ISO/FDIS 50005

Energy management systems -- Guidelines for a phased implementation

Systèmes de management de l'énergie -- Lignes directrices pour une mise en oeuvre par étapes

General Information

• Status: Published
• ICS: 03.100.70 - Management systems
• ICS: 27.015 - Energy efficiency. Energy conservation in general
• Technical Committee: ISO/TC 301 - Energy management and energy savings
• Drafting Committee: ISO/TC 301/WG 1 - Energy management
• Current Stage: 5020 - FDIS ballot initiated: 2 months. Proof sent to secretariat
• Start Date: 16-Jun-2021
• Completion Date: 16-Jun-2021

Standards Content (sample)

FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 50005
ISO/TC 301
Energy management systems —
Secretariat: ANSI
Guidelines for a phased
Voting begins on:
2021­06­16 implementation
Voting terminates on:
Systèmes de management de l'énergie — Lignes directrices pour une
2021­08­11
mise en oeuvre par étapes
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 50005:2021(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 2021
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ISO/FDIS 50005:2021(E)
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© ISO 2021

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

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ISO/FDIS 50005:2021(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

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

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

3 Terms and definitions ..................................................................................................................................................................................... 1

4 The maturity model approach to implementing an EnMS ........................................................................................ 1

4.1 Explanation and structure of the maturity model .................................................................................................... 1

4.2 Phased implementation of an EnMS using the maturity model ................................................................... 3

4.2.1 General...................................................................................................................................................................................... 3

4.2.2 Assess the organization’s initial situation .................................................................................................. 3

4.2.3 Set and confirm a goal for the phased implementation ................................................................. 4

4.2.4 Set up a simple business case ............................................................................................................................... 5

4.2.5 Set up a project plan ..................................................................................................................................................... 5

4.2.6 Monitor the implementation of the project plan ................................................................................. 5

4.2.7 Gap analysis versus ISO 50001:2018 ............................................................................................................. 5

5 Description of elements and levels ................................................................................................................................................... 5

5.1 Element 1 — Context of the organization........................................................................................................................ 5

5.2 Element 2 — Leadership ................................................................................................................................................................ 7

5.3 Element 3 — Resources .................................................................................................................................................................. 8

5.4 Element 4 — Energy review ........................................................................................................................................................ 9

5.5 Element 5 — Energy performance indicators and energy baselines ....................................................11

5.6 Element 6 — Objectives, energy targets and action plans .............................................................................13

5.7 Element 7 — Competence and awareness ...................................................................................................................14

5.8 Element 8 — Operations and maintenance ................................................................................................................15

5.9 Element 9 — Procurement and design ...........................................................................................................................16

5.10 Element 10 – Process for communication and control of documented information ..............17

5.11 Element 11 — Monitoring, measurement, analysis and evaluation of energy

performance ...........................................................................................................................................................................................18

5.12 Element 12 — Management review and improvement ....................................................................................19

Annex A (informative) Continual improvement and advancing of the EnMS ..........................................................22

Annex B (informative) Level version of the maturity model ....................................................................................................25

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

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ISO/FDIS 50005:2021(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.

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.
iv © ISO 2021 – All rights reserved
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ISO/FDIS 50005:2021(E)
Introduction
0.1 General

It is important to engage all types of organizations and, in particular, small and medium-sized

organizations (SMOs) into the broad scale implementation of energy management because of the

significant potential such organizations have for energy performance improvement, associated energy

cost savings and reductions in greenhouse gas (GHG) emissions.

This document is intended to enable organizations to initiate and improve energy management

practices by following a systematic approach with appropriate effort given their resources and context,

resulting in continual energy performance improvement.

This document provides practical guidance to undertake a phased implementation of an energy

management system (EnMS), e.g. by using in-house capacity. That functioning EnMS can subsequently

be extended to meet the requirements of ISO 50001. A well-planned phased implementation of an EnMS

can reduce costs and the use of other resources while providing near­term success on which to build.

This can help in overcoming barriers for implementation in organizations with limited resources, such

as SMOs.

This document explains a phased implementation approach using twelve core elements based on

ISO 50001:2018. It outlines the content of the elements and describes four different levels of maturity

for each element. Annex A includes best practices for continual improvement of an EnMS by using a

phased approach. An organization can select appropriate tools to find an effective and efficient approach

to achieve the desired maturity of its EnMS. The element(s) and the corresponding maturity level(s)

targeted depend on the organization’s objectives and strategic direction. The EnMS can be integrated

with other management systems to benefit from common structures.

In this document, both terms “energy performance improvement” (as defined in ISO 50001:2018) and

“energy savings” are used. Energy savings is considered as a subset of energy performance improvement

in this document.
0.2 Advantages of a phased implementation

Implementing an EnMS in an organization can be a challenge. Organizations can have limited resources

(e.g. knowledge and availability of personnel) in order to successfully implement an EnMS. A phased

implementation results in several benefits to the organization. The phased implementation described

in this document offers flexibility that allows an organization to:

— decide the scope and pace of its EnMS implementation to suit available resources and organizational

needs;
— decide on the elements to target and the desired maturity level(s);

— start with areas that indicate the greatest potential for energy performance improvement, return

on investment or align with current operational practices;
— stimulate a positive culture towards energy management;

— deliver simple and/or low-cost energy performance improvements and associated energy costs

savings, emission reductions and other benefits;

— build initial successes to increase credibility and thus secure commitment and support for further

development of the EnMS;

— build a strong foundation to expand an existing EnMS towards meeting the requirements of

ISO 50001.
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FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 50005:2021(E)
Energy management systems — Guidelines for a phased
implementation
1 Scope

This document gives guidance for organizations on establishing a phased approach to implement an

energy management system (EnMS). This phased approach is intended to support and simplify the

implementation of an EnMS for all types of organizations, in particular for small and medium-sized

organizations (SMOs).

This document gives guidance on the use of twelve core elements with four levels of maturity for each

element to establish, implement, maintain and improve an EnMS that results in energy performance

improvement.

It enables the user of this document to implement a phased approach to achieve a level of energy

management appropriate to its objectives and to build a strong foundation which can subsequently

be extended towards meeting the requirements of ISO 50001:2018. This document is consistent with

ISO 50001:2018 but does not cover all of its 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 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/
4 The maturity model approach to implementing an EnMS
4.1 Explanation and structure of the maturity model

Using a maturity model helps an organization to assess the effectiveness of its current business

processes in order to follow a systematic and organized approach in achieving improved performance.

The maturity model that forms the basis of this document consists of twelve core elements of energy

management with four levels of maturity for each element.

The elements in this document either refer to a clause of ISO 50001:2018 or an important subclause

such as energy review.

The maturity model provides a simplified, systematic framework to implement and improve an EnMS

suitable to the organization’s needs and capabilities by using a phased approach. It describes criteria

including detailed behaviours, practices and processes. The organization initially uses the maturity

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model to understand its current state and to establish initial improvement goals. Then the organization

can implement EnMS improvements in phases.

As the organization progresses from its individual starting point towards the desired level of EnMS

maturity, it should improve energy performance. This improved energy performance is understood as

an improvement in energy efficiency or energy consumption related to energy use which can result in

reduced energy costs. The twelve elements of the maturity model are described in Clause 5. For each

level in an element, the given criteria describe(s) “what” needs to be in place at that level. Where not

stated otherwise, the criteria are addressed to the organization. This model does not provide specific

approaches on “how” the level can be achieved. The elements are divided into topics for clarity and to

make it easier for the user to implement the criteria of the elements.

Based on the analysis of the current state of energy management practices, the organization can choose

an appropriate speed of implementation and the desired level of maturity for each element. Whatever be

the starting point, the organization needs to work on each element. It is possible that the organization

needs additional resources (e.g. time, personnel, knowledge, budget).

Predictability, effectiveness and control of the EnMS should improve as the organization moves up to

higher levels in each element. The maturity model provides a continuum along which progress can be

made incrementally from one level to the next. The four levels represent a progression from a low level

of energy management experience to a level approaching ISO 50001 conformity. The four levels can

generally be described as follows.

a) Level 1: Enabling energy management: initial management support, some awareness and

understanding of energy use and opportunities for energy savings, collection of some energy data

(e.g. energy bills), no systematic energy management practices.

b) Level 2: Enhancing energy management: energy policy in place, formal team, conduct basic analysis

of energy consumption and energy cost data, evaluate opportunities for energy savings, some

systematic energy management practices.

c) Level 3: Emerging EnMS: systematic energy management practices, energy management becomes

strategic, monitoring and review improved, legal compliance is part of the EnMS, the organization

learns.

d) Level 4: Established EnMS: continual improvement of the EnMS and of energy performance, core

elements of ISO 50001 implemented, ready for gap analysis versus ISO 50001, if desired.

NOTE Reaching Level 4 for all twelve elements does not necessarily lead to meeting all the requirements of

ISO 50001:2018.

When using the maturity model, the organization should consider that for each topic under an element

the criteria for a certain level can include the criteria of the previous levels in a cumulative manner.

Although the levels build on each other, they do not necessarily have to be implemented in four

sequential steps. If, for example, the organization has planned to reach Level 3 of a certain element,

it does not have to first implement Level 1, Level 2 and then Level 3. It can implement Level 3 directly,

taking into account the criteria of Levels 1 and 2.

Where there are blanks in the element tables, no criteria (e.g. see Figure 1 Level 1) or no additional

criteria (e.g. see Figure 1 Level 3) are required at that level. This means to maintain the criteria

implemented at the previous level.

For organizations that want to enhance their EnMS, additional advice and best practices are given in

Annex A. A level version of the maturity model is given in Annex B. The twelve elements of the maturity

model are described in Tables 1 to 12 in Clause 5.
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ISO/FDIS 50005:2021(E)
Figure 1 — Interpretation of “blanks” in the element tables
4.2 Phased implementation of an EnMS using the maturity model
4.2.1 General

The phased implementation is a project guideline consisting of elements and levels that target the

desired state of an EnMS. The starting point depends on the previous experience and situation of the

organization. It is also possible to focus only on some of the elements or topics individually. Nevertheless,

if all elements, topics and criteria for each level are implemented, then conformity to ISO 50001 can be

achieved with some additions and adjustments (see 4.2.7). An example of a practical procedure for the

phased implementation is given in 4.2.2 to 4.2.7.
4.2.2 Assess the organization’s initial situation

If the organization has no experience with a management system or specifically an EnMS, it is difficult

to estimate the work that lies ahead. The practical guidance to a phased implementation approach

provided in this document is based on the fact that every organization has some kind of energy

management in place. However, perhaps it is not well structured or does not cover all elements of good

practice of energy management.

It is often the case that some elements of an EnMS, such as energy performance improvement actions,

are in place at some level, but are not yet systematically implemented in the context of a management

system. The described elements and levels can be used as a self-assessment tool. A simple table can be

created for this purpose that gives an overview of which elements and topics are already addressed in

the organization and, if they do exist, at what level they are functioning with respect to the planned

EnMS (see Figure 2). The organization can assess what has already been implemented and what steps

still need to be taken.
Figure 2 — Initial process
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ISO/FDIS 50005:2021(E)

Self­assessment is a good starting point to show to top management where the organization stands

with regard to an EnMS. Self­assessment should be used to determine the organization’s status, as well

as best practices both at an overall level and at the level of each element.

A level of a certain topic of an element is considered to be achieved when all listed criteria at that level

for the topic have been fulfilled. Achievement of a particular level of a certain topic of the element

requires that all lower-level criteria have been fulfilled.

The next step to pursue is determined by the goal of the organization for the phased implementation.

4.2.3 Set and confirm a goal for the phased implementation

There are several ways of defining an EnMS implementation goal. This subclause describes two

useful approaches. They should be coordinated with top management so that the results and strategic

direction resulting from the development of a business case (see 4.2.4) can be taken into account.

Each level corresponds to an increasing progression for each criteria of a topic under an element. The

first step is to define the desired level for each topic. Before setting a goal, it is necessary to ensure that

resources such as money, time and personnel are available to complete the desired element level and

whether it will be advantageous to the organization. This process is presented in Figure 3.

Key
√ achieved level
X set goal
Figure 3 — Set first goals

The organization has the choice between two approaches to define and schedule the specific goals

depending on the desired outcome. The first one is an individual way where the goal for each topic is

set at an individual level. The second approach is to choose a given level as a goal for all topics. Figure 4

shows an example of how a simple overview can look.
Figure 4 — Different approaches to define goals
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The individual approach can suffer from the problem of interdependence between the processes

described in the topics. The organization should ensure that it takes into account these

interdependencies.

Given the individual approach in the example in Figure 4, Level 2 in Topic 1 and Level 3 for Topic 2 is

expected to be reached in October 2022 while others are scheduled for May 2022. This also illustrates

that different levels can be reached at the same time. If a level­based procedure is chosen, all topics reach

the same level at the same time, e.g. in October 2022. Ultimately, the agreed goal should be adopted and

approved by the top management. This ensures a certain security and support in the implementation of

the necessary measures.
4.2.4 Set up a simple business case

Effective implementation of an EnMS can provide net benefits to most organizations. This means that

a business case can be developed for the implementation of an EnMS. Although it is not easy to set up a

very detailed business case directly at the beginning of the implementation process, it is crucial to get a

first overview of potential benefits as a basis for further decisions or setting goals. Thus, a preliminary

estimate of the costs and benefits and the connected investments should be developed.

4.2.5 Set up a project plan

The organization should develop a project plan with the number of elements and levels that will allow

the desired goals to be achieved. The project plan should include tasks, responsibilities, resources, a

timeline (e.g. GANTT chart), milestones, the aim and management reviews. The project plan should be

approved by top management.
4.2.6 Monitor the implementation of the project plan
The following steps should be taken:
— regularly review ongoing project management activities;
— complete the implementation towards the goal;
— review the process;
— reassess the maturity model framework (e.g. bi-annually);
— improve and, if appropriate, set a new goal.
4.2.7 Gap analysis versus ISO 50001:2018

Achieving Level 4 in the maturity model for all elements does not mean that the organization’s EnMS

meets all the requirements of ISO 50001:2018. In the maturity model, core elements of ISO 50001:2018

have been selected. However, there can be other requirements to be met in order to achieve conformity

to ISO 50001:2018 in addition to these. If the organization wishes to demonstrate conformity to

ISO 50001:2018, a gap analysis will generally be needed.
5 Description of elements and levels
5.1 Element 1 — Context of the organization
To be aware of its own context, the organization needs to determine:

— external and internal issues such as resources, personnel capacities and energy types;

— needs and expectations of its interested parties such as legal requirements and agreements with

suppliers.
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ISO/FDIS 50005:2021(E)

External and internal issues as well as the needs and expectations and associated risks and

opportunities that are relevant to the EnMS should be considered by the organization. Building on that

analysis, the organization can take action to address identified opportunities (e.g. external funding of

energy performance improvement actions such as incentives and subsidies) and risks (e.g. insufficient

resources to implement the EnMS) in order to achieve the best possible outcome from its EnMS.

The organization should determine how legal requirements and other requirements apply to its

EnMS. Common business practices in the industry sector in which the organization functions can also

affect the design and implementation of the EnMS. The criteria related to the element “context of the

organization” are shown in Table 1.
The content of this element relates to ISO 50001:2018, 4.1, 4.2 and 6.1.
Table 1 — Context of the organization
Criteria
Topics
Level 1 Level 2 Level 3 Level 4
Context Create some aware­ Collect information Determine ener­ Top management
ness within the about energy-related gy-related external ensures that the
organization about environmental and and internal issues energy-related needs

energy-related envi­ other impacts within that affect the or­ and expectations of

ronmental and other the organization. ganization's ability the relevant inter­
impacts. to improve energy ested parties are
performance. determined.
Risks and — — Identify the risks Top management
opportunities and opportunities ensures that risks
associated with and opportunities
external and internal associated with the
issues that affect the energy-related needs
organization’s ability and expectations of
to improve energy interested parties
performance. are determined in
order to ensure that
the EnMS achieves
its intended
outcomes.
Top management
ensures that meas­
ures to address the
determined risks
and opportunities
are established.
The organization de­
termines changes in
external and internal
issues and associated
risks and opportuni­
ties that are relevant
to the EnMS and
energy performance
improvement.
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Table 1 (continued)
Criteria
Topics
Level 1 Level 2 Level 3 Level 4

Legal requirements Create an awareness — Determine how legal Establish a system to

and other about the applicable requirements and apply legal require­
requirements legal requirements other requirements ments and other re­
and other require­ apply to the organi­ quirements through­
ments related to zation’s EnMS. out the processes of
energy. the EnMS.
Review at defined
intervals the or­
ganization’s legal
requirements and
other requirements.
5.2 Element 2 — Leadership

It is essential that top management demonstrates its leadership and commitment with respect to

continual improvement of energy performance and effectiveness of the EnMS. In this element, the tasks

of top management are described to demonstrate ongoing engagement and commitment. An energy

policy gives evidence of the support and commitment of the leadership to implement and improve the

organization’s EnMS and energy performance.

Top management should assign the responsibility to at least one person for leading the implementation

of an EnMS. Depending on the size and complexity of the organization, the person(s) to whom the

responsibility is assigned should form a team to execu
...