23 Ch a pter – 4 E n erg y pl a n n i n g 29 4 1 29 G e n e l 4 Le g a l 4 E n e rg y re vi e w re q u i re m e n ts a n d o th e r re q u i re m e n ts 32 36 4 E n e rg y b a se l i n e 4 55 E n e rg y p e rfo rm a n ce 4 E n e rg y o b j e cti ve s, a cti o n i n d i ca to rs 60 e n e rg y ta rg e ts a n d e n e rg y m a n a g e m e n t pl a n s 64 Ch a pter – I m pl em en ta ti on a n d opera ti on 73 G e n e l 73 Co m p e te n ce , Co m m u n i ca ti o n 79 D o cu m e n ta ti o n 84 O p e ti o n a l tra i n i n g and a wa re n e ss 74 co n tro l 90 D e si g n 93 Pro cu re m e n t o f e n e rg y se rvi ce s, p ro d u cts , eq u i pm en t a n d e n e rg y 97 Ch a pter – Ch ecki n g M o n i to ri n g , E va l u a ti o n 03 m e a s u re m e n t a n d o f co m p l i a n ce wi th a n a l ysi s l eg a l 03 re q u i re m e n ts a n d o th e r re q u i re m e n ts I n te rn a l 21 a u d i t o f th e N o n co n fo rm i ti e s , EnMS co rre cti o n , 21 co rre cti ve a cti o n and p re ve n ti ve a cti o n Co n tro l 21 o f re co rd s 222 Ch a pter – M a n a g em en t revi ew 227 227 G e n e l Appen d i x A – Term s a n d d efi n i ti on s i n I S O 0001 Implementing and Improving an Energy Management System 231 vi i Appendix B – The meanings of common words used in management system standards Appendix C – Bibliography vi i i 239 49 Implementing and Improving an Energy Management System Ap p e n d i x B co m m o n syste m Th e u se p u rp o se o f th i s a p p e n d i x i s to of I SO if a bei n g wo rd ‘ te rm ’ o f th e H o we ve r, and th e h a s been I SO h a s n o t p ro vi d e d so m e ti m e s o n e I SO 0 (two u se th e a I SO o f th e so a ppl i ed to ca n u se th e m th e se in th e it a n y a sse ss m e n t o f p ro b l e m wi th co m m o n se e n g re a t ca re p ro vi d e th e se so m e co m m o n co m m o n as th i s i s th a t wo rd s i s 9001 wa s ta ke n and to co n si s te n t wo rd s wo rd s we re p u b l i sh e d at d i cti o n a ry m e a n i n g s a re re p e a te d F o r yo u r b e l o w, so th a t yo u a s a p p ro p ri a te Word a cco rd a n ce th e n Th i s i s wh y Ap p e n d i x A h ttp : //i so tc i so o rg /l i ve l i n k/l i ve l i n k/o p e n /tc1 S C2 p u b l i c co n ve n i e n ce , th e te rm i n o l o g y i s d e ve l o p m e n t o f I S O M S S s) , a s to d i cti o n a ry m e a n i n g s o f th e s e Th e o f th e se th e co n ce p ts b e h i n d fre e l y a va i l a b l e on m e a n s, d e fi n i ti o n , 0001 co m m o n D u ri n g wo rd s, wo rd d e fi n i ti o n s fo r wo rd s th a t a re m o st wi d e l y u se d E n g l i sh d e a l s wi th th i n k a fo rm a l be fu rth e r a d vi ce sta n d a rd s (M S S s) 50001 re a d e r’s u n d e rsta n d i n g ‘ co rre ct’ so m e h ow I SO g i ve n to and o th e r re a d e rs ’ o f th e u n d e rs ta n d i n g yo u i t i s th i s th a t wi l l te rm s a p p l i ca b l e d i ffe re n t fro m a re g i ve re q u i re m e n ts o f I S O g e n e l l y u n d e rs to o d S e l e cte d m a n a g em en t m a n a g e m e n t syste m I t d o e s n ’t m a tte r wh a t yo u co n fo rm i ty wi th l i sts a l l I SO e xp l a i n s th a t u n d e rsta n d i n g b e co m e s a in sta n d a rd s ve ry i m p o rta n t wo rl d m ea n i n g s of wo rd s u se d o f te rm i n o l o g y a n d Ch a p te r and – Th e Meaning n ou n (i n a cco rd a n ce co n fo rm i n g in wi th ) in a m a n n er wi th a cti vi ty n ou n a cti o n p u rsu i t o f a n a d e q u a cy n ou n su ffi ci e n cy to a d j u s tm e n t n ou n a ct o f m a ki n g sa ti sfy a o b j e cti ve re q u i re m e n t s o m e th i n g to m a tch a sta n d a rd Implementing and Improving an Energy Management System 239 Appendix B – The meanings of common words used in management system standards Word Meaning analysis noun detailed examination of the elements or structure of something applicable adjective relevant appropriate adjective suitable (for, to) assess verb determine the value of authority noun power to command or give a final decision; body that has legal powers and rights available adjective able to be used or obtained awareness noun knowledge or perception of a situation or fact calibration noun act of aligning the accuracy of a measuring equipment to a known standard commitment noun state of being dedicated to a cause or policy communication noun action of sharing or exchanging information or ideas complaint noun an expression of dissatisfaction, displeasure or discontent comply verb (person or organization) meet specified standards confirm verb support or establish the certainty or validity of conform verb (item) meet specified requirements; to act in accordance with prevailing standards or customs 240 Implementing and Improving an Energy Management System Appendix B – The meanings of common words used in management system standards Word Meaning consistent adjective (consistent with) conforming to or in agreement with; coherent with consistently adverb unchanging over time control noun power to direct, restrain or regulate; means of restraining or regulating control verb direct, restrain or regulate; restrain or regulate data noun facts used for reference or analysis define verb state or describe exactly the nature, scope or meaning of demonstrate verb show clearly with objective evidence deploy verb put into use or action deployment noun implementation determine verb establish or find out with certainty by research, examination or calculation disposition noun action of dealing with things in a particular way distribution noun act of allocating to recipients documentation noun a set of documents, for example specifications and records, is frequently called ’documentation’ enhance verb improve the quality, value or extent of ensure verb make certain of essential adjective absolutely necessary Implementing and Improving an Energy Management System 241 Appendix B – The meanings of common words used in management system standards Word Meaning e sta b l i sh ve rb set u p e va l u a te ve rb s yn o n ym : e xcl u si o n n ou n i te m a sse s s o r e ve n tu a l i ty sp e ci fi ca l l y n o t co ve re d e xp e cta ti o n n ou n b e l i e f a b o u t (o r m e n ta l th e fu tu re ; wi s h i n g p i ctu re wi th o f) co n fi d e n ce o f fu l fi l m e n t e xp e ri e n ce n ou n p cti ca l co n ta ct wi th o b se rva ti o n fa ci l i ta te ve rb m a ke e a sy o r e a si e r; fo rwa rd fe e d b a ck n ou n (a n a cti o n , i n fo rm a ti o n p ro d u ct, ta sk, a e tc , and o f fa cts a n d g i ve n e ve n ts p ro m o te , re su l t, in h el p e tc ) re sp o n se to p e rso n ’s p e rfo rm a n ce u se d as a a of a b a si s fo r i m p ro ve m e n t fo cu s n ou n ce n tre o f i n te re st o r a cti vi ty fra m e wo rk n ou n e s se n ti a l su p p o rti n g o r u n d e rl yi n g s tru ctu re fu n cti o n a l a d j e cti ve d e si g n e d h a rd wa re n ou n See th e I SO 00 : 0 i d e n ti fi a b l e a d j e cti ve to be p cti ca l d e fi n i ti o n re co g n i z a b l e and u se fu l o f ’ p ro d u ct’ cl a u s e th ro u g h in a unique ch a cte ri sti c i d e n ti fy ve rb e s ta b l i s h th e i d e n ti ty o f so m e o n e or som ebod y i m p a rti a l i ty n ou n s ta te of bei n g wi th o u t p re j u d i ce or bi a s i m pl em en t 42 ve rb p u t i n to e ffe ct o r p cti ce Implementing and Improving an Energy Management System Appendix B – The meanings of common words used in management system standards Word Meaning improvement noun action or process of making or becoming better independent adjective not connected with another; separate; not subject to another’s authority integrity noun state of being whole; the condition of being unified or sound in construction irrespective adjective in spite of; without regard to justification noun evidence proving that something is right or reasonable legible adjective possible to be read by a person or a machine for intended use liaison noun communication or cooperation between people or organizations maintain verb cause or enable (a condition or state of affairs) to continue maintenance noun process or state of keeping (a system, service, building, machine, etc.) in good order by checking or repairing it regularly measurable adjective able to be measured measure verb ascertain size, amount, or performance of (something) by comparison with a standard unit or with an object of known size methodology noun system of methods used in a particular field monitor verb observe and check over a period of time; maintain regular close observation over Implementing and Improving an Energy Management System 243 Appendix B – The meanings of common words used in management system standards Word Meaning necessary adjective required to be done, achieved or present need noun a lack of something that is required objective noun something to be achieved objective adjective not influenced by personal feelings or opinions in considering or representing facts obsolete adjective no longer produced or used; out of date origin noun point at which something begins or arises outsource verb obtain goods or services from an outside supplier when considered as an alternative to carry out the associated process within the own organization perception noun way of regarding, understanding or interpreting something performance noun the ability to achieve something; the achievement itself periodic adjective recurring or reappearing at regular intervals physical adjective tangible or concrete plan noun scheme, programme or method worked out beforehand for the accomplishment of an objective plan verb decide on and arrange in advance 244 Implementing and Improving an Energy Management System Appendix B – The meanings of common words used in management system standards Word Meaning practicable adjective capable of being done with means at hand and circumstances as they are preservation noun action or act of maintaining something in its original or existing state previous adjective existing or occurring before something else in time or in order process approach noun systematic identification and management of the processes employed within an organization and particularly the interactions between such processes promote verb further the progress of, support or encourage property noun thing or things belonging to a person, persons or organization protect verb keep safe from damage realization noun action of achieving something desired or anticipated; fulfilment recognize verb be fully aware of; perceive or show acceptance of the validity or reality of something regulatory adjective required, permitted or enacted by a rule or directive passed by an authority relevant adjective closely connected or appropriate to the matter in hand require verb express need essential to the fulfilment of something Implementing and Improving an Energy Management System 245 Appendix B – The meanings of common words used in management system standards Word Meaning re so u rce n ou n s to ck o r s u p p l y o f m a te ri a l s, a sse ts o r p e rs o n n e l re sp o n si b i l i ty n ou n ta sk wh i ch a i s re q u i re d to of a re sp o n si b l e a d j e cti ve j ob, h a vi n g ro l e an re ta i n ve rb o r o rg a n i z a ti o n o r co n tro l or l eg a l o b l i g a ti o n s o m e th i n g ca re p e rso n o r h a vi n g a s p a rt o b l i g a ti o n to co n tro l o ve r o r fo r s o m e o n e ke e p p o sse s si o n d i sca rd o f; n ot a bol i sh , o r a l te r re tri e va b l e a d j e cti ve ca p a b l e of bei n g sa fe g u a rd ve rb p ro te ct o r p re ve n t so m e th i n g u n d e si b l e sco p e n ou n (fro m e xte n t o f th e se q u e n ce n ou n a h a ppen i n g ) a re a th a t so m e th i n g wh i ch b ro u g h t b a ck o r su b j e ct m a tte r d e a l s wi th o r to i t i s re l e va n t p a rti cu l a r o rd e r i n e ve n ts, m o ve m e n ts , wh i ch e tc , re l a te d fo l l o w e a ch o th e r ski l l n ou n so ftwa re n ou n a b i l i ty to s o m e th i n g we l l See d e fi n i ti o n o f ’ p ro d u ct’ I SO 00 : 0 cl a u s e sp e ci fi c a d j e cti ve o f o r re l a ti n g sp e ci fy ve rb s ta te sta tu to ry a d j e cti ve re q u i re d , e xp l i ci tl y, wri tte n th e to a p a rti cu l a r s u b j e ct cl e a rl y a n d p e rm i tte d l a w p a sse d p o we r to in m a ke d e fi n i te l y o r e n a cte d by a by a b o d y h a vi n g l a ws [ S e e a l so re g u l a to ry] 46 Implementing and Improving an Energy Management System Appendix B – The meanings of common words used in management system standards Word Meaning strategy noun systematic plan of action to achieve an aim suitability noun characteristic of something that is right or appropriate for a particular purpose suitable adjective appropriate (for a particular purpose) supply verb make available for use systematic adjective done or acting according to a system training noun act of developing a particular skill or type of behaviour through demonstration, instruction and practice unambiguous adjective having only one meaning utilities noun services such as gas, water, electricity, telecommunication, etc validate verb carry out validation validity noun conformity to fact, accuracy or precision verify verb carry out verification workspace noun area in which work is performed Implementing and Improving an Energy Management System 247 Ap p e n d i x C – B i b l i o g p h y European Law Co u n ci l Re g u l a ti o n (E C) No 47 /2 0 sp e ci fi c a cce s s re q u i re m e n ts a n d fi sh i n g fo r d e e p -se a D I RE CTI VE OF TH E O cto b e r 2 0 /1 /E C a n d D e ce m b e r 0 e sta b l i sh i n g co n d i ti o n s a p p l i ca b l e to sto cks 2 /2 /E U CO U N CI L o f of a ss o ci a te d /3 /E U E U RO PE AN on and PARLI AM E N T AN D e n e rg y e ffi ci e n cy, re p e a l i n g a m en d i n g OF TH E D i re cti ve s D i re cti ve s 0 4/8 /E C a n d 0 /3 /E C Standards publications Project management – Principles and guidelines for the management of projects BS -1 : , BS EN I SO 9000: 005 , BS EN I SO 001 : 008, vocabulary Quality management systems – Fundamentals and Quality management systems – Requirements Environmental management systems – Requirements with guidance for use BS EN I SO 40 : 0 4, I S O /I E C 0 : 0 4, principles Conformity assessment – Vocabulary and general Conformity assessment – Requirements for bodies providing audit and certification of management systems BS EN I S O /I E C : 1 , Occupational health and safety management systems – Requirements BS O H S AS 8001 : 007 , BS EN 901 : 01 , I SO Guidelines for auditing systems Environmental management – Life cycle assessment – Principles and framework BS EN I SO 40 40 : 0 , BS I SO 6000: 01 0, BS I SO 000: 009, Guidance on social responsibility Risk management – Principles and guidelines Implementing and Improving an Energy Management System 49 Appendix C – Bibliography BS EN I SO 0001 : 01 , guidance for use I S O /D I S Energy management systems – Requirements with Energy audits 0002 , Energy management systems – Requirements for bodies providing audit and certification of energy management systems I S O /CD 0003 , Energy management systems – Guidance for the implementation, maintenance and improvement of an energy management system I S O /CD 0 4, Energy baseline and energy performance indicators (EnPIs) – General principles and guidance I S O /CD 0006, Monitoring, measurement, analysis and verification of organizational energy performance I S O /CD I SO 001 , 00 0 - : 0 , Quantities and units – Part 1: General I S O pu bl i ca ti on s I S O /I E C G u i d e vocabulary, : 0 4, G e n e va , Standardization and related activities − General I SO Rules for the structure and drafting of International Standards, 6th Edition (2 01 ) I S O /I E C D i re cti ve s Pa rt , G e n e va : I SO ISO 9000 Introduction and support package: guidance on the concept and use of the process approach for management systems, G e n e va : I SO O th er Ve sm a , V (2 ) Lo n d o n : Energy Management Principles and Practice, 2nd Edition, B SI Energy Management in Business: The Manager’s Guide to Maximising and Sustaining Energy Reduction, Ou n g , K (2 ) F l e e t: (2 0 ) Shorter Oxford English Dictionary Fifth Edition, B a rry N S ys te m 250 G o we r Ta yl o r a n d o f U n i ts (S I ) , Am b l e r Th o m p so n , E i g h th E d i ti o n , E d i to rs (2 0 ) Wa sh i n g to n : N e w Yo rk: Th e O U P I n c I n te rn a ti o n a l N I ST Implementing and Improving an Energy Management System