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ISO 50001:2011 Energy Management Systems,

Self Audit Checklist

This checklist is intended to give you some idea about how far away from a fully
implemented energy management system (EnMS) your current system is. It is not
intended to be a comprehensive review but more of a quick guide to gauge if you are
currently on the right path to ISO 50001:2011.
ISO 50001:2011 does not set absolute energy performance criteria but it does
require you to demonstrate a commitment to continual improvement of energy
performance (defined as measurable results related to energy efficiency, energy
use and energy consumption) and you will need to have completed an energy review
and established a baseline from the energy review using a data period suitable to the
organizations energy use and consumption. If you already have an environmental
management system in place (ISO 14001:2004) then there are several similarities to
this standard but the requirement to establish a baseline and energy performance
indicators (EnPIs) does make this standard stronger in establishing and delivering
energy performance improvements than in ISO 14001:2004.
The items below are a summary of the requirements of the standard with my
interpretation below and comments. Following my guide will not mean that you will
achieve certification to ISO 50001:2011. You will need to implement the system and
ensure that all interrelations between the clauses are working and the system is
delivering improvement in energy performance over time. As with all systems it is
the iterative nature of the process that delivers improvement and this usually takes a
period of time to develop and produce results.
This guide is produced free of charge for reference with no guarantee as to accuracy
or completeness. You may use it as a quick reference guide but should you require
detailed information about any individual aspect of ISO 50001:2011 then please call
me direct on 07790147084 to discuss in further detail.

General Requirements
1. Have you established, documented and implemented an EnMS that meets all
the clauses of ISO 50001:2011?
2. Have you defined the scope of the EnMS with regards to physical site limits
and organizational boundaries and also considered the extent of business
activities, facilities and decisions that may include several boundaries e.g.
purchasing activities off-site?
I say - It might seem obvious but if you havent complied with all of the
requirements in the standard then you will not have implemented a complete
system. The decisions about boundary and scope are important as in many
organizations the manufacturing site may not have any influence over say
purchasing or design decisions at a Head Office located elsewhere.

Energy Review
1. Have you developed & documented a robust methodology for producing an
energy review that can be repeated/updated?
2. Have you produced an energy review to include an analysis of energy use and
consumption based on direct measurement and other data?
3. Have all current energy sources been identified?
4. Has the review considered past and present energy use?
5. Does the review identify areas of significant energy use and consumption?
6. Does the review identify facilities and other equipment, systems and
processes & people working for or on behalf of the organization who can
affect energy use and consumption?
7. Have all other variables affecting significant energy use been identified
8. Has the review determined the current energy performance of facilities,
equipment, systems and processes related to significant energy use (Note
Significant energy use is defined as energy use accounting for substantial
energy consumption and/or offering considerable potential for energy
performance improvement).
9. Has the review included estimates of future energy use and consumption?
10. Does the review identify, prioritise and record opportunities for improving
energy performance?

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I say A comprehensive review to include asset registers and equipment lists

alongside previous energy consumption data is vitally important in order to be able
to identify where the areas of significant energy use are. This must be done first
before you attempt to write any policy.

Energy Baseline
1. Based on the energy review has an energy baseline been produced? (changes
in energy performance are measured against this baseline)
2. Has the baseline been maintained and recorded?
I say In order to see if your objectives, targets and action plans are actually
delivering results you will need to put a mark in the sand. Usually a financial or
operating year against which to benchmark future energy performance.
Energy Performance Indicators (EnPIs)
1. Have EnPIs been identified for measuring energy performance e.g.
kWhrs/square foot or kWhrs/widget produced.
2. Has the methodology for determining & updating the EnPIs been recorded
and is it regularly reviewed?
I say How are you going to measure energy performance? You need to set EnPIs
so that figures are recorded and analysed consistently e.g. kWhrs/SqM or
kWhrs/person. Think about these carefully for each objective.
Energy Policy
1. Has an energy policy been documented by top management?
2. Does it include a commitment to continual improvement in energy
performance?
3. Does it include a commitment to ensure the availability of information and of
necessary resources to achieve the energy objective and targets?
4. Does it include a commitment to comply with all legal and other
requirements that the organisation subscribes related to energy use,
consumption and efficiency?
5. Provides a framework for reviewing and setting objectives?
6. Supports the purchase of energy efficient products and services and design
for energy performance improvement?
7. Is documented and communicated throughout the organisation?
8. Is regularly reviewed and updated?
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I say Similar to ISO 14001, however the requirements to ensure availablility of

information and the requirements to ensure it is documented by top management
and supports the purchase of energy efficient products, services and design set it
apart from the environmental standard.

Management Representative
1.
2.
3.
4.

Have top management appointed a management representative?

Who has responsibility for maintaining and establishing the EnMS?
Will report on top management on the performance of the system?
Will ensure that the planning of energy management is designed to meet the
policy?
5. Will promote awareness of the policy?
6. Will Define and communicate responsibilities in order to facilitate effective
energy management?
I say Clear requirements of the management representative.
Top Management
Has top management, (person or group of persons who directs and controls an
organisation at the highest level)
1. Demonstrated its commitment to support the EnMS?
2. Provided resources needed to implement and maintain the EnMS?
3. Communicated the importance of energy management to those in the
organisation?
4. Ensured the EnPIs are appropriate to the organisation?
5. Considered energy performance in long term planning?
6. Ensured that results are measured and reported at determined levels
7. Conducted management reviews?
I say No equivalent clause in ISO 14001. Top management have clear
responsibilities here including providing resources to implement the system (also in
ISO 14001) and the clause is clearly aimed at ensuring top management take part
in management reviews and maintenance of the EnMS.
Legal and Other Requirements
1. Is there a legal register relevant to energy use, consumption and efficiency?
2. Is it reviewed at defined intervals
3. Is there a procedure?
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I say Similar legal register requirements to ISO 14001

Energy Objectives, Targets and Action Plans
1. Are objectives and targets documented and quantified consistent with the
energy policy?
2. Are targets consistent with the objectives?
3. Do the objectives consider the legal obligations and significant energy uses
and opportunities to improve energy performance?
4. Do action plans include named responsibility, deadlines and what is actually
going to happen to meet the objectives?
5. Is there a statement of the method by which an improvement in energy
performance is to be verified?
6. A statement of the method of verifying the actual results?
I say Clear objectives which are quantified and set relative to the baseline with
good EnPIs will give a clear indication of where you wish to go. Clearly defined
action plans saying who is going to do what and when will help move you
towards your goal. Make sure you state how you will verify that these have been
achieved before you verify them.
Implementation & Operation
1. Are you using the energy review, policy, EnPIs, baseline and objectives in the
actual implementation of the system?

Competence, Training & Awareness

1. Have you identified who needs what training in order to implement your
policy and objectives?
2. Are those working on your behalf, related to significant energy use,
competent on the basis of education, training, skills or experience?
3. Do you keep records for the above?
4. Does everyone working for you ..
5. Realize the importance of working to the policy?
6. Their roles in achieving the requirements of the EnMS?
7. The benefits of improved energy performance?
8. How their behaviours can affect energy consumption and how deviation from
procedures in the EnMS can effect achievement of the objectives and
targets?
I say Similar to ISO 14001
Communication
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1. Have you implemented a process by which any person working on your

behalf can suggest improvements or make comments on the EnMS?
2. Have you communicated internally on the requirements of the EnMS?
3. Have you made a decision about communicating externally on your energy
policy? If you have decided that you will have you documented how you will
do this?
I say Consider methods of gathering ideas and suggestion for improvements in
energy performance from employees and others working for the organisation.

Documentation
1. Have you documented the scope, boundaries, policy, objectives, targets,
action plans and all other documents required by the standard?

Document Control
1.
2.
3.
4.
5.

Have you approved documents for adequacy prior to use?

Are they reviewed and updated regularly?
Do documents indicate changes and revision status?
Are the relevant versions available at points of use?
Are documents legible and identifiable?

Operational Control
1. Are all operations and maintenance activities related t significant energy use
carried out under specified conditions by:
2. Setting criteria for operation and maintenance of significant energy uses
where there absence could lead to a deviation of policy or objectives
3. Operating and maintaining facilities, processes and systems in accordance to
operational criteria
4. Have the operational controls been communicated to those working for and
on behalf of the organisation?
I say Similar to ISO 14001, Note: In planning for emergency situations the
organisation may choose to include energy performance in determining how it will
react to these situations.
Design

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1. Has energy performance been considered in the design of new, modified and
renovated facilities, equipment, systems and processes that can have a
significant impact on energy performance?
2. Results of the energy performance evaluation considered in the specification,
design and procurement of the above projects?
3. Have results of the design activity been recorded?

I say New requirement here to ensure that new facilities and projects are
considered for their energy performance prior to implementing or building. Quite a
common sense approach, there is no point in investing in a new energy inefficient
machine or process if it is going to contradict your policy or compromise objectives
to reduce energy efficiency.
Procurement
1. Whilst procuring energy services, products and equipment that can have an
impact on significant energy use, have you told suppliers that procurement is
partly evaluated on the basis of energy performance?
2. Are there procedures & criteria for assessing energy use, consumption and
efficiency over the expected lifetime when procuring energy using products,
equipment and services, which are expected to have a significant impact on
the organizations energy performance?
3. Are procurement procedures and specifications defined and documented?
I say New requirement here too, you need to ensure that suppliers of energy
services, products or equipment, realise that tenders will be evaluated partly by
considering energy use. Part of the policy too, so no getting away from it.
Monitoring, Measurement & Analysis
1. Are the key characteristics of the organizations operations monitored,
measured and analysed? Key characteristics should include.
2. Significant energy use and other outputs of the review
3. Relevant variable relating to energy use
4. EnPIs
5. Effectiveness of action plans in achieving objectives and targets
6. Evaluation of expected Vs actual energy consumption
7. Are all results from monitoring recorded?
8. An energy measurement plan should be defined and implemented
9. Measurement needs should be reviewed regularly and all equipment and
calibration records and other means to establish accuracy and repeatability
should be maintained.
10. Are responses to significant deviations in energy performance investigated
and responded to?
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I say Significant deviations are not non-conformities but rather spikes in energy
consumption or other trends. These are to be expected but must be evaluated and
investigated. The EnMS will generate plenty of data for review and these must be
produced consistently year on year if any trends are to be identified and
comparisons made.

Evaluation of Compliance with Legal and Other Requirements

1. Are legal compliance evaluations conducted in accordance to planned
intervals?
2. Are result recorded?
I say The reason for producing a legal register previously (page 4) is to know
what legislation and other requirements you are supposed to comply with. This
clause ensures you measure your own compliance against them. A self regulatory
check, similar to ISO 14001.
Internal Audits
1. Has an audit plan been scheduled taking into account the importance of
processes and areas to be audited?
2. Are audits being completed?
3. Are internal auditors independent of the process they are auditing?
4. Are audit results recorded and reported to top management?
I say Similar to ISO 14001 You would expect to audit significant energy
processes more often than less energy intensive processes. One of the reasons for a
significance evaluation in the energy review (page 2).
Nonconformities, Correction, Corrective Action & Preventive Action
1. Are actual and potential nonconformities addressed by making corrections
and by taking corrective action and preventive action?
2. Are nonconformities and potential nonconformities reviewed?
3. Are nonconformities reviewed and action needed to prevent them happening
again taken?
4. Is appropriate action determined?
5. Are records kept of corrective and preventive actions?
6. Is the effectiveness of corrective and preventive action reviewed?
7. Is the EnMS changed as a result of corrective action and preventive action
review?

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I say Correction = action to eliminate a detected nonconformity, e.g. a poorly

performing compressor using more energy than it should can be adjusted correctly.
Corrective action = action to eliminate the cause of a detected nonconformity,
e.g. all compressors can be modulated to ensure that they provide the appropriate
response to load as required by inclusion on a maintenance programme.

Records
1. Are all records maintained to demonstrate implementation of the EnMS and
energy performance results achieved?
2. Are procedures in place to determine where and how records are kept and by
whom?
Management Review
1. Do top management review the EnMS at planned intervals?
2. Are records/minutes kept?
3. Do inputs to the review include; actions from previous meetings? Review of
policy? Review of energy performance and EnPIs? Results of legal
compliance evaluation? Extent to which objectives and targets have been
met? Internal audit results? Status of corrective and preventive actions?
Projected energy performance for the following period? Recommendations
for improvement?
4. Do outputs from the review include; Changes in the energy performance of
the organisation? Changes in the energy policy? Changes to the EnPIs?
Changes to objectives, targets and other elements of the system consistent
with continual improvement? Changes to allocation of resources?
I say Clear list of inputs and outputs for the management review process.

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