Energy management systems -- Guidance for the implementation, maintenance and improvement of an ISO 50001 energy management system

This document gives practical guidelines and examples for establishing, implementing, maintaining and improving an energy management system (EnMS) in accordance with the systematic approach of ISO 50001:2018. The guidance in this document is applicable to any organization. This document does not provide guidance on how to develop an integrated management system. While the guidance in this document is consistent with the requirements of ISO 50001:2018, it does not provide interpretations of those requirements.

Systèmes de management de l'énergie -- Lignes directrices pour la mise en oeuvre, la maintenance et l'amélioration d'un système de management de l'énergie de l'ISO 50001

Le présent document fournit des recommandations pratiques et des exemples pour établir, mettre en œuvre, maintenir et améliorer un systčme de management de l'énergie (SMÉ) conformément ŕ la démarche méthodique de l'ISO 50001:2018. Les recommandations du présent document sont applicables ŕ tout organisme. Le présent document ne fournit pas de lignes directrices sur la maničre d'élaborer un systčme de management intégré. Bien que les recommandations du présent document soient en cohérence avec les exigences de l'ISO 50001:2018, il ne fournit pas d'interprétation de ces exigences.

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Publication Date
15-Jun-2020
Current Stage
6060 - International Standard published
Start Date
16-Jun-2020
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INTERNATIONAL ISO
STANDARD 50004
Second edition
2020-06
Energy management systems —
Guidance for the implementation,
maintenance and improvement of an
ISO 50001 energy management system
Systèmes de management de l'énergie — Lignes directrices pour la
mise en oeuvre, la maintenance et l'amélioration d'un système de
management de l'énergie de l'ISO 50001
Reference number
ISO 50004:2020(E)
ISO 2020
---------------------- Page: 1 ----------------------
ISO 50004:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2020

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2020 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 50004:2020(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms, definitions and abbreviated terms ................................................................................................................................ 1

3.1 Terms and definitions ....................................................................................................................................................................... 1

3.2 Abbreviated terms ............................................................................................................................................................................... 1

4 Context of the organization ....................................................................................................................................................................... 2

4.1 Understanding the organization and its context ....................................................................................................... 2

4.2 Understanding the needs and expectations of interested parties .............................................................. 3

4.3 Determining the scope of the energy management system ............................................................................. 4

4.4 Energy management system ....................................................................................................................................................... 5

5 Leadership .................................................................................................................................................................................................................. 6

5.1 Leadership and commitment ..................................................................................................................................................... 6

5.2 Energy policy ............................................................................................................................................................................................ 8

5.3 Organization roles, responsibilities and authorities .............................................................................................. 8

6 Planning ......................................................................................................................................................................................................................... 9

6.1 Actions to address risks and opportunities ................................................................................................................... 9

6.2 Objectives, energy targets and planning to achieve them ..............................................................................10

6.3 Energy review .......................................................................................................................................................................................12

6.3.1 General...................................................................................................................................................................................12

6.3.2 Analysis of energy use and consumption ................................................................................................12

6.3.3 Identification of SEUs based on the analysis ........................................................................................14

6.3.4 Actions related to SEUs ...........................................................................................................................................15

6.3.5 Determination and prioritization of potential opportunities for improving

energy performance ........................................................................................................................................... ........15

6.3.6 Estimation of future energy use(s) and energy consumption ...............................................17

6.4 Energy performance indicators .............................................................................................................................................17

6.5 Energy baseline ...................................................................................................................................................................................19

6.6 Planning for collection of energy data .............................................................................................................................20

7 Support ........................................................................................................................................................................................................................21

7.1 Resources ..................................................................................................................................................................................................21

7.2 Competence ............................................................................................................................................................................................22

7.3 Awareness ................................................................................................................................................................................................23

7.4 Communication ...................................................................................................................................................................................24

7.5 Documented information ............................................................................................................................................................25

7.5.1 General...................................................................................................................................................................................25

7.5.2 Creating and updating ..............................................................................................................................................26

7.5.3 Control of documented information ............................................................................................................26

8 Operation ..................................................................................................................................................................................................................27

8.1 Operational planning and control .......................................................................................................................................27

8.2 Design ..........................................................................................................................................................................................................29

8.3 Procurement ..........................................................................................................................................................................................30

9 Performance evaluation ............................................................................................................................................................................31

9.1 Monitoring, measurement, analysis and evaluation of energy performance and the

EnMS .............................................................................................................................................................................................................31

9.1.1 General...................................................................................................................................................................................31

9.1.2 Evaluation of compliance with legal requirements and other requirements...........32

9.2 Internal audit .........................................................................................................................................................................................33

9.3 Management review ........................................................................................................................................................................34

© ISO 2020 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO 50004:2020(E)

10 Improvement .........................................................................................................................................................................................................35

10.1 Nonconformity and corrective action ..............................................................................................................................35

10.2 Continual improvement ...............................................................................................................................................................36

Bibliography .............................................................................................................................................................................................................................37

iv © ISO 2020 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 50004:2020(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www .iso .org/ patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/

iso/ foreword .html.

This document was prepared by Technical Committee ISO/TC 301, Energy management and energy

savings.

This second edition cancels and replaces the first edition (ISO 50004:2014), which has been technically

revised. The main changes compared with the previous edition are as follows:

— the document has been restructured as per the high level structure (HLS) for management system

standards (MSS), which helps to ensure a high level of compatibility with other MSS, including the

[12]
addition of context of the organization and risk ;
— stronger emphasis has been placed on the role of top management;
— exclusions of energy types have been clarified;
— the energy review has been clarified;

— details on the energy data collection plan and related requirements have been added (previously

the energy measurement plan);

— the EnPI and EnB text has been clarified to provide a better understanding of these concepts;

— the examples based on the experience of implementation have been included;

— the format has been modified to remove the practical help boxes and integrate the information

within the text;
— the annexes have been removed.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
© ISO 2020 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 50004:2020(E)
Introduction

This document provides practical guidance when implementing the requirements of an energy

management system (EnMS) based on ISO 50001. It shows the organization how to take a systematic

approach to achieve continual improvement in the EnMS and energy performance. This document is

not prescriptive. Each organization can determine the best approach to adopt the requirements of

ISO 50001. The user is advised to use this document with ISO 50001 and its annexes.

This document provides guidance to users with different levels of energy management, energy

consumption and EnMS experience. Each clause explains how an organization can approach a part of an

EnMS. Practical tools, methods, strategies and examples are provided to help organizations implement

an EnMS and to continually improve energy performance. The examples and approaches presented

in this document are for illustrative purposes only. They are not intended to represent the only

possibilities, nor are they necessarily suitable for every organization. In implementing, maintaining or

improving an EnMS, it is important that organizations select approaches appropriate to their needs.

Energy management is sustainable and most effective when it is integrated with an organization’s

overall business processes (e.g. operations, finance, quality, maintenance, human resources,

procurement, health and safety, and environmental policy).

ISO 50001 can be integrated with other management system standards (MSS), such as ISO 9001,

ISO 14001, ISO 45001 and ISO 55001. Integration can have a positive effect on business culture and

business practice, embedding energy management into daily practice, improving operational efficiency

and reducing the operational costs related to the management system. The common HLS of MSS

[12]
supports this integration .

Ongoing commitment and engagement by top management is essential for the effective implementation,

maintenance and improvement of the EnMS, and for achieving continual energy performance

improvement. Top management ensures the EnMS is aligned with the strategic direction of the

organization and demonstrates its commitment through leadership actions that ensure the ongoing

allocation of resources, including the people to implement, maintain and improve the EnMS over time.

vi © ISO 2020 – All rights reserved
---------------------- Page: 6 ----------------------
INTERNATIONAL STANDARD ISO 50004:2020(E)
Energy management systems — Guidance for the
implementation, maintenance and improvement of an ISO
50001 energy management system
1 Scope

This document gives practical guidelines and examples for establishing, implementing, maintaining

and improving an energy management system (EnMS) in accordance with the systematic approach of

ISO 50001:2018. The guidance in this document is applicable to any organization.

This document does not provide guidance on how to develop an integrated management system.

While the guidance in this document is consistent with the requirements of ISO 50001:2018, it does not

provide interpretations of those requirements.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 50001:2018, Energy management systems — Requirements with guidance for use
3 Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 50001:2018 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.2 Abbreviated terms
EnB energy baseline
EnMS energy management system
EnPI energy performance indicator
GHG greenhouse gas
HLS high level structure
HVAC heating, ventilation and air conditioning
MSS management system standard
PDCA Plan-Do-Check-Act
© ISO 2020 – All rights reserved 1
---------------------- Page: 7 ----------------------
ISO 50004:2020(E)
PESTLE political, economic, social, technological, legal, environmental
SEU significant energy use
SWOT strengths, weaknesses, opportunities, threats
TDODAR time, diagnose, options, decide, act/assign, review
4 Context of the organization
4.1 Understanding the organization and its context

This subclause involves determining strategic issues, i.e. issues that can affect, either positively or

negatively, the intended outcomes of the EnMS. Determining these issues (both internal and external)

serves to connect the EnMS with the organization’s strategic direction and goals.

EXAMPLE 1 Examples of internal issues include but are not limited to:
— strategic direction and organizational management;
— processes, systems and operational factors;
— the age and condition of equipment and systems;
— the organization’s performance indicators;
— the organization’s financial circumstances;
— organizational structure and hierarchy;
— employee knowledge and organization culture;
— mission and vision of the company.
EXAMPLE 2 Examples of external issues include but are not limited to:
— economic and financial;
— security of energy supply;
— technology;
— cultural, social and political;
— geographical;
— legal/other requirements;
— environmental;
— restrictions on energy consumption;
— natural and competitive circumstances.

When the context of an organization is well understood, it assists in establishing, implementing,

maintaining and continually improving the organization’s EnMS and energy performance.

Understanding the context promotes discussion between top management and the relevant interested

parties (see 4.2) and ensures that changing circumstances and other issues are addressed to benefit

the EnMS. Integral to this process is understanding the aims and culture of the organization. This helps

to align the EnMS with the preferred practices and approaches used by the organization to conduct

its business operations. The outputs of context are used to plan, implement and operate the EnMS in

ways that provide ongoing value to the organization. Top management is best placed to ensure the

EnMS reflects the organizational context and that it continues to provide the expected benefits to the

organization. Internal and external issues change over time. To ensure the context remains current,

2 © ISO 2020 – All rights reserved
---------------------- Page: 8 ----------------------
ISO 50004:2020(E)

the organization can conduct reviews of its context at planned intervals and through activities such as

management review.

Organizations can approach this requirement through discussions and structured conversations, and

by reviewing sources of information. At the strategic level, tools such as SWOT analysis, PESTLE analysis

or TDODAR analysis may be used for the identification and evaluation of contextual issues. A simpler

approach, such as brainstorming, can be useful for organizations, depending on the size and complexity

of their operations. The processes and outputs of processes used for evaluating the organization’s

context can be considered necessary for the effectiveness of the EnMS, and may be maintained as

documented information. The triggers and review frequency for conducting these processes should

also be defined in documented information.
4.2 Understanding the needs and expectations of interested parties

This subclause is designed to ensure that the organization structures a formal framework to identify

and respond to internal and external relevant parties’ needs and expectations.

An organization determines the interested parties relevant for its energy performance or for its EnMS.

The relevant parties can be internal (e.g. employees related to SEUs that affect energy performance, an

energy management team that affects EnMS performance) or external (e.g. providers of equipment that

could impact energy performance, clients that could be perceived as affected by the energy performance

of the organization).

The organization is expected to gain sufficient understanding of the expressed needs and expectations

of those internal and external interested parties that have been determined by the organization to be

relevant. Understanding these needs and expectations should be sufficient to meet the requirements of

the organization.

Legal requirements reflect needs and expectations that are mandatory because they have been

incorporated into laws, regulations, permits and licences by governmental or court decisions. Legal

requirements refer to applicable mandatory requirements related to an organization’s energy use,

energy consumption and energy efficiency.
EXAMPLE 1 Examples of legal requirements can include but are not limited to:
— local, state, provincial, national and international legal requirements;
— energy performance standards required by law for equipment;
— regulated energy assessment or energy audit requirements;
— energy-related building codes and construction requirements;
— energy storage, distribution and transportation codes;
— minimum energy efficiency standards;

— prohibition or limitation of application of a particular energy for a particular purpose;

— energy-type installation codes.

Other requirements can refer to voluntary agreements or initiatives, contractual arrangements or

corporate requirements subscribed to by the organization related to energy efficiency, energy use and

energy consumption. Other requirements only become requirements of the organization when the

organization adopts them.
EXAMPLE 2 Examples of other requirements include but are not limited to:
— organizational guidelines or requirements;
— agreements with customers or suppliers;
— agreements with “central office”;
© ISO 2020 – All rights reserved 3
---------------------- Page: 9 ----------------------
ISO 50004:2020(E)
— non-regulatory guidelines;
— voluntary principles or codes of practice;
— voluntary energy agreements;
— requirements of trade associations;
— agreements with community groups or non-governmental organizations;
— public commitment of the organization or its parent organization;

— voluntary minimum specifications for energy performance issued by government or private agencies;

— network limits on electricity or gas supply, or limitations on electricity exports to the network.

The organization can consult interested parties or use other methods to categorize their needs and

requirements. One category can be information on legal requirements and other requirements, which

can be obtained from a variety of sources, such as in-house legal departments, government or other

official sources, consultants, professional bodies and various regulatory bodies. If the organization

already has a process to determine legal requirements, that process may be used to identify and access

energy-related legal requirements. The process used to identify legal requirements should be clear and

include a description of how compliance is assessed and ensured. Guidance on evaluating compliance is

given in 9.1.2.

Early consideration of legal requirements and other requirements can assist the organization in

identifying the related data that are needed and addressed in the energy review. It may be useful

to establish and maintain a list, database or system of recording legal requirements and other

requirements so their implications can be considered for other parts of the EnMS, including SEUs,

operational controls, records and communication.

A second category can arise from the organization voluntarily incorporating the needs and requirements

of interested parties as its own. For example, an organization could see improved energy performance

(as advocated by an external interested party) as providing the organization with business advantages

and choose to adopt the recommendations from the external interested party.

As the needs and requirements of interested parties can change over time, the organization can include

a process for a periodic review of their requirements that have been incorporated into the EnMS. This

review can alert the organization to items such as:
a) changes in applicable legal requirements and other requirements;

b) changes in the operations of the organization that could affect applicable requirements;

c) changes in the needs and recommendations of external interested parties;

d) changes in equipment or technology that bring new operating and maintenance requirements.

4.3 Determining the scope of the energy management system

The intent of this subclause is to ensure that the organization defines the scope and boundaries of the

EnMS, which allows the organization to focus its efforts and resources on energy management and

energy performance improvement. Over time, the scope and boundaries can change due to energy

performance improvement, organizational changes or other circumstances. The EnMS is reviewed and

updated as needed to reflect the changes. Items to consider when defining the scope and boundaries

are found in Table 1.
4 © ISO 2020 – All rights reserved
---------------------- Page: 10 ----------------------
ISO 50004:2020(E)
Table 1 — Scope and boundary considerations
Scope considerations Boundary considerations

What operations and activities are included? What parts of the site are included?

Is energy for transport included? What facilities are included?

Are other media, e.g. water and gas flows such as Which buildings, systems and processes are included?

hydrogen or nitrogen, included?
Who is top management within the defined EnMS Are other sites included?
scope and boundaries?

How are outsourced processes considered? What parts of the site or locations are not included?

Are all energy types purchased by the organization Are measurements of energy data available for the

included? chosen boundaries?
Can the authority of control be demonstrated for the
selected scope?

Typically, the energy management team develops the documented EnMS scope and boundaries based

on input from top management regarding the activities and physical or organizational limits to be

covered by the EnMS.

Documenting the scope and boundaries of the EnMS can be in any format. For example, they can be

presented as a simple list, map, line drawing or as a written description indicating what is included

within the EnMS.
4.4 Energy management system

The intent of this subclause is to ensure that the organization determines and implements the processes

needed for continual improvement. This includes the processes that are needed for the effective

implementation and continual improvement of the system, such as internal audit, management review

and others. It also includes the processes needed for quantifying and analysing energy performance.

The level to which processes need to be determined and detailed can vary according to the context of

the organization
...

FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 50004
ISO/TC 301
Energy management systems —
Secretariat: ANSI
Guidance for the implementation,
Voting begins on:
2020­02­28 maintenance and improvement of an
ISO 50001 energy management system
Voting terminates on:
2020­04­24
Systèmes de management de l'énergie — Lignes directrices pour la
mise en oeuvre, la maintenance et l'amélioration d'un système de
management de l'énergie de l'ISO 50001
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO­
ISO/FDIS 50004:2020(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN­
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. ISO 2020
---------------------- Page: 1 ----------------------
ISO/FDIS 50004:2020(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2020

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH­1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2020 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/FDIS 50004:2020(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms, definitions and abbreviated terms ................................................................................................................................ 1

3.1 Terms and definitions ....................................................................................................................................................................... 1

3.2 Abbreviated terms ............................................................................................................................................................................... 1

4 Context of the organization ....................................................................................................................................................................... 2

4.1 Understanding the organization and its context ....................................................................................................... 2

4.2 Understanding the needs and expectations of interested parties .............................................................. 3

4.3 Determining the scope of the energy management system ............................................................................. 4

4.4 Energy management system ....................................................................................................................................................... 5

5 Leadership .................................................................................................................................................................................................................. 6

5.1 Leadership and commitment ..................................................................................................................................................... 6

5.2 Energy policy ............................................................................................................................................................................................ 8

5.3 Organization roles, responsibilities and authorities .............................................................................................. 8

6 Planning ......................................................................................................................................................................................................................... 9

6.1 Actions to address risks and opportunities ................................................................................................................... 9

6.2 Objectives, energy targets and planning to achieve them ..............................................................................10

6.3 Energy review .......................................................................................................................................................................................12

6.3.1 General...................................................................................................................................................................................12

6.3.2 Analysis of energy use and consumption ................................................................................................12

6.3.3 Identification of SEUs based on the analysis ........................................................................................14

6.3.4 Actions related to SEUs ...........................................................................................................................................15

6.3.5 Determination and prioritization of potential opportunities for improving

energy performance ........................................................................................................................................... ........15

6.3.6 Estimation of future energy use(s) and energy consumption ...............................................17

6.4 Energy performance indicators .............................................................................................................................................17

6.5 Energy baseline ...................................................................................................................................................................................19

6.6 Planning for collection of energy data .............................................................................................................................20

7 Support ........................................................................................................................................................................................................................21

7.1 Resources ..................................................................................................................................................................................................21

7.2 Competence ............................................................................................................................................................................................22

7.3 Awareness ................................................................................................................................................................................................23

7.4 Communication ...................................................................................................................................................................................24

7.5 Documented information ............................................................................................................................................................25

7.5.1 General...................................................................................................................................................................................25

7.5.2 Creating and updating ..............................................................................................................................................26

7.5.3 Control of documented information ............................................................................................................26

8 Operation ..................................................................................................................................................................................................................27

8.1 Operational planning and control .......................................................................................................................................27

8.2 Design ..........................................................................................................................................................................................................29

8.3 Procurement ..........................................................................................................................................................................................30

9 Performance evaluation ............................................................................................................................................................................31

9.1 Monitoring, measurement, analysis and evaluation of energy performance and the

EnMS .............................................................................................................................................................................................................31

9.1.1 General...................................................................................................................................................................................31

9.1.2 Evaluation of compliance with legal requirements and other requirements...........32

9.2 Internal audit .........................................................................................................................................................................................33

9.3 Management review ........................................................................................................................................................................34

© ISO 2020 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/FDIS 50004:2020(E)

10 Improvement .........................................................................................................................................................................................................35

10.1 Nonconformity and corrective action ..............................................................................................................................35

10.2 Continual improvement ...............................................................................................................................................................36

Bibliography .............................................................................................................................................................................................................................37

iv © ISO 2020 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/FDIS 50004:2020(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non­governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www .iso .org/ patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/

iso/ foreword .html.

This document was prepared by Technical Committee ISO/TC 301, Energy management and energy

savings.

This second edition cancels and replaces the first edition (ISO 50004:2014), which has been technically

revised. The main changes compared with the previous edition are as follows:

— the document has been restructured as per the high level structure (HLS) for Management System

Standards, which helps to ensure a high level of compatibility with other MSS, including the addition

[12]
of context of the organization and risk ;
— stronger emphasis has been placed on the role of top management;
— exclusions of energy types have been clarified;
— the energy review has been clarified;

— details on the energy data collection plan and related requirements have been added (previously

the energy measurement plan);

— the EnPI and EnB text has been clarified to provide a better understanding of these concepts;

— the examples based on the experience of implementation have been included;

— the format has been modified to remove the practical help boxes and integrate the information

within the text;
— the annexes have been removed.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
© ISO 2020 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/FDIS 50004:2020(E)
Introduction

This document provides practical guidance when implementing the requirements of an energy

management system (EnMS) based on ISO 50001. It shows the organization how to take a systematic

approach to achieve continual improvement in the EnMS and energy performance. This document is

not prescriptive. Each organization can determine the best approach to adopt the requirements of

ISO 50001. The user is advised to use this document with ISO 50001 and its annexes.

This document provides guidance to users with different levels of energy management, energy

consumption and EnMS experience. Each clause explains how an organization can approach a part of an

EnMS. Practical tools, methods, strategies and examples are provided to help organizations implement

an EnMS and to continually improve energy performance. The examples and approaches presented

in this document are for illustrative purposes only. They are not intended to represent the only

possibilities, nor are they necessarily suitable for every organization. In implementing, maintaining or

improving an EnMS, it is important that organizations select approaches appropriate to their needs.

Energy management is sustainable and most effective when it is integrated with an organization’s

overall business processes (e.g. operations, finance, quality, maintenance, human resources,

procurement, health and safety, and environmental policy).

ISO 50001 can be integrated with other MSS, such as ISO 9001, ISO 14001, ISO 45001 and ISO 55001.

Integration can have a positive effect on business culture and business practice, embedding energy

management into daily practice, improving operational efficiency and reducing the operational costs

[12]

related to the management system. The common HLS of MSS supports this integration .

Ongoing commitment and engagement by top management is essential for the effective implementation,

maintenance and improvement of the EnMS, and for achieving continual energy performance

improvement. Top management ensures the EnMS is aligned with the strategic direction of the

organization and demonstrates its commitment through leadership actions that ensure the ongoing

allocation of resources, including the people to implement, maintain and improve the EnMS over time.

vi © ISO 2020 – All rights reserved
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FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 50004:2020(E)
Energy management systems — Guidance for the
implementation, maintenance and improvement of an ISO
50001 energy management system
1 Scope

This document gives practical guidelines and examples for establishing, implementing, maintaining

and improving an energy management system (EnMS) in accordance with the systematic approach of

ISO 50001:2018. The guidance in this document is applicable to any organization.

This document does not provide guidance on how to develop an integrated management system.

While the guidance in this document is consistent with the requirements of ISO 50001:2018, it does not

provide interpretations of those requirements.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 50001:2018, Energy management systems — Requirements with guidance for use
3 Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 50001:2018 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
3.2 Abbreviated terms
EnB energy baseline
EnMS energy management system
EnPI energy performance indicator
GHG greenhouse gas
HLS high level structure
MSS Management System Standard
PDCA Plan­Do­Check­Act
© ISO 2020 – All rights reserved 1
---------------------- Page: 7 ----------------------
ISO/FDIS 50004:2020(E)
PESTLE political, economic, social, technological, legal, environmental
SEU significant energy use
SWOT strengths, weaknesses, opportunities, threats
4 Context of the organization
4.1 Understanding the organization and its context

This subclause involves determining strategic issues, i.e. issues that can affect, either positively or

negatively, the intended outcomes of the EnMS. Determining these issues (both internal and external)

serves to connect the EnMS with the organization’s strategic direction and goals.

EXAMPLE 1 Examples of external issues include but are not limited to:
— economic and financial;
— security of energy supply;
— technology;
— cultural, social and political;
— geographical;
— legal/regulatory requirements;
— environmental;
— restrictions on energy consumption;
— natural and competitive circumstances.
EXAMPLE 2 Examples of internal issues include but are not limited to:
— strategic direction and organizational management;
— processes, systems and operational factors;
— the age and condition of equipment and systems;
— the organization’s indicators;
— the organization’s financial circumstances;
— organizational structure and hierarchy;
— employee knowledge and organization culture;
— mission and vision of the company.

When the context of an organization is well understood, it assists in establishing, implementing,

maintaining and continually improving the organization’s EnMS and energy performance.

Understanding the context promotes discussion between top management and the relevant interested

parties (see 4.2) and ensures that changing circumstances and other issues are addressed to benefit

the EnMS. Integral to this process is understanding the aims and culture of the organization. This helps

to align the EnMS with the preferred practices and approaches used by the organization to conduct

its business operations. The outputs of context are used to plan, implement and operate the EnMS in

ways that provide ongoing value to the organization. Top management is best placed to ensure the

EnMS reflects the organizational context and that it continues to provide the expected benefits to the

organization. Internal and external issues change over time. To ensure the context remain current, the

organization can conduct reviews of its context at planned intervals and through activities such as

management review.
2 © ISO 2020 – All rights reserved
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ISO/FDIS 50004:2020(E)

Organizations can approach this requirement through discussions and structured conversations,

and by reviewing sources of information. At the strategic level, tools such as SWOT (strengths,

weaknesses, opportunities, threats) analysis, PESTLE (political, economic, social, technological, legal,

environmental) analysis or TDOAR (time, diagnose, options, decide, act, review) analysis may be used

for the identification and evaluation of contextual issues. A simpler approach, such as brainstorming,

can be useful for organizations, depending on the size and complexity of their operations. The processes

and outputs of processes used for evaluating the organization’s context can be considered necessary for

the effectiveness of the EnMS, and may be maintained as documented information. The triggers and

review frequency for conducting these processes should also be defined in documented information.

4.2 Understanding the needs and expectations of interested parties

This subclause is designed to ensure that the organization structures a formal framework to identify

and respond to internal and external relevant parties’ needs and expectations.

An organization determines the interested parties relevant for its energy performance or for its EnMS.

The relevant parties can be internal (e.g. employees related to SEUs that affect energy performance, an

energy management team that affects EnMS performance) or external (e.g. providers of equipment that

could impact energy performance, clients that could be perceived as affected by the energy performance

of the organization).

The organization is expected to gain sufficient understanding of the expressed needs and expectations

of those internal and external interested parties that have been determined by the organization to be

relevant. Understanding these needs and expectations should be sufficient to meet the requirements of

the organization.

Legal requirements reflect needs and expectations that are mandatory because they have been

incorporated into laws, regulations, permits and licences by governmental or court decisions. Legal

requirements refer to applicable mandatory requirements related to an organization’s energy use,

energy consumption and energy efficiency.
EXAMPLE 1 Examples of legal requirements can include but are not limited to:
— local, state, provincial, national and international legal requirements;
— energy performance standards required by law for equipment;
— regulated energy assessment or energy audit requirements;
— energy-related building codes and construction requirements;
— energy storage, distribution and transportation codes;
— minimum energy efficiency standards;

— prohibition or limitation of application of a particular energy for a particular purpose;

— energy-type installation codes.

Other requirements can refer to voluntary agreements or initiatives, contractual arrangements or

corporate requirements subscribed to by the organization related to energy efficiency, energy use and

energy consumption. Other requirements only become requirements of the organization when the

organization adopts them.
EXAMPLE 2 Examples of other requirements include but are not limited to:
— organizational guidelines or requirements;
— agreements with customers or suppliers;
— agreements with “central office”;
— non-regulatory guidelines;
© ISO 2020 – All rights reserved 3
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ISO/FDIS 50004:2020(E)
— voluntary principles or codes of practice;
— voluntary energy agreements;
— requirements of trade associations;
— agreements with community groups or non-governmental organizations;
— public commitment of the organization or its parent organization;

— voluntary minimum specifications for energy performance issued by government or private agencies;

— network limits on electricity or gas supply, or limitations on electricity exports to the network.

The organization can consult interested parties or use other methods to categorize their needs and

requirements. One category can be information on legal requirements and other requirements, which

can be obtained from a variety of sources, such as in-house legal departments, government or other

official sources, consultants, professional bodies and various regulatory bodies. If the organization

already has a process to determine legal requirements, that process may be used to identify and access

energy-related legal requirements. The process used to identify legal requirements should be clear and

include a description of how compliance is assessed and ensured. Guidance on evaluating compliance is

given in 9.1.2.

Early consideration of legal requirements and other requirements can assist the organization in

identifying the related data that are needed and addressed in the energy review. It may be useful

to establish and maintain a list, database or system of recording legal requirements and other

requirements so their implications can be considered for other parts of the EnMS, including SEUs,

operational controls, records and communication.

A second category can arise from the organization voluntarily incorporating interested party needs

and requirements as its own. For example, an organization could see improved energy performance

(as advocated by an external interested party) as providing the organization with business advantages

and choose to adopt the external interested party recommendations.

As interested party needs and requirements can change over time, the organization can include a

process for a periodic review of their requirements that have been incorporated into the EnMS. This

review can alert the organization to items such as:
a) changes in applicable legal requirements and other requirements;

b) changes in the operations of the organization that could affect applicable requirements;

c) changes in the needs and recommendations of external interested parties;

d) changes in equipment or technology that bring new operating and maintenance requirements.

4.3 Determining the scope of the energy management system

The intent of this subclause is to ensure that the organization defines the scope and boundaries of the

EnMS, which allows the organization to focus its efforts and resources on energy management and

energy performance improvement. Over time, the scope and boundaries can change due to energy

performance improvement, organizational changes or other circumstances. The EnMS is reviewed and

updated as needed to reflect the changes. Items to consider when defining the scope and boundaries

are found in Table 1.
4 © ISO 2020 – All rights reserved
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ISO/FDIS 50004:2020(E)
Table 1 — Scope and boundary considerations
Scope considerations Boundary considerations

What operations and activities are included? What parts of the site are included?

Is energy for transport included? What facilities are included?

Are other media, e.g. water and gas flows such as hy­ Which buildings, systems and processes are included?

drogen or nitrogen, included?
Who is top management within the defined EnMS Are other sites included?
scope and boundaries?

How are outsourced processes considered? What parts of the site or locations are not included?

Are all energy types purchased by the organization Are measurements of energy data available for the

included? chosen boundaries?
Can the authority of control be demonstrated for the
selected scope?

Typically, the energy management team develops the documented EnMS scope and boundaries based

on input from top management regarding the activities and physical or organizational limits to be

covered by the EnMS.

Documenting the scope and boundaries of the EnMS can be in any format. For example, they can be

presented as a simple list, map, line drawing or
...

NORME ISO
INTERNATIONALE 50004
Deuxième édition
2020-06
Systèmes de management de
l'énergie — Lignes directrices pour
la mise en oeuvre, la maintenance
et l'amélioration d'un système de
management de l'énergie de
l'ISO 50001
Energy management systems — Guidance for the implementation,
maintenance and improvement of an ISO 50001 energy
management system
Numéro de référence
ISO 50004:2020(F)
ISO 2020
---------------------- Page: 1 ----------------------
ISO 50004:2020(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2020

Tous droits réservés. Sauf prescription différente ou nécessité dans le contexte de sa mise en œuvre, aucune partie de cette

publication ne peut être reproduite ni utilisée sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique,

y compris la photocopie, ou la diffusion sur l’internet ou sur un intranet, sans autorisation écrite préalable. Une autorisation peut

être demandée à l’ISO à l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.

ISO copyright office
Case postale 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Genève
Tél.: +41 22 749 01 11
Fax: +41 22 749 09 47
E-mail: copyright@iso.org
Web: www.iso.org
Publié en Suisse
ii © ISO 2020 – Tous droits réservés
---------------------- Page: 2 ----------------------
ISO 50004:2020(F)
Sommaire Page

Avant-propos ................................................................................................................................................................................................................................v

Introduction ..............................................................................................................................................................................................................................vii

1 Domaine d’application ................................................................................................................................................................................... 1

2 Références normatives ................................................................................................................................................................................... 1

3 Termes, définitions et abréviations .................................................................................................................................................. 1

3.1 Termes et définitions ......................................................................................................................................................................... 1

3.2 Abréviations .............................................................................................................................................................................................. 1

4 Contexte de l’organisme ................................................................................................................................................................................ 2

4.1 Compréhension de l’organisme et de son contexte ................................................................................................. 2

4.2 Compréhension des besoins et attentes des parties intéressées ................................................................ 3

4.3 Détermination du domaine d’application du système de management de l’énergie ................. 5

4.4 Système de management de l’énergie ................................................................................................................................. 5

5 Leadership .................................................................................................................................................................................................................. 6

5.1 Leadership et engagement............................................................................................................................................................ 6

5.2 Politique énergétique ........................................................................................................................................................................ 8

5.3 Rôles, responsabilités et autorités au sein de l’organisme ............................................................................... 9

6 Planification .............................................................................................................................................................................................................. 9

6.1 Actions face aux risques et opportunités ......................................................................................................................... 9

6.2 Objectifs, cibles énergétiques, et planification des actions pour les atteindre .............................10

6.3 Revue énergétique ............................................................................................................................................................................12

6.3.1 Généralités .........................................................................................................................................................................12

6.3.2 Analyse de l’usage et de la consommation énergétiques ...........................................................12

6.3.3 Identification des UES à partir de l’analyse ...........................................................................................14

6.3.4 Actions liées aux UES ................................................................................................................................................15

6.3.5 Détermination et priorisation des opportunités potentielles

d’amélioration de la performance énergétique ..................................................................................16

6.3.6 Estimation de l’/des usage(s) et de la consommation énergétiques futurs ..............18

6.4 Indicateurs de performance énergétique .....................................................................................................................19

6.5 Situation énergétique de référence ....................................................................................................................................20

6.6 Planification de collecte de données énergétiques ...............................................................................................22

7 Support ........................................................................................................................................................................................................................23

7.1 Ressources ...............................................................................................................................................................................................23

7.2 Compétences ..........................................................................................................................................................................................23

7.3 Sensibilisation ......................................................................................................................................................................................24

7.4 Communication ...................................................................................................................................................................................25

7.5 Informations documentées .......................................................................................................................................................27

7.5.1 Généralités .........................................................................................................................................................................27

7.5.2 Création et mise à jour .............................................................................................................................................28

7.5.3 Maîtrise des informations documentées ..................................................................................................28

8 Exploitation ............................................................................................................................................................................................................29

8.1 Planification et maîtrise opérationnelles ......................................................................................................................29

8.2 Conception ...............................................................................................................................................................................................31

8.3 Approvisionnement .........................................................................................................................................................................32

9 Évaluation des performances ...............................................................................................................................................................34

9.1 Suivi, mesure, analyse et évaluation de la performance énergétique et du SMÉ ........................34

9.1.1 Généralités .........................................................................................................................................................................34

9.1.2 Évaluation de la conformité aux exigences légales et autres exigences ........................35

9.2 Audit interne ..........................................................................................................................................................................................35

9.3 Revue de direction ............................................................................................................................................................................36

10 Amélioration ..........................................................................................................................................................................................................37

© ISO 2020 – Tous droits réservés iii
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ISO 50004:2020(F)

10.1 Non-conformité et actions correctives ............................................................................................................................37

10.2 Amélioration continue ...................................................................................................................................................................38

Bibliographie ...........................................................................................................................................................................................................................40

iv © ISO 2020 – Tous droits réservés
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ISO 50004:2020(F)
Avant-propos

L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes

nationaux de normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est

en général confiée aux comités techniques de l’ISO. Chaque comité membre intéressé par une étude

a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,

gouvernementales et non gouvernementales, en liaison avec l’ISO participent également aux travaux.

L’ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui

concerne la normalisation électrotechnique.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier, de prendre note des différents

critères d’approbation requis pour les différents types de documents ISO. Le présent document a été

rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2 (voir www

.iso .org/ directives).

L’attention est attirée sur le fait que certains des éléments du présent document peuvent faire l’objet de

droits de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable

de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant

les références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de

l’élaboration du document sont indiqués dans l’Introduction et/ou dans la liste des déclarations de

brevets reçues par l’ISO (voir www .iso .org/ brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la nature volontaire des normes, la signification des termes et expressions

spécifiques de l’ISO liés à l’évaluation de la conformité, ou pour toute information au sujet de l’adhésion

de l’ISO aux principes de l’Organisation mondiale du commerce (OMC) concernant les obstacles

techniques au commerce (OTC), voir www .iso .org/ avant -propos.

Le présent document a été élaboré par le comité technique ISO/TC 301, Management de l’énergie et

économies d’énergie.

Cette deuxième édition annule et remplace la première édition (ISO 50004:2014), qui a fait l’objet d’une

révision technique. Les principales modifications par rapport à l’édition précédente sont les suivantes:

— le document a été restructuré selon la structure-cadre (HLS) pour les normes de système de

management (NSM), afin de garantir un haut niveau de compatibilité avec d’autres NSM, y compris

[12]
l’ajout du contexte de l’organisme et des risques ;
— mise en avant plus forte du rôle de la direction;
— clarification au sujet de l’exclusion de certains types d’énergie;
— clarification de la revue énergétique;

— ajout de détails sur le plan de collecte de données énergétiques et exigences associées (précédemment

plan de mesure de l’énergie);

— clarification du texte relatif aux IPÉ et SER afin de permettre une meilleure compréhension de ces

concepts;
— ajout d’exemples basés sur l’expérience de la mise en œuvre;

— modification du format afin de supprimer les cadres d’aide pratique et d’intégrer les informations

dans le texte;
— suppression des annexes.
© ISO 2020 – Tous droits réservés v
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ISO 50004:2020(F)

Il convient que l’utilisateur adresse tout retour d’information ou toute question concernant le présent

document à l’organisme national de normalisation de son pays. Une liste exhaustive desdits organismes

se trouve à l’adresse www .iso .org/ fr/ members .html.
vi © ISO 2020 – Tous droits réservés
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ISO 50004:2020(F)
Introduction

Le présent document fournit des recommandations pratiques pour l’application des exigences relatives à

un système de management de l’énergie (SMÉ) basées sur l’ISO 50001. Il montre à l’organisme comment

adopter une démarche méthodique pour obtenir l’amélioration continue du SMÉ et de la performance

énergétique. Le présent document n’est pas prescriptif. Chaque organisme peut déterminer la meilleure

démarche pour appliquer les exigences de l’ISO 50001. Il est recommandé à l’utilisateur de se servir de

ce document en parallèle avec l’ISO 50001 et ses annexes.

Le présent document fournit des recommandations à des utilisateurs ayant différents niveaux de

management de l’énergie, de consommation d’énergie et d’expérience en SMÉ. Chaque article explique

comment un organisme peut aborder une partie d’un SMÉ. Des outils pratiques, des méthodes, des

stratégies et des exemples sont proposés pour aider les organismes à mettre en œuvre un SMÉ et à

améliorer continuellement la performance énergétique. Les exemples et démarches présentés dans

le présent document sont fournis uniquement à titre d’illustration. Ils n’ont pas pour objectif de

représenter les seules possibilités, et ils ne conviennent pas non plus forcément à tous les organismes.

Dans la mise en œuvre, le maintien ou l’amélioration d’un SMÉ, il est important que les organismes

sélectionnent les démarches adaptées à leurs besoins.

Le management de l’énergie s’avère durable et plus efficace lorsqu’il est intégré aux processus généraux

d’un organisme (par ex. exploitation, finance, qualité, maintenance, ressources humaines, achats, santé,

sécurité et politique environnementale).

L’ISO 50001 peut être intégrée à d’autres normes de systèmes de management (NSM), telles que

l’ISO 9001, l’ISO 14001, l’ISO 45001 et l’ISO 55001. L’intégration peut avoir un effet positif sur la culture

d’entreprise et la pratique commerciale, en incorporant le management de l’énergie aux pratiques

quotidiennes, en améliorant l’efficacité opérationnelle et en réduisant les coûts opérationnels liés au

[12]
système de management. L’HLS commune des NSM soutient cette intégration .

L’implication et l’engagement permanents de la direction sont essentiels pour la mise en œuvre effective,

la maintenance et l’amélioration du SMÉ, et pour l’amélioration continue de la performance énergétique.

La direction générale veille à l’alignement du SMÉ avec l’orientation stratégique de l’organisme et

démontre son engagement par des actions garantissant l’allocation en continu de ressources, y compris

humaines, pour la mise en œuvre et le maintien du SMÉ dans la durée.
© ISO 2020 – Tous droits réservés vii
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NORME INTERNATIONALE ISO 50004:2020(F)
Systèmes de management de l'énergie — Lignes directrices
pour la mise en oeuvre, la maintenance et l'amélioration
d'un système de management de l'énergie de l'ISO 50001
1 Domaine d’application

Le présent document fournit des recommandations pratiques et des exemples pour établir, mettre

en œuvre, maintenir et améliorer un système de management de l’énergie (SMÉ) conformément

à la démarche méthodique de l’ISO 50001:2018. Les recommandations du présent document sont

applicables à tout organisme.

Le présent document ne fournit pas de lignes directrices sur la manière d’élaborer un système de

management intégré.

Bien que les recommandations du présent document soient en cohérence avec les exigences de

l’ISO 50001:2018, il ne fournit pas d’interprétation de ces exigences.
2 Références normatives

Les documents suivants sont cités dans le texte de sorte qu’ils constituent, pour tout ou partie de leur

contenu, des exigences du présent document. Pour les références datées, seule l’édition citée s’applique.

Pour les références non datées, la dernière édition du document de référence s’applique (y compris les

éventuels amendements).

ISO 50001:2018, Systèmes de management de l’énergie — Exigences et recommandations pour la mise

en œuvre
3 Termes, définitions et abréviations
3.1 Termes et définitions

Pour les besoins du présent document, les termes et les définitions de l’ISO 50001:2018 s’appliquent.

L’ISO et l’IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en

normalisation, consultables aux adresses suivantes:

— ISO Online browsing platform: disponible à l’adresse https:// www .iso .org/ obp

— IEC Electropedia: disponible à l’adresse http:// www .electropedia .org/
3.2 Abréviations
SER situation énergétique de référence
SMÉ système de management de l’énergie
IPÉ indicateur de performance énergétique
GES gaz à effet de serre
HLS structure-cadre
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ISO 50004:2020(F)
CVC chauffage, ventilation et climatisation
NSM norme de systèmes de management
PDCA «Plan-Do-Check-Act»

PESTEL analyse de politique, économie, social, technologie, environnement, législation

UÉS usage énergétique significatif
FFOM analyse des forces, faiblesses, opportunités et menaces
TDODAR «time, diagnose, options, decide, act/assign, review»
4 Contexte de l’organisme
4.1 Compréhension de l’organisme et de son contexte

Le présent paragraphe consiste à déterminer les enjeux stratégiques, c’est-à-dire les enjeux susceptibles

d’influencer, de manière positive ou négative, les résultats recherchés du SMÉ. La détermination de ces

enjeux (à la fois en interne et en externe) sert à relier le SMÉ à l’orientation stratégique et aux objectifs

de l’organisme.
EXEMPLE 1 Des exemples d’enjeux internes incluent notamment:
— l’orientation stratégique et le management organisationnel;
— les processus, systèmes et facteurs opérationnels;
— l’âge et l’état de l’équipement et des systèmes;
— les indicateurs de performance de l’organisme;
— la situation financière de l’organisme;
— la structure organisationnelle et la hiérarchie;
— les connaissances des salariés et la culture de l’organisme;
— la mission et la vision de l’entreprise.
EXEMPLE 2 Des exemples d’enjeux externes incluent notamment:
— les aspects économiques et financiers;
— la sécurité de l’approvisionnement en énergie;
— les aspects technologiques;
— les aspects culturels, sociaux et politiques;
— les aspects géographiques;
— les exigences légales/autres;
— les aspects environnementaux;
— les restrictions sur la consommation énergétique;
— les circonstances naturelles et concurrentielles.

Une bonne compréhension du contexte d’un organisme aide à établir, mettre en œuvre, maintenir et

améliorer en continu le SMÉ et la performance énergétique de l’organisme. Comprendre le contexte

favorise la discussion entre la direction et les parties intéressées concernées (voir 4.2) et garantit que

2 © ISO 2020 – Tous droits réservés
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ISO 50004:2020(F)

les changements de situation et autres enjeux sont abordés au bénéfice du SMÉ. La compréhension des

objectifs et de la culture de l’organisme fait partie intégrante de ce processus, ce qui permet d’aligner

le SMÉ avec les pratiques et les démarches privilégiées par l’organisme pour mener ses activités. Les

résultats de ce processus servent à planifier, à mettre en œuvre et à exploiter le SMÉ de manière à

apporter une amélioration continue à l’organisme. La direction est la mieux placée pour garantir que le

SMÉ reflète ce contexte organisationnel, et qu’il apporte les bénéfices attendus à l’organisme. Les enjeux

internes et externes évoluent au fil du temps. Pour garantir que le contexte est actualisé, l’organisme

peut réaliser des examens de son contexte à des intervalles planifiés et au travers d’activités telles que

la revue de direction.

Les organismes peuvent aborder cette exigence par des discussions et des conversations structurées

et en consultant des sources d’information. Au niveau stratégique, des outils tels que l’analyse FFOM,

l’analyse PESTEL ou l’analyse TDODAR peuvent être utilisés pour l’identification et l’évaluation des

enjeux contextuels. Une démarche plus simple, comme le brainstorming, peut être utile aux organismes,

en fonction de la taille et de la complexité de leurs activités. Les processus et les résultats des processus

utilisés pour évaluer le contexte de l’organisme peuvent être considérés comme nécessaires pour

l’efficacité du SMÉ, et peuvent être conservés comme des informations documentées. Il convient que les

déclencheurs et la fréquence d’examen pour conduire ces processus soient également définis dans les

informations documentées.
4.2 Compréhension des besoins et attentes des parties intéressées

Ce paragraphe vise à garantir que l’organisme structure un cadre formel pour identifier et répondre

aux besoins et attentes des parties intéressées internes et externes.

Un organisme détermine les parties intéressées pertinentes pour sa performance énergétique ou pour

son SMÉ. Les parties intéressées peuvent être internes (par exemple, des salariés liés aux UES qui

ont une incidence sur la performance énergétique, une équipe de management de l’énergie qui a une

incidence sur la performance du SMÉ) ou externes (par exemple, des fournisseurs d’équipements qui

pourraient avoir une incidence sur la performance énergétique, des clients qui pourraient être perçus

comme étant affectés par la performance énergétique de l’organisme).

On attend de l’organisme qu’il acquière une compréhension suffisante des besoins et attentes exprimés

par les parties intéressées internes et externes qui ont été déterminées comme concernées par

l’organisme. Une bonne compréhension de ces besoins et attentes devrait suffire pour répondre aux

exigences de l’organisme.

Les exigences légales reflètent des besoins et des attentes qui sont obligatoires car intégrés dans des

lois, des réglementations, des permis et des autorisations par décision gouvernementale ou juridique.

Les exigences légales se rapportent à des exigences obligatoires relatives à un usage énergétique de

l’organisme, sa consommation énergétique et son efficacité énergétique.
EXEMPLE 1 Des exemples d’exigences légales incluent notamment:

— les exigences légales locales, d’État, régionales, nationales et internationales;

— les normes de performance énergétique concernant les équipements, exigées par la loi;

— les exigences réglementaires d’évaluation de la performance énergétique ou d’audits énergétiques;

— les codes de construction liés à l’énergie et les exigences en matière de construction;

— les codes de stockage, de distribution et de transport de l’énergie;
— les normes minimales d’efficacité énergétique;

— l’interdiction ou la limitation de l’utilisation d’une énergie particulière dans un but particulier;

— les codes d’installation du type d’énergie.

D’autres exigences peuvent se rapporter à des accords ou des initiatives volontaires, à des dispositions

contractuelles ou à des exigences du groupe auxquelles l’organisme souscrit, concernant l’efficacité

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ISO 50004:2020(F)

énergétique, les usages et la consommation énergétiques. D’autres exigences ne deviennent des

exigences de l’organisme qu’une fois que celui-ci les adopte.
EXEMPLE 2 Des exemples d’autres exigences incluent notamment:
— les lignes directrices ou exigences organisationnelles;
— les accords avec les clients ou fournisseurs;
— les accords avec le «bureau central»;
— les lignes directrices de caractère non réglementaire;
— les principes ou codes de conduite volontaires;
— les accords énergétiques volontaires;
— les exigences des associations professionnelles;

— les accords passés avec des associations ou des organisations non gouvernementales;

— les engagements publics de l’organisme ou de son organisme parent;

— les spécifications minimales volontaires pour la performance énergétique émises par le gouvernement ou

des agences privées;

— les limites de réseau sur la fourniture en électricité ou gaz, ou les limites sur les exportations d’électricité sur

le réseau.

L’organisme peut consulter les parties intéressées ou recourir à d’autres méthodes pour répartir

leurs besoins et exigences en catégories. Une première catégorie peut être des informations sur les

exigences légales et les autres exigences, que l’on peut obtenir à partir de diverses sources, comme les

services juridiques internes, le gouvernement ou d’autres sources officielles, les conseillers, organismes

professionnels et divers organismes de réglementation. Si l’organisme dispose déjà d’un processus

servant à déterminer les exigences légales, celui-ci peut être utilisé pour identifier et accéder aux

exigences légales concernant l’énergie. Il convient que le processus employé pour identifier les exigences

légales soit clair et qu’il y figure une description de la façon dont la conformité est évaluée et assurée.

Des recommandations sur l’évaluation de la conformité sont fournies en 9.1.2.

Tenir compte assez tôt des exigences légales et autres peut aider l’organisme à identifier les données s’y

rapportant, requises et abordées dans la revue énergétique. Il peut être utile d’établir et de maintenir

une liste, une base de données, un système d’enregistrement des exigences légales et autres, de sorte

que leurs implications puissent être prises en compte pour d’autres parties du SMÉ, comme les UES, la

maîtrise opérationnelle, les enregistrements et la communication.

Une deuxième catégorie peut regrouper les besoins et les exigences des parties intéressées que

l’organisme fait siens de façon volontaire. Par exemple, un organisme peut considérer que l’amélioration

de la performance énergétique (telle qu’elle est présentée par une partie intéressée externe) apporte

à l’organisme des avantages commerciaux et choisir d’adopter les recommandations de la partie

intéressée externe.

Comme les besoins et les exigences des parties intéressées peuvent varier avec le temps, l’organisme

peut inclure un examen périodique des besoins et exigences qui ont été intégrés dans le SMÉ. Cet

examen peut alerter l’organisme sur des points tels que:
a) changements des exigences, légales et autres, applicables;

b) changements dans les activités de l’organisme susceptibles d’affecter les exigences applicables;

c) changements dans les besoins et recommandations des parties intéressées externes;

d) changements d’équipements ou de technologie susceptibles d’impliquer de nouvelles exigences de

fonctionnement et de maintenance.
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ISO 50004:2020(F)
4.3 Détermination du domaine d’application du système de management de l’énergie

Ce paragraphe vise à garantir que l’organisme définit le domaine d’application et le périmètre du

SMÉ, ce qui lui permet de concentrer ses efforts et ses ressources sur le management de l’énergie et

l’amélioration de la performance énergétiqu
...

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