Information
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💡Throughout this document, the Environment Management system will be referred to as EnMS and Significant Energy Use will be referred to as SEU
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You should use this Gap Analysis as an aid towards confirmation that your management system complies with the requirements of ISO 50001:2018
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💡Please note that this gap analysis is for internal use only and does not result in automatic ISO5001:2018 certification
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Conducted on
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Prepared by
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Location
4. Context of the Organisation
4.1 Understanding the Organization and it's context
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Which analysis tool has been used to determine the context of the organisation?
- SWOT (Strengths, Weaknesses, Opportunities and Threats)
- PESTLE (Political, Economic, Social, Technological, Legal, Environmental)
- What If...
- Other
- None
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What process has been used? (include evidence)
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💡 It is required that the business can demonstrate the external and internal issues that are relevant to
the organisation’s purpose and that affect your ability to achieve the intended outcome(s) of your EnMS and
improve your energy performance. The analysis to determine this can depend on the size of the company. An action should be raised to complete this analysis with the senior leadership teams and representatives from internal interested parties. -
Have the EXTERNAL issues, which could affect the ability to achieve the intended outcome(s) of your EnMS and energy performance been considered?
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Provide evidence of the external issues identified
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Have the INTERNAL issues, which could affect the ability to achieve the intended outcome(s) of your EnMS and energy performance been considered?
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Provide evidence of the internal issues identified
4.2 Understanding the needs and expectations of interested parties
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Has the business identified ‘interested parties’ that are relevant to the energy performance and EnMS?
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💡 It is required that the business can demonstrate the interested parties that are relevant to
the business purpose, including other interested parties that are relevant to energy performance and which of the identified needs and expectations the business addresses through its EnMS. An action should be raised to complete this analysis with the senior leadership teams and representatives. -
Has the business considered and identified relevant legislation regarding energy efficiency, energy use and energy consumption?
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Provide evidence of the identified legislation relevant to the business
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When was the last time the relevant legislation was reviewed?
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There is a requirement within ISO50001 that the relevant legal requirements be reviewed regularly. Environmental legislation changes regularly and a process should be in place to ensure review. An action should be raised to drive the review
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There is a requirement within ISO50001 that the relevant legal requirements be reviewed regularly. Environmental legislation changes regularly and a process should be in place to ensure a regular review.
4.3 Determining the scope of the EnMS
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Has the business identified any boundaries to the scope and applicability of the system? (Provide evidence)
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Does the business have the authority to control the energy efficiency, energy use and energy consumption within the determined scope and boundaries?
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There is a requirement within ISO50001 that the boundaries to the scope of the EnMS be identified and monitored
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It is not permissible to exclude any energy types within the scope and boundaries
4.4 Energy Management System
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Has a process-driven approach been adopted when developing, implementing and improving the effectiveness of the EnMS?
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Provide evidence (an example) of a process within the EnMS
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To comply with this clause you will need to establish, implement, maintain and continually improve your
EnMS. This now requires the adoption of a process approach. Although every organisation will be different,
documented information such as written methods and procedures could support this.
5. Leadership
5.1 Leadership and commitment
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Is top management involved in the EnMS preparation and continued review via regular meetings/ agenda item on top management meetings?
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To comply with ISO5001, top management must be able to demonstrate leadership and commitment with respect to the involvement of the business's energy performance and the effectiveness of the EnMS. This can be achieved through regular meetings with recorded minutes. Raise an action here to initiate these meetings.
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Provide evidence of the EnMS being discussed at opt management meetings
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Does Top management ensure that the EnMS requirements are integrated into the business's processes (including setting targets and objectives with regards to Energy Management)?
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To comply with ISO5001, top management must be able to demonstrate that the EnMS is integrated into the organisation’s business processes and are compatible with the strategic direction of the business. Raise an action to initiate this
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Does the top management demonstrate continual improvement and commitment to the EnMS?
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Continual improvement and a commitment must be demonstrated by top management. This can be achieved by physical actions, communications to the business or social media posts for example.
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Provide evidence of top management commitment and continual improvement.
5.2 Policy
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Does an Energy policy exist?
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Raise an action to devise a policy because in order to comply with ISO5001, top management needs to establish, implement and maintain an Energy policy that includes:
• A commitment ensuring the availability of energy information and adequate competent resources to achieve targets and objectives
• Demonstration of compliance to relevant legal requirements (and any other requirements determined by the business) related to energy efficiency, energy use and consumption
• Evidence supporting procurement and design activities that support the management of energy performance. -
Is the energy policy compatible with the strategic direction of the business?
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The energy policy should consider the scope of the direction of the business strategies with regard to energy management.
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When was the last time the Energy Policy was reviewed?
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There is a requirement within ISO50001 that the Energy Policy is reviewed regularly. An action should be raised to drive the review
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There is a requirement within ISO50001 that the Energy Policy is reviewed regularly. Consider if there have been any changes to the business in the last 12 months that could affect the EnMS
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Does top management ensure that the Energy Policy is communicated within the business and to relevant parties?
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To comply with ISO50001 the Energy policy should be available to colleagues and external 'interested' parties. Raise an action to drive this.
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Provide evidence that the Energy policy is communicated internally and externally to the business
5.3 - Organisational roles, responsibilities, and authorities
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Are responsibilities and authorities with regards to energy management been assigned by top management?
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To comply with ISO5001, top management must ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood throughout the organisation. This should be documented and provided as evidence. Raise an action to drive this.
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Are responsibilities and authorities communicated and understood by the business?
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Top management needs to communicate responsibility and authority within the business and demonstrate the importance of conforming to the requirements of your EnMS. Raise an action to drive this.
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Provide evidence that the business has been communicated with and that those with responsibilities have understood their roles with regards to energy management.
6. Planning
6.1 Actions to address risks and opportunities
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Has the business identified and managed the risks and opportunities relating to the EnMS and energy performance
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In order to comply with ISO50001, the business must identify and manage the risks and opportunities relating to the EnMS and energy performance. Planning should be consistent with the energy policy and lead to actions that result in continual improvement in energy performance. The business should ensure that risks and opportunities give assurance that the EnMS can achieve its intended outcome.
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Provide evidence that the risks and opportunities relating to the EnMS and energy performance have been considered
6.2 Objectives, energy targets and planning to achieve them
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Have you established measurable objectives and targets at relevant functions and levels?
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There is a requirement to establish and maintain action plans which consider what will be done, what
resources are required, who will be responsible, when it will be completed and how the results will be
evaluated. There is also an additional requirement to consider how identified actions are integrated into the business processes -
Are they consistent with your business energy policy?
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There is a requirement to establish and maintain action plans which consider what will be done, what
resources are required, who will be responsible, when it will be completed and how the results will be
evaluated. There is also an additional requirement to consider how identified actions are integrated into the business processes -
Provide evidence of the objectives and targets
6.3 Energy Review
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Which aspects does the energy review include?
- consideration of current types of energy
- consideration of past and present energy use and consumption
- Identification of SEU’s
- Determination of relevant variables and current energy performance
- Determination and prioritisation of opportunities for improving energy performance
- Estimation of future energy use and consumption
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Provide evidence that the energy review includes all these requirements
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To comply with ISO50001:2018 all aspects detailed here should be considered and documented. Raise an action to drive improvement in the energy review if not all are selected
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Have the business activities and processes which can affect energy performance, lead to actions that result in the continual improvement of energy performance?
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To comply with ISO50001:2018 all aspects detailed here should be considered and documented. Raise an action to drive improvement in the energy review if not all are selected
6.4 Energy Performance Indicators (EnPI's)
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Has the business determined EnPI’s that are appropriate for measuring and monitoring its energy performance?
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The ISO50001 standard requires the business to determine EnPI’s that are appropriate for measuring and
monitoring its energy performance and regular review against the respective energy baseline (EnB) with
retention of documented information of EnPI values. Additionally, ensure that EnPI’s enable your organisation to demonstrate energy performance improvement and the method for determining and maintaining the EnPI’s be retained as documented information. Finally, consider data for relevant variables that may significantly affect energy performance. (For example, temperature, production volumes, occupancy, etc.). Raise an action to ensure compliance with this clause -
Provide evidence of the EnPI's
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Are the EnPI's regularly reviewed against the respective energy baseline (EnB)?
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Provide evidence that the EnPI's are reviewed against the EnB
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The ISO50001 standard requires the business to regularly review against the respective energy baseline (EnB) with
retention of documented information of EnPI values. Raise an action to comply with this clause -
Is the information adequately documented and suitably retained?
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Provide evidence that the EnPI's are adequately documented and suitably retained
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The ISO50001 standard requires the business to ensure that EnPI’s enable your organisation to demonstrate energy performance improvement and the method for determining and maintaining the EnPI’s be retained as documented information. Raise an action to comply with this clause
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Does the data consider relevant variables that may significantly affect energy performance? (This could be<br>temperature, production volumes, occupancy, etc.)
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Provide evidence that the EnPI's are reviewed, documented and consider relevant variables
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The ISO50001 standard requires the business consider data for relevant variables that may significantly affect energy performance. (For example, temperature, production volumes, occupancy, etc.). Raise an action to ensure compliance with this clause
6.5 Energy Baseline
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Has the business established a baseline using the information from the energy review over a suitable period of time?
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The standard requires the business to establish an energy baseline (EnB) using the information from the energy
review over a suitable period of time. Raise an action to comply with this clause -
Provide evidence that the business has established an EnB using the information from the energy review over a suitable period of time
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Do the EnPI’s continue to reflect the business's energy performance or have been no major changes to the static factors?
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The EnB should be revised in the event of EnPI’s no longer reflecting the organisation’s energy performance, or if there have been major changes to the static factors using a pre-determined method. Raise an action to comply with this clause
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Has the business ensured that the EnB data indicates relevant variables that significantly affect energy performance by completing energy normalisation of the EnPI value(s)?
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The business should ensure that the data indicates relevant variables that significantly affect energy performance by completing energy normalisation of the EnPI value(s). Information of relevant variable data and modifications to EnB(s) must be retained as documented information. Raise an action to comply with this clause
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Provide evidence of the EnB variables and energy normalisation documentation
6.6 Planning for the collection of energy data
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Has the business established an energy measurement plan for which data to collect, how to collect it and how often to collect?
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To comply with ISO50001 the business should identify key characteristics of any operation that affects energy performance is identified, measured, monitored and analysed at planned intervals. This should be done through an energy data collection plan which specifies what data is necessary to monitor the key characteristics and states how and at what frequency the data shall be collected and retained. Data should be accurate and repeatable and should
include the relevant variables for the SEU’s, energy consumption related to the SEU and the organisation, SEU
operational criteria and static factors (if applicable). -
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Provide evidence of the energy management plan that demonstrates which energy data to collect, how to collect it and how often to collect?
7. Support
7.1 Resources
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People - Are there sufficient and suitably trained staff members within the business in order to adequately manage the EnMS?
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The business needs to determine and provide competent people required for the establishment,
implementation, maintenance and continual improvement of energy performance and the EnMS. Raise an action to drive compliance with this clause -
Provide evidence a sample of relevant training records
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Infrastructure - Are the facilities, equipment and IT systems suitable to operate efficiently with regards to energy consumption?
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The business needs to ensure suitable intrascture, maintenance and continual improvement of energy performance. Raise an action to drive compliance with this clause
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Provide evidence and images to demonstrate the suitable infrastructure
7.2 Competence
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Do the staff members have the education, training or experience deemed necessary to fulfil their job role.
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Is there a program to enhance the staff members competence level?
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The business needs to provide awareness and knowledge in order to support the business's continual improvement of energy performance and the EnMS. Raise an action to drive compliance with this clause
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Provide evidence of training programe
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Provide evidence of energy management awareness training across the workforce
7.3 Awareness
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Are staff members aware of the Energy Policy? Are they aware of current business EnPI's and their contribution towards it?
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Provide evidence of staff members awareness of the EnMS and EnPI's
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To comply with the standards the business must ensure the workforce is made aware of:
• the energy policy
• their contribution to the effectiveness of the EnMS including achievement of objectives and energy targets
• the benefits of improved energy performance
• the impact of their activities or behaviour with respect to energy performance
• the implications of not conforming with EnMS requirements
7.4 Communication
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How is the Internal workforce communicated with regards to the energy management of the business?
- There is no communication internally
- Employee representataive meetings
- Social Media
- Newsletters
- Internal Intranet
- Notice boards
- Other
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The business is required to regularly communicate with the workforce with regard to the energy management of the business. Raise an action to drive compliance to this clause
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Provide evidence of internal communication
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Please specify other methods internal workforce is communicated with (include evidence)
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How are external stakeholders communicated with regards to the environmental aspects of the business?
- There is no external communication
- Website
- Social Media
- Marketing newsletter/ e-mails
- Other
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The business is required to regularly communicate with external stakeholders with regard to the energy management of the business. Raise an action to drive compliance to this clause
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Provide evidence of external communication
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Please specify other methods external stakeholders are communicated with (include evidence)
7.5 Documented Information
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Creating and Updating - Are documents created using standardised, controlled templates?.
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The standard requires that any documented information that has been determined necessary for the effectiveness
of the EnMS and demonstrates energy performance improvement. It is also required that the business will
create, update, control and retain documented information relating to the EnMS. Raise an action to drive compliance with this clause -
Provide evidence of templates and their method of control
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Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?
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The standard requires that any documented information that has been determined necessary for the effectiveness
of the EnMS and demonstrates energy performance improvement. It is also required that the business will
create, update, control and retain documented information relating to the EnMS. Raise an action to drive compliance with this clause -
Provide evidence of controlled documents
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Retention of Documents - Is document retention managed relevant to the process?
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The standard requires that any documented information that has been determined necessary for the effectiveness
of the EnMS and demonstrates energy performance improvement. It is also required that the business will
create, update, control and retain documented information relating to the EnMS. Raise an action to drive compliance with this clause -
Provide evidence of the retention requirements of documentation
8. Operation
8.1 Operational planning and control
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Are the SEUs and the energy uses related to the energy objectives, targets and action plans effective operational control and maintenance?
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Processes related to SEU’s needed to meet the requirements of the organisation should be planned, implemented
and controlled. It is required to have established criteria for the processes such as effective operation and maintenance of facilities, systems, and energy using processes. As with all aspects of the ISO5001 standard, the criteria must be communicated and documented demonstrating confidence that the processes have been carried out as planned. Raise an action to drive this requirement -
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Provide documented evidence for the established criteria for the processes such as effective operation and maintenance of facilities, systems, and energy using processes
8.2 Design
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Has the business identified opportunities for the improvement of energy performance at the earliest stages of design and throughout the entire design process, including during planned and expected operating lifetime?
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Provide documented evidence for the energy performance improvements in the entire lifecycle of the process/ product
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Explain why this question is not applicable
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To comply with this clause the business must consider energy performance improvement activities
and operational control in the design of new, modified and renovated facilities, equipment, systems and energy
using processes that can have a significant impact on energy performance but also consider planned or expected operating lifetime (life cycle perspective). These should be documented and available for communication. Raise an action to drive -
Has the business considered the best available energy efficient techniques, practice and emerging technology trends when designing new, modified or renovated facilities, equipment, systems and processes?
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Provide documented evidence for the established criteria for the processes such as effective operation and maintenance of facilities, systems, and energy using processes
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Explain why this question is not applicable
8.3 Procurement
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Has the business included procurement specifications, tender and contract documentation including energy performance criteria for suppliers?
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Energy performance specifications should be defined and communicated with suppliers. They should be informed that energy performance is part of the evaluation criteria for procurement. Raise an action to drive this
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Provide examples of procurement specification relating to the energy performance requirements of suppliers
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Has the business considered energy implications in procurement decisions for energy services, products and equipment?
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In order to comply with ISO5001, the business must evaluate energy performance over the planned or expected operating lifetime when procuring energy-using products, equipment and services which are expected to have a significant impact on the organisation’s energy performance. Raise and action to drive this compliance
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Provide documented evidence regarding procurement decisions regarding energy services, products and equipment
9. Performance Evaluation
9.1.1 Monitoring, measurement, analysis and evaluation of energy performance and the EnMS
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What aspects of monitoring/ measuring does the business carry out?
- Effectiveness of the action plans in achieving objectives and energy targets
- EnPI(s)
- Comparison of EnPI’s against corresponding EnB’s
- Operation of SEU’s
- Actual versus expected energy consumption
- Ensuring valid results
- Other
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Provide evidence of monitoring and measuring
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If any of these are not considered, an action should be raised to improve compliance with the standard
9.1.2 Evaluation of compliance with legal requirements and other requirements
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Has the legal register been reviewed to ensure compliance and have any actions been identified?<br>
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Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply
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A requirement of the ISO50001 standard is to evaluate legal and other requirements related to energy efficiency, energy use, energy consumption and the EnMS. This should be documented and regularly evaluated and reviewed to ensure continual compliance and record any actions taken. Raise an action to drive compliance with the standard.
9.2 Internal Audits
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Does an internal audit schedule exist?
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The business must plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting (Raise an action to rectify)
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Has the schedule been followed?
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The business must plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting (Raise an action to rectify)
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Provide evidence of an adequately followed audit schedule
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Have the results from the internal audits been communicated with relevant parties?
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The audit reports should be communicated to relevant management. with appropriate actions for nonconformity and continual improvement. Raise an action to drive compliance
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Provide evidence of audit reports having been communicated to relevant parties and that any resultant actions have been progressed.
9.3 Management review
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Has there been a management review of the EnMS in the last 12 months?
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When was the last management review regarding the EnMS?
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What did the agenda include?
- Actions if objectives and targets have not been achieved
- Opportunity to improve integration with business processes
- Improvement of competence
- Awareness and communication
- Other
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Please specify what other agenda items were included
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Provide evidence of the last management review, including agenda and outcomes
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Have you determined the significant deviation when a departure from a defined or acceptable level of energy performance?
10. Improvement
10.1 Nonconformity and corrective action
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Is there a relevant non-conformance process available?
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To comply with this clause of the standard, the business should ensure a process to investigate non-conformances, identify root causes and implement corrective action. (Raise an action to rectify)
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Demonstrate the last non-conformance and the investigation, closure and improvement processes
10.2 Continual Improvement
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Can the business demonstrate an example of continual improvement within the business and EnMS?
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The business must be able to demonstrate that the organisation is continually improving its suitability, adequacy
and effectiveness of the EnMS through continual energy performance improvement. -
Provide evidence that demonstrates continual improvement with regards to the EnMS
Sign off
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Name and signature of the auditor
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This gap analysis will support you in stage 1 of your ISO5001 certification audit. It can be used as evidence of planning and compliance together with the suitably completed actions within this inspection.
