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Energy Management Framework
Antonio Zdelican
Thesis to obtain the Master of Science Degree in
Information Systems and Computer Engineering
Supervisor(s): Prof. Miguel Leitão Bignolas Mira da SilvaProf. Paulo Jorge Fernandes Carreira
Examination Committee
Chairperson: Prof. José Luís Brinquete BorbinhaSupervisor: Prof. Paulo Jorge Fernandes Carreira
Member of the Committee: Prof. Carlos Augusto Santos Silva
October 2016
ii
Acknowledgments
I would like to thank my mentors Prof. Miguel Mira da Silva and Prof. Paulo Carreira for giving me an
amazing support and guidance throughout this journey. Without their help and knowledge, I would not
have been able to complete this work and conclude my studies.
Special thanks to Eng. Mario de Matos for giving me the insides of energy management industry
and evaluating my work. His professional assessment was crucial in evaluating Energy Management
Framework and establishing its value.
Exceptional thanks to my parents and brother for their friendship, encouragement and caring over
all these years, for always being there for me through thick and thin and without whom this project
would not be possible. I would also like to thank my grandparents, aunts, uncles and cousins for their
understanding and support throughout all these years.
Last but not least, a big shout-out to all my friends and colleagues that helped me grow as a person
and were always there for me during the good and bad times in my life. Thank you.
To each and every one of you – Thank you.
iii
iv
Resumo
A gestao energetica tornou-se crucial para as organizacoes que procuram reduzir custos com a energia,
melhorar a imagem corporativa e respeitar os seus requisitos legais.
Apesar da introducao de algumas normas e guias de gestao energetica, as organizacoes ainda se
deparam com grandes desafios ao nıvel da sua implementacao. Isto deve-se principalmente ao fato de
ainda nao existir um modelo de referencia atual, perceptıvel e compreensivo, para a gestao energetica.
A fim de resolver este problema, propomos um modelo de referencia e guia de implementacao
de gestao energetica para organizacoes, o Energy Management Framework. Este modelo de gestao
energetica e baseado na ISO 50001 e inspirado na estrutura do modelo de negocio e gestao, COBIT
5. Segue os princıpios de modelos de gestao e engloba, dentro de uma estrutura intuitiva, processos
detalhados de gestao energetica, de atividades, das melhores acoes, dados necessarios, resultados
obtidos e funcoes.
A avaliacao do nosso modelo foi realizada atraves do mapeamento dos seus processos com os req-
uisitos ISO 50001, bem como atraves da validacao por parte de um profissional de gestao energetica.
Palavras-chave: Gestao de Energia, ISO 50001, Modelos de Gestao, Plan-Do-Check-Act
v
vi
Abstract
Energy management has become crucial for organizations seeking to reduce energy costs, improve
their public image and conform to legal requirements.
Despite the introduction of some energy management standards and guides, organizations still con-
front major challenges in the actual energy management implementation. This is mainly due to the fact
that an understandable and comprehensive energy management reference model does not yet exist.
In order to resolve those problems, we propose the Energy Management Framework, a reference
model and implementation road-map for organizational energy management. The Energy Manage-
ment Framework is based on ISO 50001 and inspired by the structure of COBIT 5, IT governance and
management framework. It follows principles of management frameworks and covers detailed energy
management processes, activities, best practices, inputs, outputs and roles within an intuitive structure.
The evaluation of our framework was done by mapping its processes with ISO 50001 requirements
as well as thorough validation by an energy management professional.
Keywords: Energy Management, ISO 50001, Management Framework, Plan-Do-Check-Act
vii
viii
Contents
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
Resumo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
1 Introduction 1
1.1 Energy Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Research Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.4 Document structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2 Related Work 5
2.1 Energy Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.1.1 ISO 50001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.1.2 Energy Management Guides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.1.3 Scientific literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.2 Management Frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.2.1 PDCA cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.2.2 COBIT 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3 Proposal 12
3.1 Energy Management Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.2 EMF Process Reference Model (PRM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.3 EMF Process Reference Guide (PRG) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4 Demonstration 18
4.1 General EMF processes demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.1.1 Utility results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.1.2 Difficulty of implementation results . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2 Detailed EMF processes demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
ix
4.3 General EMF demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
5 Evaluation 24
5.1 ISO 50001 mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
6 Conclusion 27
6.1 Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
6.2 Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
6.3 Future Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Bibliography 29
A EMF Process Reference Guide 33
x
List of Tables
2.1 Comparison of energy management activities in analyzed energy management guides,
frameworks and scientific articles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.2 Comparison of IT management frameworks and energy management guides . . . . . . . 8
3.1 EMF PEM01 process detailed description table . . . . . . . . . . . . . . . . . . . . . . . . 15
3.2 PEM01 RACI chart with responsibility levels . . . . . . . . . . . . . . . . . . . . . . . . . . 16
4.1 Utility and difficulty of implementation scale used to assess EMF processes . . . . . . . . 19
4.2 Detailed evaluation results of EMF processes, acceptable activities and respective com-
ments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
5.1 Mapping between EMF processes and ISO 50001 requirements . . . . . . . . . . . . . . 25
xi
xii
List of Figures
1.1 ISO 50001 certificated organizations in EU . . . . . . . . . . . . . . . . . . . . . . . . . . 2
2.1 ISO 50001 Energy Management System model . . . . . . . . . . . . . . . . . . . . . . . . 6
2.2 Plan-Do-Check-Act (PDCA) management cycle of continual improvement . . . . . . . . . 9
2.3 COBIT 5 BAI domain and its ten processes . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.1 EMF Process Reference Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.2 Model representation of the PEM01 process, its activities, inputs and outputs . . . . . . . 14
4.1 EMF processes utility and difficulty of implementation matrix . . . . . . . . . . . . . . . . . 20
4.2 Evaluation results with percentage of acceptable activities for each EMF process . . . . . 23
xiii
xiv
Chapter 1
Introduction
Energy presents a crucial resource for daily operations of every organization. It has recently become
one of the key aspects that companies should improve and keep monitoring, due to the related economic
costs and the significant environmental impacts, to which today’s society is paying more and more at-
tention [17]. To confront those challenges, the concept of energy management has been recognized by
organizations across different business domains.
According to the definition, energy management is the systematic use of management and technol-
ogy to improve organizational energy performance [7]. In the academia it has also been defined as the
control, monitoring and improvement activities for energy efficiency [6]. But the real issue is that en-
ergy management and its associated practices vary greatly mainly because there is no well-understood
energy management model [1].
In other words, a complete, detailed and understandable energy management guide does not yet
exist. The interpretation of profoundly abstract energy management activities is left to organizations
themselves which is generally a daunting task and leads to only partial results. This paper will focus
on creating a reference model that is comprehensible yet intuitive to follow. The goal is to provide a
complete support to organizations in their energy management implementation as well as to improve
their energy efficiency.
1.1 Energy Efficiency
As expected, most compelling business reason for saving energy is reducing energy costs. Most orga-
nizations can save up to 20% on their bills simply by better managing their energy use and investing in
cost-effective measures [7]. An analysis of Swedish industrial energy efficiency programs shows that
energy audits allow potential total energy savings from 16% to 40%, and electricity savings from 20%
to even 60% [34]. Such audits are employed to help enterprises identify energy-efficiency improvement
opportunities and serve as a means to collect critical energy-consuming information [29]. Putting those
figures in perspective, the increasing prices of oil and other natural resources resulted with the global
fossil-fuel subsidiaries reaching US $523 billion in 2011, close to a 30% increase than previous year [16].
1
0
1.000
2.000
3.000
4.000
Ireland UK Netherlands Belgium France Germany Spain Portugal Italy Croatia
10294
12310
3.402
2702424
37656
Figure 1.1: Number of EU organizations holding ISO 50001 certificates in 2014. It shows a big disparitybetween German and other EU organizations who yet have to incorporate energy management into theirbusinesses.
Since many business operations still rely heavily on energy sources, the direct impact of energy price
fluctuation to the overhead of organizations is not insignificant.
In addition to energy costs, the environmental and legal requirements are becoming even stricter.
EU has established an energy improvement target of reducing green gas emissions by at least 20%
by 2020 [13]. The inclusion of energy management components in future energy policy will play an
important role if the energy savings targets for 2020, and later 2050, are to be met in the EU [5].
Moreover, the increasing public awareness on environmental issues is another driving force for busi-
nesses to reconsider their energy policy. People are paying more attention on the energy performance of
organizations [16]. Good energy management programs can significantly improve corporate image, and
bring competitive advantage. Most clients and investors would choose to support socially responsible
businesses that can demonstrate ”green” credentials or have achieved recognized standards. Despite
of these, well grounded arguments, organizations still face obstacles in actual energy management
implementation. Studies indicate that cost-efficient energy conservation measures are not always im-
plemented, explained by the existence of barriers to energy efficiency [28]. Through a survey among
Danish non-energy intensive manufacturing organizations, only 14% of them practice energy manage-
ment [8]. Organizations largely seem to fail to integrate energy and carbon efficiency into their overall
strategy and day-to-day business [6]. The reasons for these observations include the lack of information
on more efficient technologies [15] and on actual energy consumption [35]. Also, there are split incen-
tives between people responsible for investing in energy efficient equipment and for paying the energy
bill [24], insufficient personnel in charge with energy management and overall organizational culture
towards energy and carbon efficiency [26, 31].
Several energy management guides like Carbon Trust [7] and SEI [32] have been trying to help
companies in energy management implementation but case studies show that the real-world implemen-
tations fail to cover all the energy activities defined in these guides [9, 14]. In other words, a clear
connection between the scientific literature and the actual implementation in organizations does not
exist.
Furthermore, recently published ISO 50001 International Standard provides a set of energy man-
2
agement related requirements. This International Standard specifies requirements for establishing, im-
plementing, maintaining and improving an energy management system, whose purpose is to enable an
organization to follow a systematic approach in achieving continual improvement of energy performance,
including energy efficiency, energy use and consumption [22]. Even though the Standard contains all
the requirements, the problem arises when they need to be implemented. The requirements are pre-
sented in highly abstract and descriptive notation and don’t present an intuitive structure. Applying them
as unambiguous processes and activities is left to organizations which is often a daunting and complex
task. Figure 1.1 show disparity of ISO 50001 certificated organizations. A big majority of certificated
companies are coming from Germany while other countries are significantly delayed.
On the other hand, management frameworks have been used widely in organizations to provide a
comprehensive but easy-to-understand structure of management tasks. One of those frameworks is
COBIT 5 [19], IT governance and management framework which provides a complete blueprint on how
to govern and manage information technology in organizations. This framework is widely used and
provides excellent results [18] and, therefore, it is a good reference point on how to create a reliable
management framework.
1.2 Research Problem
The main research problem resides around implementation of energy management inside organizations.
None of the existing energy management guides and frameworks provide a clear and easy structure of
energy management processes and activities and connections between them. Also, many of the ac-
tivities are too abstract and descriptive and do not explain explicitly what needs to be done. So, the
research path of this thesis will be to structure energy management processes and activities derived
from ISO 50001 into a management framework structure inspired by COBIT 5 models. The main ob-
jectives will be mapping ISO 50001 requirements into concrete energy management processes and
activities, connecting those processes with tangible deliverables and providing responsible organiza-
tional roles for execution. Moreover, one of the main research tracks will be how to produce generalized
management processes for managing energy applicable for any business. In this way we will provide a
clear implementation road-map for a complete organizational energy management.
1.3 Contributions
This work will be based on constructing the Energy Management Framework and its models. To formal-
ize our ideas, the work will be framed around several main parts so the contributions of this work will be
as follows:
• Identification and extraction of detailed energy management processes and activities from ISO
50001 requirements.
• Construction of the Process Reference Model from derived processes.
3
• Definition of deliverables (documents, statements) from ISO 50001 requirements.
• Definition of roles from ISO 50001 requirements.
• Detailed description of each process through the Process Reference Guide.
• Development and implementation of evaluation methods to evaluate the framework.
1.4 Document structure
The remaining of this document is organized as follows: Section 2 describes concepts and related
work necessary to understand our solution proposal, Section 3 introduces our solution as the Energy
Management Framework and its core parts: Process Reference Model, Process Reference Guide and
Process Assessment Model. Section 4 describes the evaluation methodologies, and Section 5 presents
the conclusions that summarize entire work.
4
Chapter 2
Related Work
This section analyses the scientific literature as well as industry best practices related to this work.
First, we briefly explain the energy management in detail, one energy management standard and some
energy management guides and frameworks. Later, we will demonstrate the concepts of management
frameworks, their structure and point out one of the most used management frameworks in the industry.
2.1 Energy Management
An inspiration for creating the Energy Management Framework came from two distinguished domains of
energy management and management frameworks. We identified the opportunity of their combination
and how they can work together. This section covers the relevant energy management standard, energy
management guides and industry best practices as well as scientific articles that are currently active
within the energy management domain.
2.1.1 ISO 50001
The ISO 50001:2011, Energy management systems - requirements with guidance for use, is an interna-
tional standard developed by ISO with the main purpose to establish the systems and processes neces-
sary to improve energy performance, including energy efficiency, use and consumption. Implementation
of this International Standard is intended to lead to reductions in greenhouse gas emissions and other
related environmental impacts and energy cost through systematic management of energy [22]. Large
organizations, from health care, aerospace, automotive and transportation product manufacturers, en-
ergy generation companies, and others have adopted continuous energy and quality improvement prin-
ciples based on ISO 50001 [27]. Further on, 75% of Turkish industrial organizations welcome ISO
50001 as the new energy management standard and 20% state that a standard is necessary for energy
management [3].
As shown in Figure 2.1, ISO 50001 is based on the Plan-Do-Check-Act (PDCA) continual improve-
ment framework and incorporates energy management into everyday organizational practices. The
5
Figure 2.1: Representation of the ISO 50001 Energy Management System model with its core parts.Each part presents a stage of the cycle which is based on the Plan-Do-Check-Act (PDCA) continual im-provement framework. The model should incorporate energy management into everyday organizationalpractice. Adapted from [22].
Standard consists of six major requirements that need to be achieved in order to fully implement its
energy management system:
Management responsibility defines roles and tasks for top management as well as energy manage-
ment team and management representatives. The tasks are later detailed in other requirements.
Energy policy defines the energy policy and what it needs to contain.
Energy planning describes requirements for the energy planning stage. It consists of several detailed
and specific requirements. The important detail is that it should be consistent with energy policy.
Implementation and operation describes requirements for the energy implementation stage. It con-
nects action plans and outputs from planning stage into actual implementation requirements.
Checking describes requirements that organization needs to achieve in monitoring and analyzing stage.
It provides structured way on what needs to be checked in the energy management cycle.
Management review describe how top management needs to perform occasional reviews to ensure
that its energy management system (EnMS) is effective. It basically consists of inputs from different
reviews and documents and outputs in form of actions, decisions and changes.
2.1.2 Energy Management Guides
Energy management guides and frameworks have intention to provide a complete structure of an energy
management inside an organization. There are several published guides and frameworks that are trying
6
Activities EMMM Ecova VirtousCycle
VanGorp
Coppinger Dusi,Schultz
Planning stageEnergy review • • • • •Benchmark currentperformance
• • • •
Identify improvementopportunities
• • •
Ensure managementcommitment
• • • • • •
Establish energymanagement roles
• • • •
Establish energy policy •Set objectives and targets • • • •Establish energy performanceindicators
• •
Create action plan • • • • •Check regulatory compliance •
Implementation stageInvestment • • •Procurement • •Training • • •Communication • • • •Documentation • •Operational control • •
Monitoring stageMetering, monitoring andanalysis
• • • • •
Program audit • • • •Control of records •
Improvement stageManagement review • • •
Table 2.1: Comparison of energy management activities in analyzed energy management guides, frame-works and scientific articles (Energy Management Maturity Model [1]; Ecova SEM framework [11]; Vir-tous Cycle framework [12]; Van Gorp [36]; Coppinger [9]; Dusi and Schultz [10]).
to establish industry best practices and organize processes and activities. Several energy management
guides and scientific articles are analyzed in detail and the results are shown in Table 2.1. As presented,
all the references have more or less the same context of energy management processes and activities.
Some references are more complete and have better structure while the others have significant lack of
important energy management steps. The analyzed articles also provide some consistency with ISO
50001 requirements as well as some redundancy.
2.1.3 Scientific literature
Only a small number of scientific articles are identifying energy management activities that can be actu-
ally used in practice. As with the guides, most of the articles identified some standard energy manage-
ment activities but there are also some inconsistency and missing activities. Again, the comparison is
shown in Table 2.1.
7
Criteria COBIT 5 ITIL CarbonTrust SEI
Scope ITgovernancemanagement
IT servicemanagement
Energymanagement
Energymanagement
Processes 37 26 20 (activities) 13 (activities)
Structure
Process referencemodels
Yes Yes No No
Process referenceguides
Yes Unknown No No
Maturity models Yes Yes Partial No
ISO alignments Several Several None None
Detail High High Low Low
Usage Extensive Extensive Unknown Unknown
Table 2.2: Comparison of IT management frameworks COBIT 5 [19] and ITIL [4] with respectful energymanagement guides CarbonTrust [7] and SEI [32].
2.2 Management Frameworks
A framework is a real or conceptual structure intended to serve as a support or guide for creating some-
thing more specific. Management frameworks are conceptual structures in the management domain.
They are usually made by collecting industry best practices and putting them all together in model(s).
Simply said, management frameworks try to provide graphical models that consists of connected pro-
cesses and activities, their descriptions and guidelines how to use them. The purpose of a management
framework is to serve and help managers to run a successful business. To point out the benefits of
management frameworks, Table 2.2 compares some of the best management frameworks from other
domains with current management guides and frameworks from energy domain.
2.2.1 PDCA cycle
The PDCA cycle is a well-known model for continual process improvement [33]. It teaches organizations
to plan an action, do it, check to see how it conforms to the plan and act on what has been learned [2].
A representation of the cycle is shown in Figure 2.2. Moreover, the cycle draws its structure from the
notion that constant evaluation of management practices, as well as the willingness of management to
adopt and disregard unsupported ideas, is key to the evaluation of a successful enterprise [30]. The
PDCA cycle is made up of four steps for improvement of change:
Plan - recognize an opportunity and plan the change. It is the stage where an organization establishes
its goals and objectives and plans the means and processes to reach them.
Do - implement the plan and the processes from the previous stage.
Check - review the test, analyze the results and identify learning. In other words, compare the planned
and actual results.
8
Figure 2.2: Plan-Do-Check-Act (PDCA) cycle of continual improvement. Many management frameworkshave adapted this model as their basis. Adapted from [25].
Act - take action based on what you learned in the check step. If the change was successful, incorporate
the learning from the test into wider changes. If not, go through the cycle again with a different
plan.
The PDCA cycle is incorporated in many management frameworks regardless their domain. More
specifically, each framework defines a set of processes within each PDCA stage as well as their con-
nection. This results with a closed management cycle that covers every aspect of the target domain and
continual improvement of every process within that domain.
2.2.2 COBIT 5
COBIT 5 (Control Objectives for Information and Related Technology) provides a comprehensive frame-
work that assists enterprises in achieving their objectives for the governance and management of enter-
prise IT [19]. It enables information and related technology to be governed and managed in a holistic
manner for the entire enterprise. In other words, this framework is a set of best practices focused on the
governance and management of IT. The main elements of the COIT 5 framework are:
COBIT 5 Process Reference Model (PRM) defines a number of governance and management pro-
cesses. PRM represents all of the processes normally found in an enterprise relating to IT activ-
ities, providing a common reference model understandable to operational IT and business man-
agers [19].
COBIT 5 Enabling Processes enabler guide complements COBIT 5 and contains a detailed reference
guide to the processes that are defined in the COBIT 5 Process Reference Model [20].
COBIT 5 Process Assessment model (PAM) describes a process assessment model based on CO-
BIT 5 and it’s compliant with ISO/IEC 15504 International Standard [23]. In other words, this
9
Figure 2.3: Build, Aquire and Implement (BAI) domain of the COBIT 5 Process Reference Model. Itlogically groups ten of the COBIT 5 management processes grouped and structured in intuitive form.Adapted from [19].
assessment model helps to assess all the COBIT 5 processes and provides a guideline to improve
them [21].
Figure 2.3 represents one domain of COBIT 5 Process Reference Model. This particular domain can
be explained as the implementation phase of the IT management inside the organization. It groups all
the IT management processes defined from years of industry best practices and scientific researches.
It enables a successful management of implementation and acquiring IT processes. Later on each
process is described in detail.
The complete PRM is structured into two main areas of activity, governance and management, further
divided into domains of processes as follows:
Evaluate Direct and Monitor (EDM) - contains 5 governance processes that govern, direct and moni-
tor IT cycle.
Align, Plan and Organize (APO) - contains 13 management processes defined for the planning stage
of IT management cycle.
Build, Acquire and Implement (BAI) - contains 10 management processes used in implementation
and acquiring actions.
Deliver, Service and Support (DSS) - contains 6 management processes responsible for post-implementation
stages.
Monitor, Evaluate and Asses - contains 3 management processes which provide management control
of the entire management cycle as well as periodical assessments.
In total COBIT 5 Process Reference Model is structured within 2 areas, 5 domains and 37 processes
that are industry best practices and have purpose to guide managers into governance and management
of enterprise IT.
Going further, each process is explained in details in COBIT 5 Enabling Processes [20] and contains
its identification, description, purpose, goals and metrics. Each process is also divided into process
practices and activities and contains inputs and outputs. Those inputs and outputs can be from other
10
COBIT 5 activities or some external activities. Also, each process practice and activity is assigned to
organizational roles.
Finally, each process is then assessed through the COBIT 5 Process Assessment Model (PAM) [21].
The PAM is based on ISO 15504 scale [23] where each process gets assessed to determine the ap-
propriate maturity level. In this way organization gets a valuable overview on how well it executes its IT
processes.
To conclude, COBIT 5 provides a complete and well formed structure of all the processes for gov-
ernance and management of IT. To justify the benefits of this framework, business outcomes show that
COBIT 5 provided 40% of improved communication and relationships between business and IT and 38%
of lower IT costs [18]. This provides a trustful reference and a good starting point on building a good
energy management framework structure.
11
Chapter 3
Proposal
Herein we propose the Energy Management Framework (EMF) that aims to provide organizations an
intuitive guide to adopt their energy management. It provides an easy-to-understand models that enable
organizations to adopt energy management practices, guiding them along a clearly defined road-map
and helping them to comply with energy management standards.
3.1 Energy Management Framework
The Energy Management Framework is based on ISO 50001 International Standard for Energy Man-
agement System requirements and inspired by management frameworks from other domains. The
framework covers detailed energy management processes, easy-to-understand structure and best en-
ergy management practices.
In particular, the EMF consists of the two main components:
EMF Process Reference Model (PRM) - a management reference model that defines and groups en-
ergy management processes. It represent a base structure for the entire energy management
cycle.
EMF Process Reference Guide(PRG) - a detailed management guide for energy management pro-
cesses defined in the PRM. Each process is supported with the relevant information, guidelines
for the process implementation, relationship with other processes as well as responsible organiza-
tional roles.
With the combination of those two components, the EMF enables organizations to understand their
energy management and provides guidelines towards the energy efficiency.
3.2 EMF Process Reference Model (PRM)
The EMF Process Reference Model (PRM) is a management reference model that includes all the
energy management processes. The processes are based on the ISO 50001 requirements and the
12
Figure 3.1: EMF Process Reference Model with its four domains which represent planning, implemen-tation, checking and reviewing stage of the energy management cycle. The domains group defined 21EMF processes for the respective stages.
industry best practices while the structure follows the PDCA (Plan-Do-Check-Act) cycle extensively used
in other management frameworks.
In total, there are 21 EMF processes grouped within 4 domains:
Plan Energy Management - refers to the stage where an organization commits to an energy manage-
ment cycle. The domain combines 7 processes which cover establishing an energy management
commitment, creating an energy management team, energy policy, baseline, objectives, targets
and action plans, consolidation with legal and other requirements, processing energy performance
indicators and conducting an initial energy planning review.
Implement Energy Management - refers to the actual implementation stage where an organization is
implementing the energy management and undertakes processes of competence, training, com-
munication and documentation management as well as managing operational control, procure-
ment and energy efficient projects and systems. The domain contains 8 processes in total.
13
PEM01.01
ISO 5001
PEM01.02 PEM01.03 PEM01.04 PEM01.05 PEM01.06 PEM01.07 PEM01.08
Managementreview
Scope andboundaries
Energy management
team
PEM01 Manage Energy Management Framework
Figure 3.2: Model representation of the PEM01 process. It consists of the activities, inputs and outputsdescribed in Table 3.1. This representation ensures that each EMF process is clarified, structured andeasier to manage.
Check Energy Management - refers to the monitoring and checking stage. There are 5 processes that
include monitoring, measurement and analysis of organizational energy performance, compliance
with legal requirements, internal audit, manage nonconformities and other corrective actions and
managing the control of the records.
Review Energy Management - refers to the review stage. The domain contains 1 process that applies
an overall management review of which ensures continuous adequacy and effectiveness the entire
energy management cycle.
The EMF PRM presents only a high-abstract representation of processes. To fully incorporate the
energy management road-map, each process requires a detailed explanation and implementation steps.
Following section defines the reference guide that supports the PRM and clarifies each process.
3.3 EMF Process Reference Guide (PRG)
The EMF PRG represents detailed descriptions of the EMF processes defined in the PRM. Table 3.1,
Table 3.2 and Figure 3.2 illustrate an example of the PEM01 Manage Energy Management Framework
process. Therefore, each process is detailed with the following information:
Process label - the domain prefix (PEM, IEM, CEM, REM) and the process number.
Process name - indicating the main context of the process.
Process description - an overview of what the process actually does.
Process purpose - an overall purpose of the process.
Process inputs - each process usually has some kind of inputs (e.g. document, deliverable). The
inputs can be from the other EMF processes and activities or from the outside of the EMF (e.g.
ISO 50001 document). Each input is defined with the source, description and which activities
require that input.
14
PEM01 Manage Energy Management Framework
Process DescriptionClarify and commit to an organizational energy management. Implement and maintain mechanisms and author-ities to manage energy in the organization.
Process PurposeProvide a consistent energy management approach to meet organizational energy management requirementsby covering energy management processes, organizational structures, roles and responsibilities, reliable andrepeatable activities, skills and competencies.Process InputsFrom Description To activities
ISO 50001 (outside EMF) International Standard needed to fully understandEMF
PEM01.01PEM01.02PEM01.03PEM01.04
REM01.05REM01.17
Management review document - results and changesin allocation of personnel
PEM01.07
Process OutputsFrom Description To
PEM01.05 Scope and boundaries document PEM02.12IEM04.02
PEM01.06PEM01.07PEM01.08
Energy management team document PEM07.11REM01.16
Process Activities
PEM01.01 Commit to achieve continual improvement of organizational energy performance and the compliancewith the ISO 50001:2011 International Standard for energy management.PEM01.02 Acquire the ISO 50001 document.PEM01.03 Store the ISO 50001 document at the accessible place within the organization.PEM01.04 Understand the ISO 50001 terms, definitions, requirements and the ISO 50001 Energy ManagementSystem (EnMS) procedural model.PEM01.05 Define the scope of the organizational energy management (deliverables and boundaries).PEM01.06 Appoint the energy management team leader (management representative) with appropriate skillsand competence.PEM01.07 Identify persons for the energy management team, to work with the energy management team leaderin support of energy management activities.PEM01.08 Approve the formation of the energy management team.
Table 3.1: Detailed description of one of the EMF processes. It defines the process label, name, descrip-tion, purpose, inputs and outputs with elaborated explanation and activities within that process. Inputsand outputs are used to link with other processes and elements of the EMF.
15
Processactivities Top management
Energymanagement team
leader
Energymanagement team
Personnel relatedto energy use
PEM01.01 R IPEM01.02 RPEM01.03 RPEM01.04 RPEM01.05 R I I IPEM01.06 A I I IPEM01.07 R R I IPEM01.08 R C I I
Table 3.2: RACI chart for PEM01 process activities that shows responsibility levels for different roles, R(responsible), I (informed), C (consulted) and A (accountable).
Process outputs - each process produces some kind of outputs (e.g. document, deliverable). The
outputs are usually used in the other EMF processes and activities or outside of the EMF (e.g.
organizational structure). Each output is defined with the producing activities, description and
destination.
Process activities - specific activities/tasks that construct the process. Each activity consists of the
activity label and description that explains what specifically needs to be done.
Process model - a model representation of an EMF process. It consists of defined activities, inputs
and outputs that are produced within the process. This representation ensures that each process
is understandable and easier to manage. An example of the process model is shown in Figure 3.2.
RACI chart - a responsibility assignment table that connects each process activity with the appropriate
organizational role. An example of a RACI chart is shown in Table 3.2. The different levels of
involvement are as follows:
R (responsible) - who is doing the activity? Roles that are actually fulfilling the listed activity and
creating the intended outcome.
A (accountable) - who is accountable for the success of the activity? This assigns the overall
accountability for getting the activity done. As a principle, accountability cannot be shared.
C (consulted) - who is providing the consultation? Those are the key roles that provide informa-
tion inputs to the listed activity.
I (informed) - who is receiving the information? Those are the roles who are informed of the
achievements and/or deliverables of the activity.
Each of the 21 EMF processes comes with the relevant PRG charts that provide understandable as
well as comprehensive processes descriptions. The PRG is aligned with the ISO 50001 International
Standard which leads to the closed cycle of the entire organizational energy management. By following
the EMF PRG, organizations are always be sure what has been done and what needs to be done to
ensure an efficient energy management. Moreover, the guide is adaptable and can be used across
industries and organizational preferences. The complete Energy Management Framework with all of
16
its processes and details can be found at www.energymanagementframework.com as well as in the
Appendix A.
3.4 Discussion
This chapter presented the entire core of the Energy Management Framework. Firstly, we detailed the
EMF Process Reference Model (PRM) which is an highly abstract model representing all of the EMF
processes combined within Plan, Do, Check and Act domains. The PRM has purpose to provide an
overall view of entire energy management cycle which help organizations in better understanding where
they are in current implementation. As mentioned before, following the PDCA pattern, processes are
intuitively placed within domains to ensure proper flow and understandable arrangement.
Secondly, we introduced the EMF Process Reference Guide (PRG) which goes into detail regarding
each and every EMF process. Then entire PRG can be found in the Appendix A with all 21 EMF pro-
cess spread across 42 tables. Each EMF process is described with elements such as inputs, outputs,
activities and purpose. Moreover, RACI chart allow to properly assign responsibility roles within organi-
zation so each process can be properly managed and monitored. The biggest advantage of the EMF
PRG is that is goes in such details that organizations can start immediately implementing their energy
management. In other words, organizations do not require to have any previous energy management
knowledge to follow PRG. This finding is definitely the most significant value that EMF can provide to
organizations.
17
Chapter 4
Demonstration
This chapter will describe performed demonstration of the work that was conducted with the energy
efficiency and management assessor of Instituto Superior Tecnico. The EMF was demonstrated and
compared with the real-world practices, both from the industry and the University. This was a crucial
step in validating our work where we got significant knowledge on how energy management actually
works in practice and where we can implement our EMF processes.
The energy management expert who evaluated EMF has been working in the industry for more than
a decade and is currently an energy efficiency and management assessor of Instituto Superior Tecnico.
This acknowledgment puts our work in a valid and affirmed context.
The demonstration sessions were done in two occasions and they included following elements:
• General demonstration of EMF processes - each EMF process was assessed regarding its utility
and difficulty of implementation. The assessor compared processes with real-world implementa-
tion both from the industry and the University. Processes are mainly analyzed concerning their
main description, purpose and structure. Table 4.1 shows the main scale that was used for the
assessment. At the end, the assessor gave some general comments about each process.
• Detailed demonstration of EMF processes - following the first part, each EMF process was then
assessed in detail, point on each activity within processes, their connections, utility and necessity.
In other words, each process activity was discussed and analyzed followed by its final approval.
The approval means if the activity is actually aligned with real-world practices and has a practical
value to be implemented as-is. Table 4.2 demonstrates the final results which will be discussed
later on.
• General demonstration of entire EMF framework - final assessment covered construction of the
EMF PRM and PRG, their utility as well as some general comments on how it can be aligned
with the real-world implementation. The assessor provided some important pros and cons of
our framework, how it can be aligned and implemented in various examples as well as some
improvement measures that should be produced in forthcoming framework iterations.
18
4.1 General EMF processes demonstration
As mentioned, first part of the demonstration included just the overall assessment and alignment of EMF
processes with real-world practices. The assessor compared our processes with industries processes
giving some critical notes. Main scale that was used to assess the processes is shown in Table 4.1.
Each process was classified regarding its two characteristic:
• Utility - how useful a particular EMF processes actually is for a real-world organization. In other
words, would this processes contribute in overall energy efficiency and management improvement
of an organization.
• Difficulty of implementation - how big of an obstacle a particular EMF processes would be to imple-
ment. Namely, how much time and resources in average would an organization use to implement
a particular processes.
Value Utility Difficulty of implementation
0 No utility No difficulty1 Low utility Low difficulty2 Mid-low utility Mid-low difficulty3 Mid-high utility Mid-high difficulty4 High utility High difficulty
Table 4.1: Utility and difficulty of implementation scale used to assess EMF processes. This scale waspresented to the assessor before the demonstration.
Even though EMF tries to provide a general energy management solution, the assessor pointed on
some important parameters that influenced the overall scoring of each EMF processes. They are tight
to a specific organization as follows:
• Energy management experience - if an organization has already implemented some sort of an
energy management, the difficulty of implementing EMF processes is highly reduced.
• Type of the industry - significantly influences how EMF would be implemented. For example,
energy management of an university, hospital or power plant are approached from different angles
which influences utility and difficulty of implementation scores.
• Top management commitment - since energy management is quite a new area, executives and
top management are yet to understand the full potential of its implementation.
• ISO 50001 knowledge and certification - referring to the first chapter and Figure 1.1, it is clear that
many European countries and businesses still have to recognize the importance of this Standard
which is the EMF baseline.
• Organization size - overall, energy management is more significant to larger organizations than
the smaller ones since it usually requires more complex approach.
19
Figure 4.1: EMF processes utility and difficulty of implementation matrix showing assessment resultsprovided by the energy management professional. Each EMF processes is placed in a particular matrixcell depending on its utility and difficulty of implementation score.
• Current personnel energy management expertise - even though EMF tends to simplify energy
management, some expertise is welcoming to speed up the cycle.
• Budget - most of the EMF processes do not require significant investments, but some of them such
as IEM06 Managing Energy Efficient Projects require long term budget plannings.
Finally, Figure 4.1 shows the assessment results provided by the assessor. Each EMF processes if
placed in respective matrix cell depending on its utility and difficulty of implementation score. Detailed
review is provided in following subsections.
4.1.1 Utility results
The utility results are quite favorable showing high or mid-high utility for majority of EMF processes. As
presented in Figure 4.1, most of the EMF processes are placed into right side of the matrix with utility
values of 3 or 4. Only falls with utility values of 2 are for CEM02 Manage Evaluation of Compliance
with Legal and Other Requirements and CEM03 Manage Internal Audit processes. The assessor stated
20
that, even though they can be used, those processes are not so relevant for the organizational energy
management cycle. Both CEM02 and CEM03 processes can be mitigated to certain activities within
review process or REM01. Nevertheless, all the other processes are given important utility and they
are considered crucial for proper organizational energy management. Overall, EMF processes have an
average value of 3,42 which is more than positive. This proves that our EMF processes are mostly ready
as-is for the real-world implementation.
4.1.2 Difficulty of implementation results
Furthermore, the difficulty of implementation classification also provided some positive insights. Again,
Figure 4.1 shows how majority of EMF processes are placed between 1 and 3 of the difficulty of im-
plementation scale. This is also quite promising since it shows that EMF processes can actually be
implemented as they are without much difficulties. The only peak is for the CEM04 Manage Noncon-
formities, Correction, Corrective and Preventive Actions. The assessor stated this is really difficult to
manage and usually it’s quite vague to determine such non-fulfillments in the context of real-world im-
plementation. Organizations have to determine those non-fulfillments specifically and uniquely for their
case which is not quite clear in many situations. However, as mentioned before, the rest of the processes
are applicable for the most organizations as they are. With the average difficulty of implementation value
of 2,14, this results places EMF as framework ready to be tested in most organizations.
4.2 Detailed EMF processes demonstration
The second part of demonstration included detailed assessment of EMF processes. The assessor
went through each process and its respective activities and marked their acceptance. As a reminder,
each activity represents a specific task that organization should implement within a process to ensure
its successful management. The assessor stated this is certainly beneficial for organizations because
it removes the abstraction of processes and produces simple tasks that usually don’t require specific
domain knowledge. In other words, most of the activities can be implemented without extensive training
in energy management.
Table 4.2 shows the number of acceptable activities for each EMF processes backed-up with com-
ments from the assessor. Since this is a first version of the framework, it was expected to have some
activities that don’t align with the real-world situations but the results are truly promising. Most of the pro-
cesses have 70-80% of acceptable activities and are commented as good and ready for implementation.
The most relevant critiques are as follows:
• IEM08 Manage Energy Management Systems process requires major improvement - the assessor
stated that it is not clear enough how this process should evolve around energy management
systems as software tools. It should be more precise and detailed how software tools should be
used in the context of energy management cycle. However, as shown in previous results, utility of
the process is high so it just needs more clarification in implementation itself.
21
EMF Process Acceptableactivities
Comments
PlanPEM01 5/8 Good.PEM02 15/17 Good.PEM03 4/5 Good.PEM04 12/14 Should be Energy Audit instead ReviewPEM05 4/6 Difficulty of implementation varies a lot depending on uncertainty of
baseline and time period.PEM06 4/5 Easier in industries, much more complex in buildings (global consump-
tion is universal).PEM07 11/16 Establish energy objectives for the organizations, then, if possible, do it
across different levels in it.
DoIEM01 5/7 GoodIEM02 5/8 Good.IEM03 3/4 Good.IEM04 11/16 Good.IEM05 5/5 Most of the times it is easy to control, but not so easy to act.IEM06 7/8 Depends a lot on the money.IEM07 3/4 Good.IEM08 1/6 Not clear enough, should be a better separation between EnMS and
EMS (software).
CheckCEM01 12/14 Good.CEM02 3/3 It is important, but most of the times not relevant to results.CEM03 7/9 Good.CEM04 5/7 May vary a lot, but some non-fulfillment are difficult to lead and the only
way is to reformulate objectives.CEM05 1/3 Organizational EnMS requirements should be enough as well as ISO
50001 document.
ActREM01 14/18 Some activities should be moved to other processes, specially in Do
phase.
Table 4.2: Detailed evaluation results of EMF processes provided by the assessor. It shows numberof acceptable activities for each EMF process as well as overall comment regarding entire processdefinition.
• CEM05 Manage Control of the Records - the assessor stated that its activities could be mitigated
in other processes. The process itself is useful, just the amount of activities and their description
don’t contain required necessity for implementation.
• CEM04 Manage Nonconformities, Correction, Corrective and Preventive Action - as mentioned
before, another important comment was regarding CEM04 where organizations have to deal with
non-fulfillments for their specific case which is usually very complex to simplify.
Figure 4.2 shows aggregated results just mentioned where each processes was assessed based on
its activities. The average acceptance is 73,09% which proves that even activities within processes are
satisfiable and can be implemented as they are. Again, the only significant fall is for the IEM08 which
should be re-factored as mentioned.
22
Acc
epta
ble
activ
ities
0%
20%
40%
60%
80%
100%
EMF Processes
PEM01 PEM02 PEM03 PEM04 PEM05 PEM06 PEM07 IEM01 IEM02 IEM03 IEM04 IEM05 IEM06 IEM07 IEM08 CEM01 CEM02 CEM03 CEM04 CEM05 REM01
Figure 4.2: Evaluation results showing percentage of acceptable activities for each EMF process. Re-sults are aggregated from Table 4.2 with average acceptance of 73,09%.
4.3 General EMF demonstration
Finally, the last part of evaluation by the assessor gave the overall conclusions regarding the entire EMF
itself, its PRM and PRG. Some of the comments are as follows:
• Less responsibility assignment for Top management in RACI charts - in practice top manage-
ment don’t have that much responsibility regarding energy management. Tasks should be mostly
transferred to energy management team and top management is just occasionally informed and
consulted about most important energy management decisions.
• Increased importance of energy audit - even though energy audit is mentioned several times
through certain activities within EMF, there should be an increased importance of this procedure.
The assessor event suggested to create another process called Manage Energy Audit to precisely
determine required steps. Energy audit should be included as one of the first steps of the energy
management cycle.
• Separation of ISO 50001 document from EMF processes - several EMF processes and activities
explicitly involve ISO 50001 document but this should not be necessary. The framework should be
completely standalone document and guideline for organizations and they should not be required
to obtain the Standard as well. EMF completely covers all the ISO 50001 requirements so having
two documents would be ambiguous. Of course, organizations could acquire both, side-by-side to
ensure they are on the right path.
As we can see from this demonstration, Energy Management Framework still needs some minor
improvements for real-world implementation. Nevertheless, demonstrating its value by comparing to
current energy management practices within few industries has shown that is very close to how en-
ergy management is actually conducted. On the other hand, it brings this fresh engineering approach
of coupling concepts and tasks as specific processes and activities which would significantly reduce
complexity of organizational energy management.
23
Chapter 5
Evaluation
This chapter describes the performed evaluation of the work as well as discussion of the results both
from evaluation and previously analyzed demonstration. Since the Energy Management Framework is
based on ISO 50001, the main evaluation was conducted by mapping EMF processes with ISO 50001
requirements. This was a crucial step to confirm the proper alignment and minimum baseline for our
framework.
5.1 ISO 50001 mapping
The ISO 50001 mapping was implemented by aligning its requirements with our Energy Management
Framework. Each of the Standard’s requirements had been analyzed with its content completely cov-
ered. Since EMF is based on ISO 50001, significant number of processes followed the flow of Standard’s
requirements, both by including them through activities and covering end-to-end.
As Table 5.1 shows, each ISO 50001 requirement has been included in some of the EMF processes
to its full extent. Some of the requirements such as Top management and Management representative
has been aggregated within one EMF process (PEM01) while others like Communication, training and
awareness divided into more processes (IEM01 and IEM02) This decisions were made after concluding
that it makes more sense in real-world implementation to construct those processes as shown.
Another example is IEM08 process which was included on top of the requirements which deals with
managing energy management software solutions. Since more businesses have already implemented
software tools to track their energy consumption, EMF supports and includes managing of those in its
cycle. This is crucial because the tools can provide significant improvements by providing data for other
processes like IEM01. Management review can be more efficient and thorough which brings better
understanding of the entire cycle.
Finally, Table 5.1 also proves how EMF processes follow the PDCA pattern, same as ISO 50001 as
well as other management frameworks. This amplifies the proper structure of our framework.
24
EMF processes ISO 50001 requirements
PlanPEM01 Manage Energy Management Framework Top management
Management representativePEM02 Manage Energy Policy Energy policyPEM03 Manage Legal and Other Requirements Legal requirements and other requirementsPEM04 Manage Energy Review Energy reviewPEM05 Manage Energy Baseline Energy baselinePEM06 Manage Energy Performance Indicators (En-PIs)
Energy performance indicators
PEM07 Manage Energy Objectives, Targets and Ac-tion Plans
Energy objectives, energy targets and energy man-agement action plans
DoIEM01 Manage Competence and Awareness Competence, training and awarenessIEM02 Mange Training Competence, training and awarenessIEM03 Manage Communication CommunicationIEM04 Manage Documentation DocumentationIEM05 Manage Operational Control Operational controlIEM06 Manage Energy Efficient Projects DesignIEM07 Manage Procurement of Energy Services,Products, Equipment and Strategy
Procurement of Energy Services, Products, Equip-ment and Strategy
IEM08 Manage Energy Management Systems(EMSs)
CheckCEM01 Manage Monitoring, Measurement and Anal-ysis
Monitoring, measurement and analysis
CEM02 Manage Evaluation of Compliance with Legaland Other Requirements
Evaluation of compliance with legal and other require-ments
CEM03 Manage Internal Audit Internal audit of the EnMSCEM04 Manage Nonconformities, Correction, Correc-tive and Preventive Actions
Nonconformities, correction, corrective and preventiveactions
CEM05 Manage Control of the Records Control of records
ActREM01 Apply Management Review Management Review
Table 5.1: Comparison and mapping between EMF processes and ISO 50001 requirements. It showsfull alignment with the Standard which ensures full compliance upon EMF implementation.
25
5.2 Discussion
Obtained evaluation results are certainly positive. The Energy Management Framework is completely
mapped with ISO 50001 requirements which ensures the compliance. Moreover, it simplifies the energy
management implementation over the Standard by providing explicit steps and complete cycle as a
whole.
On the other hand, the demonstration and assessment from the energy management professional
gave us even better conclusion that EMF can actually be applied as-is in organizations. Some of the
processes and activities would require iterations to make them more explicit, clear and closer to what
organizations actually need. As seen from the graphs, around three quarters of entire EMF is acceptable
and ready to be applied. Those inspiring results show that this could be a right path to follow in future
energy management implementation.
Lastly, an even better step would be to apply the EMF in the organizations and get some field mea-
surements. That would require more time and commitment of the testing organizations but, nevertheless,
it is highly possible in near future.
26
Chapter 6
Conclusion
Energy management has become one of the upcoming areas which organizations yet have to tackle.
Despite some proposed solutions and guides that tried to provide energy management solutions, none of
them produced a complete and understandable framework. From analyzing, both, scientific and industry
literature we have seen that organizations still struggle to actually implement energy management in their
daily work.
Current energy management activities are too abstract and descriptive, not detailed enough and
there is, generally, a lack of an intuitive and easy-to-follow structure. There is still lots of work left to
organizations themselves to figure out how to approach this problem.
6.1 Impact
The Energy Management Framework aims to provide a complete guidance for organizational energy
management implementation. It will help organizations to improve their energy performance, reduce
energy related costs, help complying with regulations and improve their public image.
Throughout the related work, we identified ISO 50001 International Standard as the basis to extract
all the steps that an organization needs implement for a successful energy management. The obstacle
was that this Standard only provides set of requirements that have to be accomplished. But it does not
structure them in context of processes and activities to explicitly present what an organization needs to
do. In other words, an organization gets the requirements and it is left on its own to deal with them.
Moving forward through related work, we pointed on the idea to analyze some already established
management frameworks that are used in practice and that produce great results. We decided to take
COBIT 5, IT governance and management framework as the basis for structuring our framework. It is
already used by many IT managers across the industry and has great results within managing IT and
reducing IT-related costs. It provides sets of processes and activities structured in logical domains as
well as their comprehensive description and purpose. Moreover, it connects them throughout inputs
and outputs so entire framework works as an organic unit. Finally, it sets the roles for each and every
process so it is clear who is responsible for them.
27
Inspired by the management frameworks from other domains, our final idea was to create one for
the energy management domain. Therefore, the Energy Management Framework takes ISO 50001
energy management requirements and other industry best practices as a content basis and COBIT 5,
IT management framework as a structure basis. The result is a management framework adaptable
to organizations of any industry. The Energy Management Framework consists of the EMF Process
Reference Model (PMF) that defines the energy management processes and their domains and the
EMF Process Reference Guide which describes each process in details, adds their connection and
responsible organizational roles.
Finally, proposed Energy Management Framework was evaluated both by mapping with ISO 50001
International Standard for Energy Management Systems and thorough validation by an energy manage-
ment professional. The results were more than positive showing that EMF can already be put in practice
and be applied in real-world organizations. Moreover, it is on the right research path to solve the up-
coming problem that organizations yet have to face which is how to conform legislations and efficiently
manage energy.
6.2 Lessons Learned
Throughout this work, specially during the evaluation stage, we have tried to align our processes with
real-world practices. From the energy manager assessor we learned some valuable insights how can
this framework be used in a real organization. Some of the most important suggestions were in creating
one more process for energy audit, separate ISO 50001 from EMF as well as including energy manage-
ment software tools in a more clear and understandable way. Other than that, we have received more
than positive feedback confirming that EMF processes and activities can be already applied as-is. Most
importantly, we learned how energy management works in big organizations such as Instituto Superior
Tecnico, and how our EMF could possibly be applied in their every-day work.
6.3 Future Work
For the future work, we have identified following:
• The proposed Energy Management Framework could be further developed to align with the eval-
uation feedback. It needs few more iterations over the processes as well as refined structure.
• Each of the 21 EMF processes could be modeled like the PEM01 example. As the assessor sug-
gested, those model are extremely helpful to provide clear picture of every process, its activities,
inputs and outputs.
• The framework could pass few more evaluations from other energy management professionals to
establish its value.
• From the academic perspective, the proposed framework could be used in a scientific article.
28
• Finally, the best proposition would be to fully demonstrate EMF within an organization. It needs
to be implemented for some months to get concrete results but, as stated already, majority of the
processes are already prepared.
Implementing EMF in a real organization is suggested path to take as soon as possible. In that way
we could test the very core idea of EMF as an unique guideline for organizational energy management.
Even though energy management is quite a new area and still needs to be discovered, we believe that
its crucial for future of organizations. Our approach was mainly supported with engineering principles
by dividing concepts within processes and activities and connecting them with inputs and outputs. We
believe this is the most clear and understandable way for a successful management and we are sure
this will be recognized.
29
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32
Appendix A
EMF Process Reference Guide
This appendix contains entire EMF Process Reference Guide with all 21 EMF processes and their
respective RACI charts. Each process is detailed within a table as mentioned in previous sections.
33
Plan Energy Management (PEM)
01 Manage Energy Management Framework
02 Manage Energy Policy
03 Manage Energy Legal and Other Requirements
04 Manage Energy Review
05 Manage Energy Baseline
06 Manage Energy Performance Indicators (EnPIs)
07 Manage Energy Objectives, Targets and Action Plans
34
PEM01Table 1 PEM01 process description
PEM01 Manage Energy Management Framework
Process Description Clarify and commit to an organizational energy management. Implement and maintain mechanisms and authorities to manage energy in the organization.
Process Purpose Provide a consistent energy management approach to meet organizational energy management requirements by covering energy management processes, organisational structures, roles and responsibilities, reliable and repeatable activities, skills and competencies.
Process Inputs
From Description Needed for activities
ISO 50001 (outside EMF) International Standard needed to fully understand EMF
PEM01.01PEM01.02PEM01.03PEM01.04
REM01.05REM01.17
Management review document - results and changes in allocation of personnel
PEM01.07
Process Outputs
Produced in activities Description To
PEM01.05 Scope and boundaries document PEM02.12IEM04.02
PEM01.06PEM01.07PEM01.08
Energy management team document PEM07.11REM01.16
Process Activities
PEM01.01 Commit to achieve continual improvement of organizational energy performance and the compliance with the ISO 50001:2011 International Standard for energy management
PEM01.02 Acquire the ISO 50001 document (pdf format)
PEM01.03 Store the ISO 50001 document at the unique place within the organization
PEM01.04 Understand the ISO 50001 terms, definitions, requirements and the ISO 50001 Energy Management System (EnMS) procedural model
PEM01.05 Define the scope of the organisational energy management (deliverables and boundaries)
35
PEM01.06 Appoint the energy management team leader (management representative) with appropriate skills and competence
PEM01.07 Identify persons for the energy management team, to work with the energy management team leader in support of energy management activities
PEM01.08 Approve the formation of the energy management team
36
Table 2 PEM01 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM01.01 R
PEM01.02 R
PEM01.03 R
PEM01.04 R
PEM01.05 R
PEM01.06 R I
PEM01.07 A R I
PEM01.08 R C I
37
PEM02Table 3 PEM02 process description
PEM02 Manage Energy Policy
Process Description Establish, implement and manage the energy policy document. This document provides a statement by the organization of its overall intentions and direction related to its energy performance, and it’s formally expressed by top management
Process Purpose Provide a framework for action and for the setting of energy objectives and energy targets.
Process Inputs
From Description Needed for activities
PEM03.01 Energy related legal and other requirements document
PEM02.08
PEM01.05 Scope and boundaries document PEM02.12
REM01.03REM01.13
Management review document - energy policy review results
PEM02.16PEM02.17
Process Outputs
Produced in activities Description To
PEM02.01 Energy policy document PEM07.03IEM01.04IEM03.03IEM04.03IEM05.02REM01.03REM01.12
Process Activities
PEM02.01 Define the energy policy document (structure and content)
PEM02.02 Store the energy policy document at the unique place within the organization
PEM02.03 Ensure that the energy policy is accessible and communicated at all levels within the organization
PEM02.04 Ensure that the energy policy includes a commitment to continual improvement in energy peformance (statement by the organization of its overall intentions and directions)
PEM02.05 Ensure that the energy policy includes a commitment to ensure the availability of information to achieve objectives and targets
PEM02.06 Ensure that the energy policy includes a commitment to ensure the necessary resources to achieve objectives and targets
38
PEM02.07 Ensure that the energy policy provides the guideline for setting and reviewing energy objectives and targets
PEM02.08 Ensure that the energy policy includes a commitment to comply with legal and other requirements related to its energy use, consumption and efficiency
PEM02.09 Ensure that the energy policy includes a commitment to support energy-efficient design of facilities, equipment, systems and processes
PEM02.10 Ensure that the energy policy includes a commitment to support the purchase of energy-efficient products and services
PEM02.11 Ensure that the energy policy includes a commitment to plan energy management activities
PEM02.12 Ensure that the energy policy is within the scope of the organisational energy management
PEM02.13 Ensure that energy policy is appropriate to the nature and scale of the organization’s energy use and consumption
PEM02.14 Ensure that energy policy is appropriate for the industry and business of the organization
PEM02.15 Determine the review interval for energy policy
PEM02.16 Determine the exceptional criteria for updating energy policy
PEM02.17 Ensure that energy policy is regularly reviewed and updated upon major organisational changes that can effect energy performance
39
Table 4 PEM02 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM02.01 R
PEM02.02 R
PEM02.03 R
PEM02.04 R
PEM02.05 R
PEM02.06 R
PEM02.07 R
PEM02.08 R
PEM02.09 R
PEM02.10 R
PEM02.11 R
PEM02.12 R
PEM02.13 R
PEM02.14 R
PEM02.15 R
PEM02.16 R
PEM02.17 R
40
PEM03
Table 5 PEM03 process description
PEM03 Manage Legal and Other Requirements
Process Description Ensure that energy related legal and other requirements are well understood across entire organizational energy management.
Process Purpose Secure energy management actions from the legal perspective.
Process Inputs
From Description Needed for activities
Legal energy requirements (outside EMF)
Legal documents related to energy and energy management
All PEM03
REM01.06 Management review document - legal and other requirements review results
PEM03.05
Process Outputs
Produced in activities Description To
PEM03.01 Energy related legal and other requirements document
PEM02.08PEM07.05CEM02.02CEM04.01REM01.06
Process Activities
PEM03.01 Identify and document legal and other requirements related to organizational energy use, consumption and efficiency
PEM03.02 Ensure that legal and other requirements are accessible and communicated at all levels within the organization
PEM03.03 Define how legal and other requirements apply to organisational energy use, consumption and efficiency (association between each requirement and organisational implementation of that requirement)
PEM03.04 Determine the review interval for legal and other requirements
PEM03.05 Ensure that legal and other requirements are reviewed at planned intervals
41
Table 6 PEM03 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM03.01 R
PEM03.02 R
PEM03.03 R
PEM03.04 R
PEM03.05 R
42
PEM04Table 7 PEM04 process description
PEM04 Manage Energy Review
Process Description Conduct an energy review across entire organization. This means identifying all energy sources, total energy consumption and specific areas of the organization that cause significant energy use. Explicitly, those areas are organizational facilities, equipment, systems, processes and personnel. The process should be done repeatedly at defined intervals.
Process Purpose Represent an entire overview of organizational energy consumption. In that way, top management can have a complete picture of energy flow which helps in making energy related decisions, prioritization of changes and identifying opportunities to reduce energy costs.
Process Inputs
From Description Needed for activities
Energy providers (outside EMF) Energy bills from last few months/years document
PEM04.01PEM04.02PEM04.03
Organizational facilities (outside EMF) Document with detailed list of all organizational facilities
PEM04.04
Organizational equipment (outside EMF)
Document with detailed list of all organizational equipment
PEM04.05
Organizational systems (outside EMF) Document with detailed list of all organizational systems
PEM04.06
Organizational processes (outside EMF)
Document with detailed list of all organizational processes
PEM04.07
Organizational structure (outside EMF) Document with the list of all organizational personnel
PEM04.08
Other organizational variables (outside EMF)
Document with any other internal variables that could affect energy consumption
PEM04.09
Alternative energy sources (outside EMF)
Propositions document for renewable and alternative energy sources. Includes an extensive research in energy domain.
PEM04.11
Process Outputs
Produced in activities Description To
43
PEM04.01 Energy review document PEM05.01PEM07.06IEM01.01IEM01.02IEM07.01IEM08.01CEM01.03CEM01.04REM01.10REM01.11
Process Activities
PEM04.01 Establish and maintain an energy review
PEM04.02 Identify and measure current energy sources (electricity, water, gas, etc.)
PEM04.03 Evaluate past and present energy use and consumption
PEM04.04 Identify the facilities that significantly affect energy use and consumption and measure their current energy performance
PEM04.05 Identify the equipment that significantly affect energy use and consumption and measure their current energy performance
PEM04.06 Identify the systems that significantly affect energy use and consumption and measure their current energy performance
PEM04.07 Identify the processes that significantly affect energy use and consumption and measure their current energy performance
PEM04.08 Identify the personnel that significantly affect energy use and consumption and measure their current energy performance
PEM04.09 Identify other relevant variables that significantly affect energy use and consumption and measure their current energy performance
PEM04.10 Estimate future energy use and consumption
PEM04.11 Identify, prioritize and record opportunities for improving energy performance (potential sources of energy like use of renewable energy or other alternative energy sources)
PEM04.12 Determine energy review interval
PEM04.13 Update energy review at defined intervals
PEM04.14 Update energy review in response to major changes in facilities, equipment, systems, processes or other relevant variables (this also relates to new components that were not previously identified)
44
Table 8 PEM04 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM04.01 I R I
PEM04.02 A R
PEM04.03 A R
PEM04.04 A R
PEM04.05 A R
PEM04.06 A R
PEM04.07 A R
PEM04.08 A R
PEM04.09 A R
PEM04.10 I R
PEM04.11 I R
PEM04.12 I R
PEM04.13 I R
PEM04.14 I R
45
PEM05Table 9 PEM05 process description
PEM05 Manage Energy Baseline
Process Description Establish an energy baseline which is a quantitative reference providing a basis for comparison of energy performance. The energy baseline should reflect a specific period of time. Basically, it should use and combine all the information from energy review.
Process Purpose To serve as a reference for calculation of energy savings and to compare results before and after implementation of energy performance improvement actions.
Process Inputs
From Description Needed for activities
PEM04.01 Energy review document PEM05.01
PEM06.01 Energy Performance Indicators (EnPIs) document
PEM04.05
Process Outputs
Produced in activities Description To
PEM05.01 Energy baseline document CEM01.07
Process Activities
PEM05.01 Establish and maintain an energy baseline using the information from energy review
PEM05.02 Determine the criteria for updating energy baseline
PEM05.03 Measure all changes in energy performance against the energy baseline
PEM05.04 Update energy baseline if Energy Performance Indicators (EnPIs) no longer reflect organizational energy use and consumption
PEM05.05 Update energy baseline if there have been major changes to the processes, operational patterns or energy systems
PEM05.06 Update energy baseline by other predetermined method
46
Table 10 PEM05 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM05.01 I R
PEM05.02 I R C
PEM05.03 A R
PEM05.04 I R C
PEM05.05 I R C
PEM05.06 I R C
47
PEM06Table 11 PEM06 process description
PEM06 Manage Energy Performance Indicators (EnPIs)
Process Description Ensure that energy performance indicators are identified and appropriate for the organization. Ensure they provide an appropriate quantitative value or measure of energy performance. Update them as necessary.
Process Purpose Provide a unique set of simple metrics and quantitative values to compare energy performance.
Process Inputs
From Description Needed for activities
PEM05.01 Energy baseline document PEM06.05
REM01.04REM01.14
Management review document - EnPIs review results
PEM06.04
Process Outputs
Produced in activities Description To
PEM06.01 Energy Performance Indicators (EnPIs) document
PEM04.05IEM08.01CEM01.05REM01.04
Process Activities
PEM06.01 Identify Energy Performance Indicators (EnPIs) appropriate for monitoring and measuring energy performance
PEM06.02 Record the methodology for identifying and updating EnPIs
PEM06.03 Determine the review interval for EnPIs
PEM06.04 Regularly review the methodology for identifying and updating EnPIs
PEM06.05 Regularly review and compare EnPIs to the energy baseline
48
Table 12 PEM06 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM06.01 A R
PEM06.02 R
PEM06.03 R
PEM06.04 R
PEM06.05 R
49
PEM07
Table 13 PEM07 process description
PEM07 Manage Energy Objectives, Targets and Action Plans
Process Description Establish energy objectives, targets and action plans across different levels of the organization and establish time periods for reaching objectives and targets.
Process Purpose Ensure that organizational energy management is always steered and focused in the right direction.
Process Inputs
From Description Needed for activities
PEM02.01 Energy policy document PEM07.03
PEM03.01 Energy related legal and other requirements document
PEM07.05
PEM04.01 Energy review document PEM07.06
PEM01.06PEM01.07PEM01.08
Energy management team document PEM07.11
REM01.07REM01.15
Management review document - energy objectives and targets review results
PEM07.16
Process Outputs
Produced in activities Description To
PEM07.01 Energy objectives, targets and action plans document
IEM04.04IEM05.02CEM01.06CEM03.06REM01.07
Process Activities
PEM07.01 Establish and maintain energy objectives and targets (at the relevant functions, levels, processes and facilities within organization)
PEM07.02 Establish time frames to achieve energy objectives and targets
PEM07.03 Ensure that energy objectives and targets are consistent with the energy policy
PEM07.04 Ensure that energy targets are consistent with energy objectives
50
PEM07.05 Ensure that energy objectives and targets are consistent with legal and other requirements
PEM07.06 Ensure that energy objectives and targets are consistent with the energy review (identified significant energy uses and opportunities)
PEM07.07 Ensure that energy objectives and targets consider financial, operational and business conditions
PEM07.08 Ensure that energy objectives and targets consider technological options
PEM07.09 Ensure that energy objectives and targets consider involved stakeholders
PEM07.10 Establish and maintain action plans for achieving energy objectives and targets
PEM07.11 Ensure that action plans include designation of responsibility
PEM07.12 Ensure that action plans include the means and time frame by which individual targets should be achieved
PEM07.13 Ensure that action plans include a statement of the method by which an improvement in energy performance shall be verified
PEM07.14 Ensure that action plans include a statement of the method of verifying the results
PEM07.15 Determine the review interval for energy objectives, targets and action plans
PEM07.16 Review and update energy objectives, targets and action plans at defined interval
51
Table 14 PEM07 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
PEM07.01 A R
PEM07.02 R
PEM07.03 R
PEM07.04 R
PEM07.05 R
PEM07.06 R
PEM07.07 R
PEM07.08 R
PEM07.09 R
PEM07.10 R
PEM07.11 R
PEM07.12 R
PEM07.13 R
PEM07.14 R
PEM07.15 R
PEM07.16 I R
52
Implement Energy Management (IEM)
01 Manage Competence and Awareness
02 Manage Training
03 Manage Communication
04 Manage Documentation
05 Manage Operational Control
06 Manage Energy Efficient Projects
07 Manage Procurement of Energy Services, Products, Equipment and Strategy
08 Manage Energy Management Systems (EMSs)
53
IEM01Table 15 IEM01 process description
IEM01 Manage Competence and Awareness
Process Description Ensure that energy management principles are spread across the entire organization. Identify key skills and training needs to personnel on how to use energy more efficiently.
Process Purpose Ensure that employees are motivated and aware of benefits of a good energy management.
Process Inputs
From Description Needed for activities
Organizational structure (outside EMF) Document with the list of all organizational personnel
IEM01.01IEM01.02
PEM04.01 Energy review document - personnel that significantly affect energy use and consumption
IEM01.01IEM01.02
REM01.05REM01.17
Management review document - results and changes in allocation of personnel
IEM01.01IEM01.02
PEM02.01 Energy policy document IEM01.04
Process Outputs
Produced in activities Description To
IEM01.01 List of personnel that are related to significant energy use operations document
IEM02.02IEM04.09
IEM01.02IEM01.03
Training needs approval IEM02.01IEM02.02
IEM01.04IEM01.05IEM01.06IEM01.07
Awareness document that summarises importance of energy efficiency within organization
All personnel (outside EMF)
Process Activities
IEM01.01 Identify all personnel that are directly related with significant energy uses and the operation (processes, facilities, equipment)
54
IEM01.02 Ensure that identified personnel are competent on the basis of appropriate education, training, skills and/or experience
IEM01.03 Identify appropriate training needs associated with the control of significant energy uses and the operation
IEM01.04 Ensure that all personnel are aware of the importance of conformity with the energy policy, procedures and the requirements of the ISO 50001
IEM01.05 Ensure that all personnel are aware of their roles, responsibilities and authorities in achieving the requirements of the ISO 50001
IEM01.06 Ensure that all personnel are aware of benefits of improved energy performance
IEM01.07 Ensure that all personnel are aware of the impact of their direct activities on energy performance
55
Table 16 IEM01 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM01.01 C R I
IEM01.02 R I
IEM01.03 I C R I
IEM01.04 R I
IEM01.05 R I
IEM01.06 R I
IEM01.07 R I
56
IEM02Table 17 IEM02 process description
IEM02 Manage Training
Process Description Ensure that proper training related to energy use is implemented across the organisation
Process Purpose Ensure that employees gain skills and competences for appropriate tasks related to energy consumption.
Process Inputs
From Description Needed for activities
IEM01.02IEM01.03
Training needs approval IEM02.01IEM02.02
Organizational structure (outside EMF) Document with the list of all organizational personnel
IEM02.02IEM02.04
IEM01.01 List of personnel that are related to significant energy use operations document
IEM02.02
Organizational facilities (outside EMF) Document with detailed list of all organizational facilities
IEM02.04
Organizational equipment (outside EMF)
Document with detailed list of all organizational equipment
IEM02.04
Organizational systems (outside EMF) Document with detailed list of all organizational systems
IEM02.04
Process Outputs
Produced in activities Description To
IEM02.08 Training records document REM01.05
Process Activities
IEM02.01 Establish training procedures if the training needs are identified
IEM02.02 Identify personnel involved in training
IEM02.03 Identify personnel that will provide training (internal or external conultors)
IEM02.04 Identify facilities, equipment and systems that will be used for training
IEM02.05 Establish time frames and expected results from training
IEM02.06 Establish methods for tracking training progress
57
IEM02.07 Implement training procedures
IEM02.08 Maintain training records
58
Table 18 IEM02 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM02.01 I A R I
IEM02.02 C R I
IEM02.03 C R I
IEM02.04 C R I
IEM02.05 C R I
IEM02.06 C R I
IEM02.07 A R I
IEM02.08 I I R I
59
IEM03
Table 19 IEM03 process description
IEM03 Manage Communication
Process Description Communicate across entire organization about energy and its use. Communicate through emails, documents, presentations, conversations.
Process Purpose Ensure that employees are actively involved in energy management. Ensure that they can openly make suggestions which could improve overall energy performance.
Process Inputs
From Description Needed in activities
IEM05.03 Operational control criteria IEM03.02
PEM02.01 Energy policy document IEM03.03
Process Outputs
Produced in activities Description To
IEM03.01IEM03.02
Shared access point for internal communication related to energy performance
Outside of EMF
IEM03.03IEM03.04
Shared access point for external communication related to energy performance
Outside of EMF
Process Activities
IEM03.01 Communicate internally about energy performance and the ISO 50001
IEM03.02 Establish and implement a process by which any personnel can make comments or suggest improvements for the energy performance
IEM03.03 Establish the criteria for external communication regarding organization’s energy policy and energy performance
IEM03.04 Establish and implement a method for external communication (if the decision is to communicate externally)
60
Table 20 IEM03 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM03.01 I R I I
IEM03.02 R I I
IEM03.03 C R I I
IEM03.04 R I I
61
IEM04Table 21 IEM04 process description
IEM04 Manage Documentation
Process Description Establish the documentation that describes the core elements of organizational energy management and its energy management system.
Process Purpose Ensure that entire information about energy management is in one place, easily available and transparent for specific organizational levels.
Process Inputs
From Description Needed for activities
PEM01.05 Scope and boundaries document IEM04.02
PEM02.01 Energy policy document IEM04.03
PEM07.01 Energy objectives targets and action plans document
IEM04.04
ISO 50001 (outside EMF) International Standard needed to fully understand EMF
IEM04.05
Other documentation (outside EMF) Other optional documentation IEM04.06
Organizational structure (outside EMF) Document with the list of all organizational personnel
IEM04.07
IEM01.01 List of personnel that are related to significant energy use operations document
IEM04.09
Process Outputs
Produced in activities Description To
IEM04.01IEM04.10IEM04.11IEM04.12IEM04.13IEM04.14IEM04.15IEM04.16
List of documentation procedures (important for all documents within the EMF)
All EMF processes
62
Process Activities
IEM04.01 Establish the medium (paper or electronic) that will maintain information about organisational energy performance
IEM04.02 Ensure that the documentation includes the scope and boundaries
IEM04.03 Ensure that the documentation includes the energy policy
IEM04.04 Ensure that the documentation includes the energy objectives, targets and action plans
IEM04.05 Ensure that the documentation includes the documents and records required by ISO 50001 International Standard
IEM04.06 Ensure that the documentation includes other documents determined by the organization to be necessary
IEM04.07 Ensure that the degree of the documentation is appropriate to the scale of the organization and type of activities
IEM04.08 Ensure that the degree of the documentation if appropriate to the complexity of the processes and their interactions
IEM04.09 Ensure that the degree of the documentation if appropriate to the competence of personnel
IEM04.10 Establish and implement procedures to approve documents for adequacy prior to issue
IEM04.11 Establish and implement procedures to periodically review and update documents as necessary
IEM04.12 Establish and implement procedures to ensure that changes and the current revision status of documents are identified
IEM04.13 Establish and implement procedures to ensure that relevant versions of applicable documents are available at points of use
IEM04.14 Establish and implement procedures to ensure that documents remain legible and readily identifiable
IEM04.15 Establish and implement procedures to ensure documents of external origin are identified and their distribution controlled
IEM04.16 Establish and implement procedures to prevent the unintended use of obsolete documents, and identify those to be retained for any purpose
63
Table 22 IEM04 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM04.01 I R I I
IEM04.02 R
IEM04.03 R
IEM04.04 R
IEM04.05 R
IEM04.06 R
IEM04.07 R
IEM04.08 R
IEM04.09 R
IEM04.10 R
IEM04.11 R
IEM04.12 R
IEM04.13 R
IEM04.14 R
IEM04.15 R
IEM04.16 R
64
IEM05Table 23 IEM05 process description
IEM05 Manage Operational Control
Process Description Control facilities, equipment, systems, processes and activities of the organization that contain significant energy use. Ensure that they are consistent with energy policy, objectives, targets and action plans.
Process Purpose Ensure that all mentioned operational components are energy effective and aligned with established criteria.
Process Inputs
From Description Needed for activities
PEM02.01 Energy policy document IEM05.02
PEM07.01 Energy objectives, targets and action plans document
IEM05.02
Process Outputs
Produced in activities Description To
IEM05.03 Operational control criteria All EMF
Process Activities
IEM05.01 Identify operation and maintenance activities related to organizational significant energy use
IEM05.02 Ensure that operation and maintenance activities related to organizational significant energy use are consistent with energy policy, objectives, targets and action plans
IEM05.03 Establish and implement criteria for the effective operation and maintenance activities related to significant energy use
IEM05.04 Operate and maintain facilities, processes, systems and equipment in accordance with established operational criteria
IEM05.05 Communicate about operational control to personnel
65
Table 24 IEM05 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM05.01 I R I I
IEM05.02 R
IEM05.03 R I
IEM05.04 A C R
IEM05.05 C R I
66
IEM06Table 25 IEM06 process description
IEM06 Manage Energy Efficient Projects
Process Description Design new, modified and renovated facilities, equipment, systems, processes and activities in an energy efficient way.
Process Purpose Ensure that energy performance improvement opportunities are incorporated in future designs and specifications.
Process Inputs
From Description Needed for activities
Organizational facilities (outside EMF) Document with detailed list of all organizational facilities
IEM06.01IEM06.02
Organizational equipment (outside EMF)
Document with detailed list of all organizational equipment
IEM06.01IEM06.02
Organizational systems (outside EMF) Document with detailed list of all organizational systems
IEM06.01IEM06.02
Organizational processes (outside EMF)
Document with detailed list of all organizational processes
IEM06.01IEM06.02
PEM04.01 Energy review document IEM06.03IEM06.04
Process Outputs
Produced in activities Description To
IEM06.03IEM06.04IEM06.05IEM06.06IEM06.07IEM06.08
Energy efficient projects documentation
REM01.12
Process Activities
IEM06.01 Identify new facilities, equipment, systems and processes that can adopt energy efficient design
IEM06.02 Identify current facilities, equipment, systems and processes that can adopt energy efficient design
IEM06.03 Identify energy efficient projects based on identified needs
IEM06.04 Apply the results of energy performance evaluation into the specification of the relevant projects
IEM06.05 Establish time frames and expected results from energy efficient projects
67
IEM06.06 Establish methods for tracking energy efficient projects
IEM06.07 Implement energy efficient projects
IEM06.08 Maintain records of the projects
68
Table 26 IEM06 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM06.01 I R C
IEM06.02 I R C C
IEM06.03 I R C I
IEM06.04 C R
IEM06.05 R I
IEM06.06 R I
IEM06.07 I A R I
IEM06.08 I C R
69
IEM07
Table 27 IEM07 process description
IEM07 Manage Procurement of Energy Services, Products, Equipment and Strategy
Process Description Inform suppliers that their products are evaluated on the basis of energy performance.
Process Purpose Raise the awareness among suppliers about energy efficiency and how it can affect procurement decisions.
Process Inputs
From Description Needed for activities
Organizational facilities (outside EMF) Document with detailed list of all organizational facilities
IEM07.01
Organizational equipment (outside EMF)
Document with detailed list of all organizational equipment
IEM07.01
Organizational systems (outside EMF) Document with detailed list of all organizational systems
IEM07.01
PEM04.01 Energy review document IEM07.01
Process Outputs
Produced in activities Description To
IEM07.03IEM07.04
Energy specifications for purshasing and procurement
Outside EMFIEM08.03
Process Activities
IEM07.01 Identify procured services and products (equipment, systems) that can have significant energy use
IEM07.02 Ensure that suppliers are informed that their products and services are partly evaluated on the basis of energy performance
IEM07.03 Establish and implement the criteria for assessing energy use, consumption and efficiency over the planned operating lifetime when procuring energy services and products that can have significant energy use
IEM07.04 Define and document energy purchasing specifications
70
Table 28 IEM07 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM07.01 I R
IEM07.02 R C
IEM07.03 C R
IEM07.04 C R
71
IEM08Table 29 IEM08 process description
IEM08 Manage Energy Management Systems (EMSs)
Process Description Manage softwares, tools and equipment for tracking and regulating energy usage and performance across organization. Tools are usually specific for the organisations and industries so the process is highly dependable on those conditions.
Process Purpose Increase energy efficiency, reduce cost and environmental issues by using technological solutions available on the market.
Process Inputs
From Description Needed for activities
PEM04.01 Energy review document IEM08.01
PEM06.01 Energy Performance Indicators (EnPIs) document
IEM08.01IEM08.02
Outside of EMF Energy management system market solutions
IEM08.02IEM08.03
IEM07.03IEM07.04
Energy specifications for purshasing and procurement
IEM08.02IEM08.03
IEM07.03IEM07.04
Energy specifications for purshasing and procurement
IEM08.01IEM08.02IEM08.03
Process Outputs
Produced in activities Description To
IEM08.06 Real-time results of energy management systems
All EMF processes
Process Activities
IEM08.01 Identify the necessity for energy management systems and technology
IEM08.02 Provide systems requirements
IEM08.03 Find and choose systems based on agreed requirements
IEM08.04 Implement energy management systems (in-house or with external consulting)
IEM08.05 Ensure systems are operating and complying with the requirements
IEM08.06 Ensure systems are providing data
72
IEM08.06 Record real-time results of energy management systems
73
Table 30 IEM08 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
IEM08.01 R C C C
IEM08.02 R C C
IEM08.03 R C C
IEM08.04 A R I
IEM08.05 A R I
IEM08.06 I A R I
74
Check Energy Management (CEM)
01 Manage Monitoring, Measurement and Analysis
02 Manage Evaluation of Compliance with Legal and Other Requirements
03 Manage Internal Audit
04 Manage Nonconformities, Correction, Corrective and Preventive Action
05 Manage Control of the Records
75
CEM01Table 31 CEM01 process description
CEM01 Manage Monitoring, Measurement and Analysis
Process Description Ensure that the key energy characteristics of organizational operations are monitored, measured and analysed at planned intervals.
Process Purpose Always be updated with current energy performance across entire organization with all of its components.
Process Inputs
From Description Needed for activities
PEM04.01 Energy review document CEM01.03CEM01.04
PEM06.01 Energy Performance Indicators (EnPIs) document
CEM01.05
PEM07.01 Energy objectives, targets and action plans document
CEM01.06
PEM05.01 Energy baseline document CEM01.07
Process Outputs
Produced in activities Description To
CEM01.01 Monitoring, measurement and analysis plan
REM01.01
CEM01.08CEM01.12CEM01.13CEM01.14
Monitoring, measurement and analysis results
REM01.01
Process Activities
CEM01.01 Establish the monitoring, measurement and analysis plan
CEM01.02 Define the time interval for monitoring, measurement and analysis for each monitored characteristic
CEM01.03 At planned intervals, monitor, measure and analyse significant energy uses and other outputs from energy review
CEM01.04 At planned intervals, monitor, measure and analyse relevant variables related to significant energy uses
CEM01.05 At planned intervals, monitor measure and analyse EnPIs
76
CEM01.06 At planned intervals, monitor measure and analyse the effectiveness of action plans in achieving objectives and targets
CEM01.07 At planned intervals, monitor measure and analyse evaluation of actual compared to expected energy consumption
CEM01.08 Record the results from monitoring, measurement and analysis
CEM01.09 Determine the measurement needs review interval
CEM01.10 Periodically review organizations measurement needs
CEM01.11 Ensure that equipment provides data which is accurate and repeatable
CEM01.12 Record results of calibration
CEM01.13 Investigate and respond to significant deviations in energy performance
CEM01.14 Record results of significant deviations in energy performance
77
Table 32 CEM01 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
CEM01.01 I R C
CEM01.02 R I
CEM01.03 A R
CEM01.04 A R
CEM01.05 A R
CEM01.06 A R
CEM01.07 A R
CEM01.08 A R
CEM01.09 R
CEM01.10 R
CEM01.11 I R C
CEM01.12 I R
CEM01.13 R C
CEM01.14 I R C
78
CEM02
Table 33 CEM02 process description
CEM02 Manage Evaluation of Compliance with Legal and Other Requirements
Process Description Evaluate energy related compliance at planned intervals.
Process Purpose Ensure that organizational energy performance is under legal requirements.
Process Inputs
From Description Needed for activities
Legal energy requirements (outside EMF)
Legal documents related to energy and energy management
CEM02.02
PEM03.01 Energy related legal and other requirements document
CEM02.02
Process Outputs
Produced in activities Description To
CEM02.03 Energy related legal and other requirements evaluation results
REM01.06
Process Activities
CEM02.01 Determine the evaluation interval for legal and other requirements
CEM02.02 At planned intervals, evaluate compliance with legal and other requirements related to organizational energy use and consumption
CEM02.03 Record results of compliance evaluation
79
Table 34 CEM02 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
CEM02.01 C R
CEM02.02 R C
CEM02.03 I R
80
CEM03Table 35 CEM03 process description
CEM03 Manage Internal Audit
Process Description Conduct a periodical audit of organizational energy management system.
Process Purpose Ensure that energy management system is always aligned with energy objectives, targets, ISO 50001 and other planned requirements.
Process Inputs
From Description Needed for activities
Outside of EMF List of auditors CEM03.04
ISO 50001 (outside EMF) International Standard needed to fully understand EMF
CEM03.05
PEM07.01 Energy objectives, targets and action plans document
CEM03.06
Process Outputs
Produced in activities Description To
CEM03.08CEM03.09
Audit results document CEM04.01REM01.08
Process Activities
CEM03.01 Develop an EnMS audit plan and schedule
CEM03.02 Define audit interval
CEM03.03 Ensure that audit plan and schedule consider status and importance of the processes and areas to be audited as well as the results of previous audits
CEM03.04 Ensure objectivity and impartiality of the audit process by selecting appropriate auditors and conduct of audits
CEM03.05 At planned intervals, ensure that the EnMS conforms to planned arrangements for energy management including the requirements of ISO 50001
CEM03.06 At planned intervals, ensure that the EnMS conforms with the established energy objectives and targets
CEM03.07 At planned intervals, ensure that the EnMS is effectively implemented and maintained, and improves energy performance
CEM03.08 Record results of audits
CEM03.09 Report results of audits to top management
81
Table 36 CEM03 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
CEM03.01 C R I
CEM03.02 R C
CEM03.03 R C
CEM03.04 R C
CEM03.05 R C
CEM03.06 R C
CEM03.07 R C
CEM03.08 A R
CEM03.09 I R
82
CEM04Table 37 CEM04 process description
CEM04 Manage Nonconformities, Correction, Corrective and Preventive Action
Process Description Identify actual and potential nonconformities or, in other words, non-fulfilments of requirements. Conduct corrective and preventive actions on those nonconformities.
Process Purpose Ensure that organizational energy management system fulfils all requirements of ISO 50001 Standard.
Process Inputs
From Description Needed for activities
ISO 50001 (outside EMF) International Standard needed to fully understand EMF
CEM04.01
CEM03.08CEM03.09
Audit results document CEM04.01
PEM03.01 Energy related legal and other requirements document
CEM04.01
Process Outputs
Produced in activities Description To
CEM04.05 Corrective and preventive actions record
All EMF processes
Process Activities
CEM04.01 Identify nonconformities or potential nonconformities
CEM04.02 Determine the causes of nonconformities or potential nonconformities
CEM04.03 Evaluate the need for action to ensure that nonconformities do not occur or recur
CEM04.04 Define and implement the appropriate actions needed
CEM04.05 Maintain records of corrective and preventive actions
CEM04.06 Review the effectiveness of the corrective or preventive action taken
CEM04.07 Ensure that necessary changes are made to the EnMS
83
Table 38 CEM04 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
CEM04.01 I R C
CEM04.02 I R C
CEM04.03 I R
CEM04.04 I A R
CEM04.05 A R
CEM04.06 I R C
CEM04.07 I R
84
CEM05Table 39 CEM05 process description
CEM05 Manage Control of the Records
Process Description Maintain records and documentation of organizational energy management. Define appropriate control over those records.
Process Purpose Ensure that energy management records are always identifiable, legible and traceable to demonstrate conformity to ISO 50001 requirements.
Process Inputs
From Description Needed for activities
ISO 50001 (outside EMF) International Standard needed to fully understand EMF
CEM05.01
All EMF processes All documents from EMF All CEM05
Process Outputs
Produced in activities Description To
CEM05.02 Records control procedures All EMF processes
Process Activities
CEM05.01 Ensure that records are in conformity to the requirements of the ISO 50001 requirements
CEM05.02 Define and implement controls of the identification, retrieval and retention of records
CEM05.03 Ensure that records remain legible, identifiable and traceable to relevant activity
85
Table 40 CEM05 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
CEM05.01 I R
CEM05.02 I R
CEM05.03 I R
86
Review Energy Management (REM)
01 Apply Management Review
87
REM01
Table 41 REM01 process description
REM01 Apply Management Review
Process Description Conduct a top management review of organizational energy management and energy management system. The review should be done at planned intervals.
Process Purpose Ensure suitability, adequacy and effectiveness of organizational energy management and energy management system.
Process Inputs
From Description Needed for activities
CEM01.01 Monitoring, measurement and analysis plan
REM01.01
CEM01.08CEM01.12CEM01.13CEM01.14
Monitoring, measurement and analysis results
REM01.01
REM01.01 (previous) Energy management review (previous documents)
REM01.02
PEM02.01 Energy policy document REM01.03REM01.12
PEM06.01 Energy Performance Indicators (EnPIs) document
REM01.04
IEM02.08 Training records document REM01.05
PEM03.01 Energy related legal and other requirements document
REM01.06
CEM02.03 Energy related legal and other requirements evaluation results
REM01.06
PEM07.01 Energy objectives, targets and action plans document
REM01.07
CEM03.08CEM03.09
Audit results document REM01.08
CEM04.05 Corrective and preventive actions record
REM01.09
PEM04.01 Energy review document REM01.10REM01.11
88
Process Outputs
Produced in activities Description To
REM01.03REM01.13
Management review document - energy policy review results
PEM02.16PEM02.17
REM01.06 Management review document - legal and other requirements review results
PEM03.05
REM01.04REM01.14
Management review document - EnPIs review results
PEM06.04
REM01.07REM01.15
Management review document - energy objectives and targets review results
PEM07.16
REM01.05REM01.17
Management review document - results and changes in allocation of personnel
PEM01.07IEM01.01IEM01.02
REM01.16 Management review document - changes and observations for other parts of the EnMS
All EMF
Process Activities
REM01.01 Establish and implement a management review
REM01.02 Review follow-up actions from previous management reviews
REM01.03 Review the energy policy
REM01.04 Review energy performance and related EnPIs
REM01.05 Review training results
REM01.06 Review results of the evaluation of compliance with legal requirements and changes in legal requirements and other requirements
REM01.07 Review the extent to which the energy objectives and targets have been met
REM01.08 Review the audit results
REM01.09 Review the status of corrective and preventive actions
REM01.10 Review the estimated energy performance for the following period
REM01.11 Review recommendations for improvement
REM01.12 Review energy efficient projects
REM01.13 Implement changes in energy policy
REM01.14 Implement changes in EnPIs
89
REM01.15 Implement changes to energy objectives and targets
REM01.16 Implement changes to other elements of the EnMS to ensure continual improvement
REM01.17 Implement changes to allocation of resources
REM01.18 Record the management review
90
Table 42 REM01 RACI chart
Process activities
Top managementEnergy management
team leaderEnergy management
teamPersonnel related to
energy uses
REM01.01 R C
REM01.02 R C
REM01.03 R C
REM01.04 R C
REM01.05 R C
REM01.06 R C
REM01.07 R C
REM01.08 R C
REM01.09 R C
REM01.10 R C
REM01.11 R C
REM01.12 R C
REM01.13 R C
REM01.14 R C
REM01.15 R C
REM01.16 R C
REM01.17 R C
91
92