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Energy Management Framework

Antonio Zdelican

Thesis to obtain the Master of Science Degree in

Information Systems and Computer Engineering

Supervisor(s): Prof. Miguel Leitão Bignolas Mira da SilvaProf. Paulo Jorge Fernandes Carreira

Examination Committee

Chairperson: Prof. José Luís Brinquete BorbinhaSupervisor: Prof. Paulo Jorge Fernandes Carreira

Member of the Committee: Prof. Carlos Augusto Santos Silva

October 2016

Acknowledgments

I would like to thank my mentors Prof. Miguel Mira da Silva and Prof. Paulo Carreira for giving me an

amazing support and guidance throughout this journey. Without their help and knowledge, I would not

have been able to complete this work and conclude my studies.

Special thanks to Eng. Mario de Matos for giving me the insides of energy management industry

and evaluating my work. His professional assessment was crucial in evaluating Energy Management

Framework and establishing its value.

Exceptional thanks to my parents and brother for their friendship, encouragement and caring over

all these years, for always being there for me through thick and thin and without whom this project

would not be possible. I would also like to thank my grandparents, aunts, uncles and cousins for their

understanding and support throughout all these years.

Last but not least, a big shout-out to all my friends and colleagues that helped me grow as a person

and were always there for me during the good and bad times in my life. Thank you.

To each and every one of you – Thank you.

iii

Resumo

A gestao energetica tornou-se crucial para as organizacoes que procuram reduzir custos com a energia,

melhorar a imagem corporativa e respeitar os seus requisitos legais.

Apesar da introducao de algumas normas e guias de gestao energetica, as organizacoes ainda se

deparam com grandes desafios ao nıvel da sua implementacao. Isto deve-se principalmente ao fato de

ainda nao existir um modelo de referencia atual, perceptıvel e compreensivo, para a gestao energetica.

A fim de resolver este problema, propomos um modelo de referencia e guia de implementacao

de gestao energetica para organizacoes, o Energy Management Framework. Este modelo de gestao

energetica e baseado na ISO 50001 e inspirado na estrutura do modelo de negocio e gestao, COBIT

5. Segue os princıpios de modelos de gestao e engloba, dentro de uma estrutura intuitiva, processos

detalhados de gestao energetica, de atividades, das melhores acoes, dados necessarios, resultados

obtidos e funcoes.

A avaliacao do nosso modelo foi realizada atraves do mapeamento dos seus processos com os req-

uisitos ISO 50001, bem como atraves da validacao por parte de um profissional de gestao energetica.

Palavras-chave: Gestao de Energia, ISO 50001, Modelos de Gestao, Plan-Do-Check-Act

v

Abstract

Energy management has become crucial for organizations seeking to reduce energy costs, improve

their public image and conform to legal requirements.

Despite the introduction of some energy management standards and guides, organizations still con-

front major challenges in the actual energy management implementation. This is mainly due to the fact

that an understandable and comprehensive energy management reference model does not yet exist.

In order to resolve those problems, we propose the Energy Management Framework, a reference

model and implementation road-map for organizational energy management. The Energy Manage-

ment Framework is based on ISO 50001 and inspired by the structure of COBIT 5, IT governance and

management framework. It follows principles of management frameworks and covers detailed energy

management processes, activities, best practices, inputs, outputs and roles within an intuitive structure.

The evaluation of our framework was done by mapping its processes with ISO 50001 requirements

as well as thorough validation by an energy management professional.

Keywords: Energy Management, ISO 50001, Management Framework, Plan-Do-Check-Act

vii

Contents

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Resumo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

1 Introduction 1

1.1 Energy Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.2 Research Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.3 Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.4 Document structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

2 Related Work 5

2.1 Energy Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.1.1 ISO 50001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

2.1.2 Energy Management Guides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.1.3 Scientific literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2 Management Frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.2.1 PDCA cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.2.2 COBIT 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

3 Proposal 12

3.1 Energy Management Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

3.2 EMF Process Reference Model (PRM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

3.3 EMF Process Reference Guide (PRG) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

3.4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

4 Demonstration 18

4.1 General EMF processes demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4.1.1 Utility results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

4.1.2 Difficulty of implementation results . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

4.2 Detailed EMF processes demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

ix

4.3 General EMF demonstration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

5 Evaluation 24

5.1 ISO 50001 mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

5.2 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

6 Conclusion 27

6.1 Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

6.2 Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

6.3 Future Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Bibliography 29

A EMF Process Reference Guide 33

x

List of Tables

2.1 Comparison of energy management activities in analyzed energy management guides,

frameworks and scientific articles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2 Comparison of IT management frameworks and energy management guides . . . . . . . 8

3.1 EMF PEM01 process detailed description table . . . . . . . . . . . . . . . . . . . . . . . . 15

3.2 PEM01 RACI chart with responsibility levels . . . . . . . . . . . . . . . . . . . . . . . . . . 16

4.1 Utility and difficulty of implementation scale used to assess EMF processes . . . . . . . . 19

4.2 Detailed evaluation results of EMF processes, acceptable activities and respective com-

ments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

5.1 Mapping between EMF processes and ISO 50001 requirements . . . . . . . . . . . . . . 25

xi

List of Figures

1.1 ISO 50001 certificated organizations in EU . . . . . . . . . . . . . . . . . . . . . . . . . . 2

2.1 ISO 50001 Energy Management System model . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2 Plan-Do-Check-Act (PDCA) management cycle of continual improvement . . . . . . . . . 9

2.3 COBIT 5 BAI domain and its ten processes . . . . . . . . . . . . . . . . . . . . . . . . . . 10

3.1 EMF Process Reference Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

3.2 Model representation of the PEM01 process, its activities, inputs and outputs . . . . . . . 14

4.1 EMF processes utility and difficulty of implementation matrix . . . . . . . . . . . . . . . . . 20

4.2 Evaluation results with percentage of acceptable activities for each EMF process . . . . . 23

xiii

Chapter 1

Introduction

Energy presents a crucial resource for daily operations of every organization. It has recently become

one of the key aspects that companies should improve and keep monitoring, due to the related economic

costs and the significant environmental impacts, to which today’s society is paying more and more at-

tention [17]. To confront those challenges, the concept of energy management has been recognized by

organizations across different business domains.

According to the definition, energy management is the systematic use of management and technol-

ogy to improve organizational energy performance [7]. In the academia it has also been defined as the

control, monitoring and improvement activities for energy efficiency [6]. But the real issue is that en-

ergy management and its associated practices vary greatly mainly because there is no well-understood

energy management model [1].

In other words, a complete, detailed and understandable energy management guide does not yet

exist. The interpretation of profoundly abstract energy management activities is left to organizations

themselves which is generally a daunting task and leads to only partial results. This paper will focus

on creating a reference model that is comprehensible yet intuitive to follow. The goal is to provide a

complete support to organizations in their energy management implementation as well as to improve

their energy efficiency.

1.1 Energy Efficiency

As expected, most compelling business reason for saving energy is reducing energy costs. Most orga-

nizations can save up to 20% on their bills simply by better managing their energy use and investing in

cost-effective measures [7]. An analysis of Swedish industrial energy efficiency programs shows that

energy audits allow potential total energy savings from 16% to 40%, and electricity savings from 20%

to even 60% [34]. Such audits are employed to help enterprises identify energy-efficiency improvement

opportunities and serve as a means to collect critical energy-consuming information [29]. Putting those

figures in perspective, the increasing prices of oil and other natural resources resulted with the global

fossil-fuel subsidiaries reaching US $523 billion in 2011, close to a 30% increase than previous year [16].

1

0

1.000

2.000

3.000

4.000

Ireland UK Netherlands Belgium France Germany Spain Portugal Italy Croatia

10294

12310

3.402

2702424

37656

Figure 1.1: Number of EU organizations holding ISO 50001 certificates in 2014. It shows a big disparitybetween German and other EU organizations who yet have to incorporate energy management into theirbusinesses.

Since many business operations still rely heavily on energy sources, the direct impact of energy price

fluctuation to the overhead of organizations is not insignificant.

In addition to energy costs, the environmental and legal requirements are becoming even stricter.

EU has established an energy improvement target of reducing green gas emissions by at least 20%

by 2020 [13]. The inclusion of energy management components in future energy policy will play an

important role if the energy savings targets for 2020, and later 2050, are to be met in the EU [5].

Moreover, the increasing public awareness on environmental issues is another driving force for busi-

nesses to reconsider their energy policy. People are paying more attention on the energy performance of

organizations [16]. Good energy management programs can significantly improve corporate image, and

bring competitive advantage. Most clients and investors would choose to support socially responsible

businesses that can demonstrate ”green” credentials or have achieved recognized standards. Despite

of these, well grounded arguments, organizations still face obstacles in actual energy management

implementation. Studies indicate that cost-efficient energy conservation measures are not always im-

plemented, explained by the existence of barriers to energy efficiency [28]. Through a survey among

Danish non-energy intensive manufacturing organizations, only 14% of them practice energy manage-

ment [8]. Organizations largely seem to fail to integrate energy and carbon efficiency into their overall

strategy and day-to-day business [6]. The reasons for these observations include the lack of information

on more efficient technologies [15] and on actual energy consumption [35]. Also, there are split incen-

tives between people responsible for investing in energy efficient equipment and for paying the energy

bill [24], insufficient personnel in charge with energy management and overall organizational culture

towards energy and carbon efficiency [26, 31].

Several energy management guides like Carbon Trust [7] and SEI [32] have been trying to help

companies in energy management implementation but case studies show that the real-world implemen-

tations fail to cover all the energy activities defined in these guides [9, 14]. In other words, a clear

connection between the scientific literature and the actual implementation in organizations does not

exist.

Furthermore, recently published ISO 50001 International Standard provides a set of energy man-

2

agement related requirements. This International Standard specifies requirements for establishing, im-

plementing, maintaining and improving an energy management system, whose purpose is to enable an

organization to follow a systematic approach in achieving continual improvement of energy performance,

including energy efficiency, energy use and consumption [22]. Even though the Standard contains all

the requirements, the problem arises when they need to be implemented. The requirements are pre-

sented in highly abstract and descriptive notation and don’t present an intuitive structure. Applying them

as unambiguous processes and activities is left to organizations which is often a daunting and complex

task. Figure 1.1 show disparity of ISO 50001 certificated organizations. A big majority of certificated

companies are coming from Germany while other countries are significantly delayed.

On the other hand, management frameworks have been used widely in organizations to provide a

comprehensive but easy-to-understand structure of management tasks. One of those frameworks is

COBIT 5 [19], IT governance and management framework which provides a complete blueprint on how

to govern and manage information technology in organizations. This framework is widely used and

provides excellent results [18] and, therefore, it is a good reference point on how to create a reliable

management framework.

1.2 Research Problem

The main research problem resides around implementation of energy management inside organizations.

None of the existing energy management guides and frameworks provide a clear and easy structure of

energy management processes and activities and connections between them. Also, many of the ac-

tivities are too abstract and descriptive and do not explain explicitly what needs to be done. So, the

research path of this thesis will be to structure energy management processes and activities derived

from ISO 50001 into a management framework structure inspired by COBIT 5 models. The main ob-

jectives will be mapping ISO 50001 requirements into concrete energy management processes and

activities, connecting those processes with tangible deliverables and providing responsible organiza-

tional roles for execution. Moreover, one of the main research tracks will be how to produce generalized

management processes for managing energy applicable for any business. In this way we will provide a

clear implementation road-map for a complete organizational energy management.

1.3 Contributions

This work will be based on constructing the Energy Management Framework and its models. To formal-

ize our ideas, the work will be framed around several main parts so the contributions of this work will be

as follows:

• Identification and extraction of detailed energy management processes and activities from ISO

50001 requirements.

• Construction of the Process Reference Model from derived processes.

3

• Definition of deliverables (documents, statements) from ISO 50001 requirements.

• Definition of roles from ISO 50001 requirements.

• Detailed description of each process through the Process Reference Guide.

• Development and implementation of evaluation methods to evaluate the framework.

1.4 Document structure

The remaining of this document is organized as follows: Section 2 describes concepts and related

work necessary to understand our solution proposal, Section 3 introduces our solution as the Energy

Management Framework and its core parts: Process Reference Model, Process Reference Guide and

Process Assessment Model. Section 4 describes the evaluation methodologies, and Section 5 presents

the conclusions that summarize entire work.

4

Chapter 2

Related Work

This section analyses the scientific literature as well as industry best practices related to this work.

First, we briefly explain the energy management in detail, one energy management standard and some

energy management guides and frameworks. Later, we will demonstrate the concepts of management

frameworks, their structure and point out one of the most used management frameworks in the industry.

2.1 Energy Management

An inspiration for creating the Energy Management Framework came from two distinguished domains of

energy management and management frameworks. We identified the opportunity of their combination

and how they can work together. This section covers the relevant energy management standard, energy

management guides and industry best practices as well as scientific articles that are currently active

within the energy management domain.

2.1.1 ISO 50001

The ISO 50001:2011, Energy management systems - requirements with guidance for use, is an interna-

tional standard developed by ISO with the main purpose to establish the systems and processes neces-

sary to improve energy performance, including energy efficiency, use and consumption. Implementation

of this International Standard is intended to lead to reductions in greenhouse gas emissions and other

related environmental impacts and energy cost through systematic management of energy [22]. Large

organizations, from health care, aerospace, automotive and transportation product manufacturers, en-

ergy generation companies, and others have adopted continuous energy and quality improvement prin-

ciples based on ISO 50001 [27]. Further on, 75% of Turkish industrial organizations welcome ISO

50001 as the new energy management standard and 20% state that a standard is necessary for energy

management [3].

As shown in Figure 2.1, ISO 50001 is based on the Plan-Do-Check-Act (PDCA) continual improve-

ment framework and incorporates energy management into everyday organizational practices. The

5

Figure 2.1: Representation of the ISO 50001 Energy Management System model with its core parts.Each part presents a stage of the cycle which is based on the Plan-Do-Check-Act (PDCA) continual im-provement framework. The model should incorporate energy management into everyday organizationalpractice. Adapted from [22].

Standard consists of six major requirements that need to be achieved in order to fully implement its

energy management system:

Management responsibility defines roles and tasks for top management as well as energy manage-

ment team and management representatives. The tasks are later detailed in other requirements.

Energy policy defines the energy policy and what it needs to contain.

Energy planning describes requirements for the energy planning stage. It consists of several detailed

and specific requirements. The important detail is that it should be consistent with energy policy.

Implementation and operation describes requirements for the energy implementation stage. It con-

nects action plans and outputs from planning stage into actual implementation requirements.

Checking describes requirements that organization needs to achieve in monitoring and analyzing stage.

It provides structured way on what needs to be checked in the energy management cycle.

Management review describe how top management needs to perform occasional reviews to ensure

that its energy management system (EnMS) is effective. It basically consists of inputs from different

reviews and documents and outputs in form of actions, decisions and changes.

2.1.2 Energy Management Guides

Energy management guides and frameworks have intention to provide a complete structure of an energy

management inside an organization. There are several published guides and frameworks that are trying

6

Activities EMMM Ecova VirtousCycle

VanGorp

Coppinger Dusi,Schultz

Planning stageEnergy review • • • • •Benchmark currentperformance

• • • •

Identify improvementopportunities

• • •

Ensure managementcommitment

• • • • • •

Establish energymanagement roles

• • • •

Establish energy policy •Set objectives and targets • • • •Establish energy performanceindicators

• •

Create action plan • • • • •Check regulatory compliance •

Implementation stageInvestment • • •Procurement • •Training • • •Communication • • • •Documentation • •Operational control • •

Monitoring stageMetering, monitoring andanalysis

• • • • •

Program audit • • • •Control of records •

Improvement stageManagement review • • •

Table 2.1: Comparison of energy management activities in analyzed energy management guides, frame-works and scientific articles (Energy Management Maturity Model [1]; Ecova SEM framework [11]; Vir-tous Cycle framework [12]; Van Gorp [36]; Coppinger [9]; Dusi and Schultz [10]).

to establish industry best practices and organize processes and activities. Several energy management

guides and scientific articles are analyzed in detail and the results are shown in Table 2.1. As presented,

all the references have more or less the same context of energy management processes and activities.

Some references are more complete and have better structure while the others have significant lack of

important energy management steps. The analyzed articles also provide some consistency with ISO

50001 requirements as well as some redundancy.

2.1.3 Scientific literature

Only a small number of scientific articles are identifying energy management activities that can be actu-

ally used in practice. As with the guides, most of the articles identified some standard energy manage-

ment activities but there are also some inconsistency and missing activities. Again, the comparison is

shown in Table 2.1.

7

Criteria COBIT 5 ITIL CarbonTrust SEI

Scope ITgovernancemanagement

IT servicemanagement

Energymanagement

Energymanagement

Processes 37 26 20 (activities) 13 (activities)

Structure

Process referencemodels

Yes Yes No No

Process referenceguides

Yes Unknown No No

Maturity models Yes Yes Partial No

ISO alignments Several Several None None

Detail High High Low Low

Usage Extensive Extensive Unknown Unknown

Table 2.2: Comparison of IT management frameworks COBIT 5 [19] and ITIL [4] with respectful energymanagement guides CarbonTrust [7] and SEI [32].

2.2 Management Frameworks

A framework is a real or conceptual structure intended to serve as a support or guide for creating some-

thing more specific. Management frameworks are conceptual structures in the management domain.

They are usually made by collecting industry best practices and putting them all together in model(s).

Simply said, management frameworks try to provide graphical models that consists of connected pro-

cesses and activities, their descriptions and guidelines how to use them. The purpose of a management

framework is to serve and help managers to run a successful business. To point out the benefits of

management frameworks, Table 2.2 compares some of the best management frameworks from other

domains with current management guides and frameworks from energy domain.

2.2.1 PDCA cycle

The PDCA cycle is a well-known model for continual process improvement [33]. It teaches organizations

to plan an action, do it, check to see how it conforms to the plan and act on what has been learned [2].

A representation of the cycle is shown in Figure 2.2. Moreover, the cycle draws its structure from the

notion that constant evaluation of management practices, as well as the willingness of management to

adopt and disregard unsupported ideas, is key to the evaluation of a successful enterprise [30]. The

PDCA cycle is made up of four steps for improvement of change:

Plan - recognize an opportunity and plan the change. It is the stage where an organization establishes

its goals and objectives and plans the means and processes to reach them.

Do - implement the plan and the processes from the previous stage.

Check - review the test, analyze the results and identify learning. In other words, compare the planned

and actual results.

8

Figure 2.2: Plan-Do-Check-Act (PDCA) cycle of continual improvement. Many management frameworkshave adapted this model as their basis. Adapted from [25].

Act - take action based on what you learned in the check step. If the change was successful, incorporate

the learning from the test into wider changes. If not, go through the cycle again with a different

plan.

The PDCA cycle is incorporated in many management frameworks regardless their domain. More

specifically, each framework defines a set of processes within each PDCA stage as well as their con-

nection. This results with a closed management cycle that covers every aspect of the target domain and

continual improvement of every process within that domain.

2.2.2 COBIT 5

COBIT 5 (Control Objectives for Information and Related Technology) provides a comprehensive frame-

work that assists enterprises in achieving their objectives for the governance and management of enter-

prise IT [19]. It enables information and related technology to be governed and managed in a holistic

manner for the entire enterprise. In other words, this framework is a set of best practices focused on the

governance and management of IT. The main elements of the COIT 5 framework are:

COBIT 5 Process Reference Model (PRM) defines a number of governance and management pro-

cesses. PRM represents all of the processes normally found in an enterprise relating to IT activ-

ities, providing a common reference model understandable to operational IT and business man-

agers [19].

COBIT 5 Enabling Processes enabler guide complements COBIT 5 and contains a detailed reference

guide to the processes that are defined in the COBIT 5 Process Reference Model [20].

COBIT 5 Process Assessment model (PAM) describes a process assessment model based on CO-

BIT 5 and it’s compliant with ISO/IEC 15504 International Standard [23]. In other words, this

9

Figure 2.3: Build, Aquire and Implement (BAI) domain of the COBIT 5 Process Reference Model. Itlogically groups ten of the COBIT 5 management processes grouped and structured in intuitive form.Adapted from [19].

assessment model helps to assess all the COBIT 5 processes and provides a guideline to improve

them [21].

Figure 2.3 represents one domain of COBIT 5 Process Reference Model. This particular domain can

be explained as the implementation phase of the IT management inside the organization. It groups all

the IT management processes defined from years of industry best practices and scientific researches.

It enables a successful management of implementation and acquiring IT processes. Later on each

process is described in detail.

The complete PRM is structured into two main areas of activity, governance and management, further

divided into domains of processes as follows:

Evaluate Direct and Monitor (EDM) - contains 5 governance processes that govern, direct and moni-

tor IT cycle.

Align, Plan and Organize (APO) - contains 13 management processes defined for the planning stage

of IT management cycle.

Build, Acquire and Implement (BAI) - contains 10 management processes used in implementation

and acquiring actions.

Deliver, Service and Support (DSS) - contains 6 management processes responsible for post-implementation

stages.

Monitor, Evaluate and Asses - contains 3 management processes which provide management control

of the entire management cycle as well as periodical assessments.

In total COBIT 5 Process Reference Model is structured within 2 areas, 5 domains and 37 processes

that are industry best practices and have purpose to guide managers into governance and management

of enterprise IT.

Going further, each process is explained in details in COBIT 5 Enabling Processes [20] and contains

its identification, description, purpose, goals and metrics. Each process is also divided into process

practices and activities and contains inputs and outputs. Those inputs and outputs can be from other

10

COBIT 5 activities or some external activities. Also, each process practice and activity is assigned to

organizational roles.

Finally, each process is then assessed through the COBIT 5 Process Assessment Model (PAM) [21].

The PAM is based on ISO 15504 scale [23] where each process gets assessed to determine the ap-

propriate maturity level. In this way organization gets a valuable overview on how well it executes its IT

processes.

To conclude, COBIT 5 provides a complete and well formed structure of all the processes for gov-

ernance and management of IT. To justify the benefits of this framework, business outcomes show that

COBIT 5 provided 40% of improved communication and relationships between business and IT and 38%

of lower IT costs [18]. This provides a trustful reference and a good starting point on building a good

energy management framework structure.

11

Chapter 3

Proposal

Herein we propose the Energy Management Framework (EMF) that aims to provide organizations an

intuitive guide to adopt their energy management. It provides an easy-to-understand models that enable

organizations to adopt energy management practices, guiding them along a clearly defined road-map

and helping them to comply with energy management standards.

3.1 Energy Management Framework

The Energy Management Framework is based on ISO 50001 International Standard for Energy Man-

agement System requirements and inspired by management frameworks from other domains. The

framework covers detailed energy management processes, easy-to-understand structure and best en-

ergy management practices.

In particular, the EMF consists of the two main components:

EMF Process Reference Model (PRM) - a management reference model that defines and groups en-

ergy management processes. It represent a base structure for the entire energy management

cycle.

EMF Process Reference Guide(PRG) - a detailed management guide for energy management pro-

cesses defined in the PRM. Each process is supported with the relevant information, guidelines

for the process implementation, relationship with other processes as well as responsible organiza-

tional roles.

With the combination of those two components, the EMF enables organizations to understand their

energy management and provides guidelines towards the energy efficiency.

3.2 EMF Process Reference Model (PRM)

The EMF Process Reference Model (PRM) is a management reference model that includes all the

energy management processes. The processes are based on the ISO 50001 requirements and the

12

Figure 3.1: EMF Process Reference Model with its four domains which represent planning, implemen-tation, checking and reviewing stage of the energy management cycle. The domains group defined 21EMF processes for the respective stages.

industry best practices while the structure follows the PDCA (Plan-Do-Check-Act) cycle extensively used

in other management frameworks.

In total, there are 21 EMF processes grouped within 4 domains:

Plan Energy Management - refers to the stage where an organization commits to an energy manage-

ment cycle. The domain combines 7 processes which cover establishing an energy management

commitment, creating an energy management team, energy policy, baseline, objectives, targets

and action plans, consolidation with legal and other requirements, processing energy performance

indicators and conducting an initial energy planning review.

Implement Energy Management - refers to the actual implementation stage where an organization is

implementing the energy management and undertakes processes of competence, training, com-

munication and documentation management as well as managing operational control, procure-

ment and energy efficient projects and systems. The domain contains 8 processes in total.

13

PEM01.01

ISO 5001

PEM01.02 PEM01.03 PEM01.04 PEM01.05 PEM01.06 PEM01.07 PEM01.08

Managementreview

Scope andboundaries

Energy management

team

PEM01 Manage Energy Management Framework

Figure 3.2: Model representation of the PEM01 process. It consists of the activities, inputs and outputsdescribed in Table 3.1. This representation ensures that each EMF process is clarified, structured andeasier to manage.

Check Energy Management - refers to the monitoring and checking stage. There are 5 processes that

include monitoring, measurement and analysis of organizational energy performance, compliance

with legal requirements, internal audit, manage nonconformities and other corrective actions and

managing the control of the records.

Review Energy Management - refers to the review stage. The domain contains 1 process that applies

an overall management review of which ensures continuous adequacy and effectiveness the entire

energy management cycle.

The EMF PRM presents only a high-abstract representation of processes. To fully incorporate the

energy management road-map, each process requires a detailed explanation and implementation steps.

Following section defines the reference guide that supports the PRM and clarifies each process.

3.3 EMF Process Reference Guide (PRG)

The EMF PRG represents detailed descriptions of the EMF processes defined in the PRM. Table 3.1,

Table 3.2 and Figure 3.2 illustrate an example of the PEM01 Manage Energy Management Framework

process. Therefore, each process is detailed with the following information:

Process label - the domain prefix (PEM, IEM, CEM, REM) and the process number.

Process name - indicating the main context of the process.

Process description - an overview of what the process actually does.

Process purpose - an overall purpose of the process.

Process inputs - each process usually has some kind of inputs (e.g. document, deliverable). The

inputs can be from the other EMF processes and activities or from the outside of the EMF (e.g.

ISO 50001 document). Each input is defined with the source, description and which activities

require that input.

14


Process DescriptionClarify and commit to an organizational energy management. Implement and maintain mechanisms and author-ities to manage energy in the organization.

Process PurposeProvide a consistent energy management approach to meet organizational energy management requirementsby covering energy management processes, organizational structures, roles and responsibilities, reliable andrepeatable activities, skills and competencies.Process InputsFrom Description To activities

ISO 50001 (outside EMF) International Standard needed to fully understandEMF

PEM01.01PEM01.02PEM01.03PEM01.04

REM01.05REM01.17

Management review document - results and changesin allocation of personnel

PEM01.07

Process OutputsFrom Description To

PEM01.05 Scope and boundaries document PEM02.12IEM04.02

PEM01.06PEM01.07PEM01.08

Energy management team document PEM07.11REM01.16

Process Activities

PEM01.01 Commit to achieve continual improvement of organizational energy performance and the compliancewith the ISO 50001:2011 International Standard for energy management.PEM01.02 Acquire the ISO 50001 document.PEM01.03 Store the ISO 50001 document at the accessible place within the organization.PEM01.04 Understand the ISO 50001 terms, definitions, requirements and the ISO 50001 Energy ManagementSystem (EnMS) procedural model.PEM01.05 Define the scope of the organizational energy management (deliverables and boundaries).PEM01.06 Appoint the energy management team leader (management representative) with appropriate skillsand competence.PEM01.07 Identify persons for the energy management team, to work with the energy management team leaderin support of energy management activities.PEM01.08 Approve the formation of the energy management team.

Table 3.1: Detailed description of one of the EMF processes. It defines the process label, name, descrip-tion, purpose, inputs and outputs with elaborated explanation and activities within that process. Inputsand outputs are used to link with other processes and elements of the EMF.

15

Processactivities Top management

Energymanagement team

leader

Energymanagement team

Personnel relatedto energy use

PEM01.01 R IPEM01.02 RPEM01.03 RPEM01.04 RPEM01.05 R I I IPEM01.06 A I I IPEM01.07 R R I IPEM01.08 R C I I

Table 3.2: RACI chart for PEM01 process activities that shows responsibility levels for different roles, R(responsible), I (informed), C (consulted) and A (accountable).

Process outputs - each process produces some kind of outputs (e.g. document, deliverable). The

outputs are usually used in the other EMF processes and activities or outside of the EMF (e.g.

organizational structure). Each output is defined with the producing activities, description and

destination.

Process activities - specific activities/tasks that construct the process. Each activity consists of the

activity label and description that explains what specifically needs to be done.

Process model - a model representation of an EMF process. It consists of defined activities, inputs

and outputs that are produced within the process. This representation ensures that each process

is understandable and easier to manage. An example of the process model is shown in Figure 3.2.

RACI chart - a responsibility assignment table that connects each process activity with the appropriate

organizational role. An example of a RACI chart is shown in Table 3.2. The different levels of

involvement are as follows:

R (responsible) - who is doing the activity? Roles that are actually fulfilling the listed activity and

creating the intended outcome.

A (accountable) - who is accountable for the success of the activity? This assigns the overall

accountability for getting the activity done. As a principle, accountability cannot be shared.

C (consulted) - who is providing the consultation? Those are the key roles that provide informa-

tion inputs to the listed activity.

I (informed) - who is receiving the information? Those are the roles who are informed of the

achievements and/or deliverables of the activity.

Each of the 21 EMF processes comes with the relevant PRG charts that provide understandable as

well as comprehensive processes descriptions. The PRG is aligned with the ISO 50001 International

Standard which leads to the closed cycle of the entire organizational energy management. By following

the EMF PRG, organizations are always be sure what has been done and what needs to be done to

ensure an efficient energy management. Moreover, the guide is adaptable and can be used across

industries and organizational preferences. The complete Energy Management Framework with all of

16

its processes and details can be found at www.energymanagementframework.com as well as in the

Appendix A.

3.4 Discussion

This chapter presented the entire core of the Energy Management Framework. Firstly, we detailed the

EMF Process Reference Model (PRM) which is an highly abstract model representing all of the EMF

processes combined within Plan, Do, Check and Act domains. The PRM has purpose to provide an

overall view of entire energy management cycle which help organizations in better understanding where

they are in current implementation. As mentioned before, following the PDCA pattern, processes are

intuitively placed within domains to ensure proper flow and understandable arrangement.

Secondly, we introduced the EMF Process Reference Guide (PRG) which goes into detail regarding

each and every EMF process. Then entire PRG can be found in the Appendix A with all 21 EMF pro-

cess spread across 42 tables. Each EMF process is described with elements such as inputs, outputs,

activities and purpose. Moreover, RACI chart allow to properly assign responsibility roles within organi-

zation so each process can be properly managed and monitored. The biggest advantage of the EMF

PRG is that is goes in such details that organizations can start immediately implementing their energy

management. In other words, organizations do not require to have any previous energy management

knowledge to follow PRG. This finding is definitely the most significant value that EMF can provide to

organizations.

17

Chapter 4

Demonstration

This chapter will describe performed demonstration of the work that was conducted with the energy

efficiency and management assessor of Instituto Superior Tecnico. The EMF was demonstrated and

compared with the real-world practices, both from the industry and the University. This was a crucial

step in validating our work where we got significant knowledge on how energy management actually

works in practice and where we can implement our EMF processes.

The energy management expert who evaluated EMF has been working in the industry for more than

a decade and is currently an energy efficiency and management assessor of Instituto Superior Tecnico.

This acknowledgment puts our work in a valid and affirmed context.

The demonstration sessions were done in two occasions and they included following elements:

• General demonstration of EMF processes - each EMF process was assessed regarding its utility

and difficulty of implementation. The assessor compared processes with real-world implementa-

tion both from the industry and the University. Processes are mainly analyzed concerning their

main description, purpose and structure. Table 4.1 shows the main scale that was used for the

assessment. At the end, the assessor gave some general comments about each process.

• Detailed demonstration of EMF processes - following the first part, each EMF process was then

assessed in detail, point on each activity within processes, their connections, utility and necessity.

In other words, each process activity was discussed and analyzed followed by its final approval.

The approval means if the activity is actually aligned with real-world practices and has a practical

value to be implemented as-is. Table 4.2 demonstrates the final results which will be discussed

later on.

• General demonstration of entire EMF framework - final assessment covered construction of the

EMF PRM and PRG, their utility as well as some general comments on how it can be aligned

with the real-world implementation. The assessor provided some important pros and cons of

our framework, how it can be aligned and implemented in various examples as well as some

improvement measures that should be produced in forthcoming framework iterations.

18

4.1 General EMF processes demonstration

As mentioned, first part of the demonstration included just the overall assessment and alignment of EMF

processes with real-world practices. The assessor compared our processes with industries processes

giving some critical notes. Main scale that was used to assess the processes is shown in Table 4.1.

Each process was classified regarding its two characteristic:

• Utility - how useful a particular EMF processes actually is for a real-world organization. In other

words, would this processes contribute in overall energy efficiency and management improvement

of an organization.

• Difficulty of implementation - how big of an obstacle a particular EMF processes would be to imple-

ment. Namely, how much time and resources in average would an organization use to implement

a particular processes.

Value Utility Difficulty of implementation

0 No utility No difficulty1 Low utility Low difficulty2 Mid-low utility Mid-low difficulty3 Mid-high utility Mid-high difficulty4 High utility High difficulty

Table 4.1: Utility and difficulty of implementation scale used to assess EMF processes. This scale waspresented to the assessor before the demonstration.

Even though EMF tries to provide a general energy management solution, the assessor pointed on

some important parameters that influenced the overall scoring of each EMF processes. They are tight

to a specific organization as follows:

• Energy management experience - if an organization has already implemented some sort of an

energy management, the difficulty of implementing EMF processes is highly reduced.

• Type of the industry - significantly influences how EMF would be implemented. For example,

energy management of an university, hospital or power plant are approached from different angles

which influences utility and difficulty of implementation scores.

• Top management commitment - since energy management is quite a new area, executives and

top management are yet to understand the full potential of its implementation.

• ISO 50001 knowledge and certification - referring to the first chapter and Figure 1.1, it is clear that

many European countries and businesses still have to recognize the importance of this Standard

which is the EMF baseline.

• Organization size - overall, energy management is more significant to larger organizations than

the smaller ones since it usually requires more complex approach.

19

Figure 4.1: EMF processes utility and difficulty of implementation matrix showing assessment resultsprovided by the energy management professional. Each EMF processes is placed in a particular matrixcell depending on its utility and difficulty of implementation score.

• Current personnel energy management expertise - even though EMF tends to simplify energy

management, some expertise is welcoming to speed up the cycle.

• Budget - most of the EMF processes do not require significant investments, but some of them such

as IEM06 Managing Energy Efficient Projects require long term budget plannings.

Finally, Figure 4.1 shows the assessment results provided by the assessor. Each EMF processes if

placed in respective matrix cell depending on its utility and difficulty of implementation score. Detailed

review is provided in following subsections.

4.1.1 Utility results

The utility results are quite favorable showing high or mid-high utility for majority of EMF processes. As

presented in Figure 4.1, most of the EMF processes are placed into right side of the matrix with utility

values of 3 or 4. Only falls with utility values of 2 are for CEM02 Manage Evaluation of Compliance

with Legal and Other Requirements and CEM03 Manage Internal Audit processes. The assessor stated

20

that, even though they can be used, those processes are not so relevant for the organizational energy

management cycle. Both CEM02 and CEM03 processes can be mitigated to certain activities within

review process or REM01. Nevertheless, all the other processes are given important utility and they

are considered crucial for proper organizational energy management. Overall, EMF processes have an

average value of 3,42 which is more than positive. This proves that our EMF processes are mostly ready

as-is for the real-world implementation.

4.1.2 Difficulty of implementation results

Furthermore, the difficulty of implementation classification also provided some positive insights. Again,

Figure 4.1 shows how majority of EMF processes are placed between 1 and 3 of the difficulty of im-

plementation scale. This is also quite promising since it shows that EMF processes can actually be

implemented as they are without much difficulties. The only peak is for the CEM04 Manage Noncon-

formities, Correction, Corrective and Preventive Actions. The assessor stated this is really difficult to

manage and usually it’s quite vague to determine such non-fulfillments in the context of real-world im-

plementation. Organizations have to determine those non-fulfillments specifically and uniquely for their

case which is not quite clear in many situations. However, as mentioned before, the rest of the processes

are applicable for the most organizations as they are. With the average difficulty of implementation value

of 2,14, this results places EMF as framework ready to be tested in most organizations.

4.2 Detailed EMF processes demonstration

The second part of demonstration included detailed assessment of EMF processes. The assessor

went through each process and its respective activities and marked their acceptance. As a reminder,

each activity represents a specific task that organization should implement within a process to ensure

its successful management. The assessor stated this is certainly beneficial for organizations because

it removes the abstraction of processes and produces simple tasks that usually don’t require specific

domain knowledge. In other words, most of the activities can be implemented without extensive training

in energy management.

Table 4.2 shows the number of acceptable activities for each EMF processes backed-up with com-

ments from the assessor. Since this is a first version of the framework, it was expected to have some

activities that don’t align with the real-world situations but the results are truly promising. Most of the pro-

cesses have 70-80% of acceptable activities and are commented as good and ready for implementation.

The most relevant critiques are as follows:

• IEM08 Manage Energy Management Systems process requires major improvement - the assessor

stated that it is not clear enough how this process should evolve around energy management

systems as software tools. It should be more precise and detailed how software tools should be

used in the context of energy management cycle. However, as shown in previous results, utility of

the process is high so it just needs more clarification in implementation itself.

21

EMF Process Acceptableactivities

Comments

PlanPEM01 5/8 Good.PEM02 15/17 Good.PEM03 4/5 Good.PEM04 12/14 Should be Energy Audit instead ReviewPEM05 4/6 Difficulty of implementation varies a lot depending on uncertainty of

baseline and time period.PEM06 4/5 Easier in industries, much more complex in buildings (global consump-

tion is universal).PEM07 11/16 Establish energy objectives for the organizations, then, if possible, do it

across different levels in it.

DoIEM01 5/7 GoodIEM02 5/8 Good.IEM03 3/4 Good.IEM04 11/16 Good.IEM05 5/5 Most of the times it is easy to control, but not so easy to act.IEM06 7/8 Depends a lot on the money.IEM07 3/4 Good.IEM08 1/6 Not clear enough, should be a better separation between EnMS and

EMS (software).

CheckCEM01 12/14 Good.CEM02 3/3 It is important, but most of the times not relevant to results.CEM03 7/9 Good.CEM04 5/7 May vary a lot, but some non-fulfillment are difficult to lead and the only

way is to reformulate objectives.CEM05 1/3 Organizational EnMS requirements should be enough as well as ISO

50001 document.

ActREM01 14/18 Some activities should be moved to other processes, specially in Do

phase.

Table 4.2: Detailed evaluation results of EMF processes provided by the assessor. It shows numberof acceptable activities for each EMF process as well as overall comment regarding entire processdefinition.

• CEM05 Manage Control of the Records - the assessor stated that its activities could be mitigated

in other processes. The process itself is useful, just the amount of activities and their description

don’t contain required necessity for implementation.

• CEM04 Manage Nonconformities, Correction, Corrective and Preventive Action - as mentioned

before, another important comment was regarding CEM04 where organizations have to deal with

non-fulfillments for their specific case which is usually very complex to simplify.

Figure 4.2 shows aggregated results just mentioned where each processes was assessed based on

its activities. The average acceptance is 73,09% which proves that even activities within processes are

satisfiable and can be implemented as they are. Again, the only significant fall is for the IEM08 which

should be re-factored as mentioned.

22

Acc

epta

ble

activ

ities

0%

20%

40%

60%

80%

100%

EMF Processes

PEM01 PEM02 PEM03 PEM04 PEM05 PEM06 PEM07 IEM01 IEM02 IEM03 IEM04 IEM05 IEM06 IEM07 IEM08 CEM01 CEM02 CEM03 CEM04 CEM05 REM01

Figure 4.2: Evaluation results showing percentage of acceptable activities for each EMF process. Re-sults are aggregated from Table 4.2 with average acceptance of 73,09%.

4.3 General EMF demonstration

Finally, the last part of evaluation by the assessor gave the overall conclusions regarding the entire EMF

itself, its PRM and PRG. Some of the comments are as follows:

• Less responsibility assignment for Top management in RACI charts - in practice top manage-

ment don’t have that much responsibility regarding energy management. Tasks should be mostly

transferred to energy management team and top management is just occasionally informed and

consulted about most important energy management decisions.

• Increased importance of energy audit - even though energy audit is mentioned several times

through certain activities within EMF, there should be an increased importance of this procedure.

The assessor event suggested to create another process called Manage Energy Audit to precisely

determine required steps. Energy audit should be included as one of the first steps of the energy

management cycle.

• Separation of ISO 50001 document from EMF processes - several EMF processes and activities

explicitly involve ISO 50001 document but this should not be necessary. The framework should be

completely standalone document and guideline for organizations and they should not be required

to obtain the Standard as well. EMF completely covers all the ISO 50001 requirements so having

two documents would be ambiguous. Of course, organizations could acquire both, side-by-side to

ensure they are on the right path.

As we can see from this demonstration, Energy Management Framework still needs some minor

improvements for real-world implementation. Nevertheless, demonstrating its value by comparing to

current energy management practices within few industries has shown that is very close to how en-

ergy management is actually conducted. On the other hand, it brings this fresh engineering approach

of coupling concepts and tasks as specific processes and activities which would significantly reduce

complexity of organizational energy management.

23

Chapter 5

Evaluation

This chapter describes the performed evaluation of the work as well as discussion of the results both

from evaluation and previously analyzed demonstration. Since the Energy Management Framework is

based on ISO 50001, the main evaluation was conducted by mapping EMF processes with ISO 50001

requirements. This was a crucial step to confirm the proper alignment and minimum baseline for our

framework.

5.1 ISO 50001 mapping

The ISO 50001 mapping was implemented by aligning its requirements with our Energy Management

Framework. Each of the Standard’s requirements had been analyzed with its content completely cov-

ered. Since EMF is based on ISO 50001, significant number of processes followed the flow of Standard’s

requirements, both by including them through activities and covering end-to-end.

As Table 5.1 shows, each ISO 50001 requirement has been included in some of the EMF processes

to its full extent. Some of the requirements such as Top management and Management representative

has been aggregated within one EMF process (PEM01) while others like Communication, training and

awareness divided into more processes (IEM01 and IEM02) This decisions were made after concluding

that it makes more sense in real-world implementation to construct those processes as shown.

Another example is IEM08 process which was included on top of the requirements which deals with

managing energy management software solutions. Since more businesses have already implemented

software tools to track their energy consumption, EMF supports and includes managing of those in its

cycle. This is crucial because the tools can provide significant improvements by providing data for other

processes like IEM01. Management review can be more efficient and thorough which brings better

understanding of the entire cycle.

Finally, Table 5.1 also proves how EMF processes follow the PDCA pattern, same as ISO 50001 as

well as other management frameworks. This amplifies the proper structure of our framework.

24

EMF processes ISO 50001 requirements

PlanPEM01 Manage Energy Management Framework Top management

Management representativePEM02 Manage Energy Policy Energy policyPEM03 Manage Legal and Other Requirements Legal requirements and other requirementsPEM04 Manage Energy Review Energy reviewPEM05 Manage Energy Baseline Energy baselinePEM06 Manage Energy Performance Indicators (En-PIs)

Energy performance indicators

PEM07 Manage Energy Objectives, Targets and Ac-tion Plans

Energy objectives, energy targets and energy man-agement action plans

DoIEM01 Manage Competence and Awareness Competence, training and awarenessIEM02 Mange Training Competence, training and awarenessIEM03 Manage Communication CommunicationIEM04 Manage Documentation DocumentationIEM05 Manage Operational Control Operational controlIEM06 Manage Energy Efficient Projects DesignIEM07 Manage Procurement of Energy Services,Products, Equipment and Strategy

Procurement of Energy Services, Products, Equip-ment and Strategy

IEM08 Manage Energy Management Systems(EMSs)

CheckCEM01 Manage Monitoring, Measurement and Anal-ysis

Monitoring, measurement and analysis

CEM02 Manage Evaluation of Compliance with Legaland Other Requirements

Evaluation of compliance with legal and other require-ments

CEM03 Manage Internal Audit Internal audit of the EnMSCEM04 Manage Nonconformities, Correction, Correc-tive and Preventive Actions

Nonconformities, correction, corrective and preventiveactions

CEM05 Manage Control of the Records Control of records

ActREM01 Apply Management Review Management Review

Table 5.1: Comparison and mapping between EMF processes and ISO 50001 requirements. It showsfull alignment with the Standard which ensures full compliance upon EMF implementation.

25

5.2 Discussion

Obtained evaluation results are certainly positive. The Energy Management Framework is completely

mapped with ISO 50001 requirements which ensures the compliance. Moreover, it simplifies the energy

management implementation over the Standard by providing explicit steps and complete cycle as a

whole.

On the other hand, the demonstration and assessment from the energy management professional

gave us even better conclusion that EMF can actually be applied as-is in organizations. Some of the

processes and activities would require iterations to make them more explicit, clear and closer to what

organizations actually need. As seen from the graphs, around three quarters of entire EMF is acceptable

and ready to be applied. Those inspiring results show that this could be a right path to follow in future

energy management implementation.

Lastly, an even better step would be to apply the EMF in the organizations and get some field mea-

surements. That would require more time and commitment of the testing organizations but, nevertheless,

it is highly possible in near future.

26

Chapter 6

Conclusion

Energy management has become one of the upcoming areas which organizations yet have to tackle.

Despite some proposed solutions and guides that tried to provide energy management solutions, none of

them produced a complete and understandable framework. From analyzing, both, scientific and industry

literature we have seen that organizations still struggle to actually implement energy management in their

daily work.

Current energy management activities are too abstract and descriptive, not detailed enough and

there is, generally, a lack of an intuitive and easy-to-follow structure. There is still lots of work left to

organizations themselves to figure out how to approach this problem.

6.1 Impact

The Energy Management Framework aims to provide a complete guidance for organizational energy

management implementation. It will help organizations to improve their energy performance, reduce

energy related costs, help complying with regulations and improve their public image.

Throughout the related work, we identified ISO 50001 International Standard as the basis to extract

all the steps that an organization needs implement for a successful energy management. The obstacle

was that this Standard only provides set of requirements that have to be accomplished. But it does not

structure them in context of processes and activities to explicitly present what an organization needs to

do. In other words, an organization gets the requirements and it is left on its own to deal with them.

Moving forward through related work, we pointed on the idea to analyze some already established

management frameworks that are used in practice and that produce great results. We decided to take

COBIT 5, IT governance and management framework as the basis for structuring our framework. It is

already used by many IT managers across the industry and has great results within managing IT and

reducing IT-related costs. It provides sets of processes and activities structured in logical domains as

well as their comprehensive description and purpose. Moreover, it connects them throughout inputs

and outputs so entire framework works as an organic unit. Finally, it sets the roles for each and every

process so it is clear who is responsible for them.

27

Inspired by the management frameworks from other domains, our final idea was to create one for

the energy management domain. Therefore, the Energy Management Framework takes ISO 50001

energy management requirements and other industry best practices as a content basis and COBIT 5,

IT management framework as a structure basis. The result is a management framework adaptable

to organizations of any industry. The Energy Management Framework consists of the EMF Process

Reference Model (PMF) that defines the energy management processes and their domains and the

EMF Process Reference Guide which describes each process in details, adds their connection and

responsible organizational roles.

Finally, proposed Energy Management Framework was evaluated both by mapping with ISO 50001

International Standard for Energy Management Systems and thorough validation by an energy manage-

ment professional. The results were more than positive showing that EMF can already be put in practice

and be applied in real-world organizations. Moreover, it is on the right research path to solve the up-

coming problem that organizations yet have to face which is how to conform legislations and efficiently

manage energy.

6.2 Lessons Learned

Throughout this work, specially during the evaluation stage, we have tried to align our processes with

real-world practices. From the energy manager assessor we learned some valuable insights how can

this framework be used in a real organization. Some of the most important suggestions were in creating

one more process for energy audit, separate ISO 50001 from EMF as well as including energy manage-

ment software tools in a more clear and understandable way. Other than that, we have received more

than positive feedback confirming that EMF processes and activities can be already applied as-is. Most

importantly, we learned how energy management works in big organizations such as Instituto Superior

Tecnico, and how our EMF could possibly be applied in their every-day work.

6.3 Future Work

For the future work, we have identified following:

• The proposed Energy Management Framework could be further developed to align with the eval-

uation feedback. It needs few more iterations over the processes as well as refined structure.

• Each of the 21 EMF processes could be modeled like the PEM01 example. As the assessor sug-

gested, those model are extremely helpful to provide clear picture of every process, its activities,

inputs and outputs.

• The framework could pass few more evaluations from other energy management professionals to

establish its value.

• From the academic perspective, the proposed framework could be used in a scientific article.

28

• Finally, the best proposition would be to fully demonstrate EMF within an organization. It needs

to be implemented for some months to get concrete results but, as stated already, majority of the

processes are already prepared.

Implementing EMF in a real organization is suggested path to take as soon as possible. In that way

we could test the very core idea of EMF as an unique guideline for organizational energy management.

Even though energy management is quite a new area and still needs to be discovered, we believe that

its crucial for future of organizations. Our approach was mainly supported with engineering principles

by dividing concepts within processes and activities and connecting them with inputs and outputs. We

believe this is the most clear and understandable way for a successful management and we are sure

this will be recognized.

29

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32

Appendix A

EMF Process Reference Guide

This appendix contains entire EMF Process Reference Guide with all 21 EMF processes and their

respective RACI charts. Each process is detailed within a table as mentioned in previous sections.

33

Plan Energy Management (PEM)

01 Manage Energy Management Framework

02 Manage Energy Policy

03 Manage Energy Legal and Other Requirements

04 Manage Energy Review

05 Manage Energy Baseline

06 Manage Energy Performance Indicators (EnPIs)

07 Manage Energy Objectives, Targets and Action Plans

34

PEM01Table 1 PEM01 process description


Process Description Clarify and commit to an organizational energy management. Implement and maintain mechanisms and authorities to manage energy in the organization.

Process Purpose Provide a consistent energy management approach to meet organizational energy management requirements by covering energy management processes, organisational structures, roles and responsibilities, reliable and repeatable activities, skills and competencies.

Process Inputs

From Description Needed for activities

ISO 50001 (outside EMF) International Standard needed to fully understand EMF

PEM01.01PEM01.02PEM01.03PEM01.04

REM01.05REM01.17

Management review document - results and changes in allocation of personnel

PEM01.07

Process Outputs

Produced in activities Description To

PEM01.05 Scope and boundaries document PEM02.12IEM04.02

PEM01.06PEM01.07PEM01.08

Energy management team document PEM07.11REM01.16

Process Activities

PEM01.01 Commit to achieve continual improvement of organizational energy performance and the compliance with the ISO 50001:2011 International Standard for energy management

PEM01.02 Acquire the ISO 50001 document (pdf format)

PEM01.03 Store the ISO 50001 document at the unique place within the organization

PEM01.04 Understand the ISO 50001 terms, definitions, requirements and the ISO 50001 Energy Management System (EnMS) procedural model

PEM01.05 Define the scope of the organisational energy management (deliverables and boundaries)

35

PEM01.06 Appoint the energy management team leader (management representative) with appropriate skills and competence

PEM01.07 Identify persons for the energy management team, to work with the energy management team leader in support of energy management activities

PEM01.08 Approve the formation of the energy management team

36

Table 2 PEM01 RACI chart

Process activities

Top managementEnergy management

team leaderEnergy management

teamPersonnel related to

energy uses

PEM01.01 R

PEM01.02 R

PEM01.03 R

PEM01.04 R

PEM01.05 R

PEM01.06 R I

PEM01.07 A R I

PEM01.08 R C I

37


PEM02 Manage Energy Policy

Process Description Establish, implement and manage the energy policy document. This document provides a statement by the organization of its overall intentions and direction related to its energy performance, and it’s formally expressed by top management

Process Purpose Provide a framework for action and for the setting of energy objectives and energy targets.

Process Inputs


PEM03.01 Energy related legal and other requirements document

PEM02.08

PEM01.05 Scope and boundaries document PEM02.12

REM01.03REM01.13

Management review document - energy policy review results

PEM02.16PEM02.17

Process Outputs


PEM02.01 Energy policy document PEM07.03IEM01.04IEM03.03IEM04.03IEM05.02REM01.03REM01.12

Process Activities

PEM02.01 Define the energy policy document (structure and content)

PEM02.02 Store the energy policy document at the unique place within the organization

PEM02.03 Ensure that the energy policy is accessible and communicated at all levels within the organization

PEM02.04 Ensure that the energy policy includes a commitment to continual improvement in energy peformance (statement by the organization of its overall intentions and directions)

PEM02.05 Ensure that the energy policy includes a commitment to ensure the availability of information to achieve objectives and targets

PEM02.06 Ensure that the energy policy includes a commitment to ensure the necessary resources to achieve objectives and targets

38

PEM02.07 Ensure that the energy policy provides the guideline for setting and reviewing energy objectives and targets

PEM02.08 Ensure that the energy policy includes a commitment to comply with legal and other requirements related to its energy use, consumption and efficiency

PEM02.09 Ensure that the energy policy includes a commitment to support energy-efficient design of facilities, equipment, systems and processes

PEM02.10 Ensure that the energy policy includes a commitment to support the purchase of energy-efficient products and services

PEM02.11 Ensure that the energy policy includes a commitment to plan energy management activities

PEM02.12 Ensure that the energy policy is within the scope of the organisational energy management

PEM02.13 Ensure that energy policy is appropriate to the nature and scale of the organization’s energy use and consumption

PEM02.14 Ensure that energy policy is appropriate for the industry and business of the organization

PEM02.15 Determine the review interval for energy policy

PEM02.16 Determine the exceptional criteria for updating energy policy

PEM02.17 Ensure that energy policy is regularly reviewed and updated upon major organisational changes that can effect energy performance

39


Process activities




energy uses

PEM02.01 R

PEM02.02 R

PEM02.03 R

PEM02.04 R

PEM02.05 R

PEM02.06 R

PEM02.07 R

PEM02.08 R

PEM02.09 R

PEM02.10 R

PEM02.11 R

PEM02.12 R

PEM02.13 R

PEM02.14 R

PEM02.15 R

PEM02.16 R

PEM02.17 R

40

PEM03

Table 5 PEM03 process description

PEM03 Manage Legal and Other Requirements

Process Description Ensure that energy related legal and other requirements are well understood across entire organizational energy management.

Process Purpose Secure energy management actions from the legal perspective.

Process Inputs


Legal energy requirements (outside EMF)

Legal documents related to energy and energy management

All PEM03

REM01.06 Management review document - legal and other requirements review results

PEM03.05

Process Outputs



PEM02.08PEM07.05CEM02.02CEM04.01REM01.06

Process Activities

PEM03.01 Identify and document legal and other requirements related to organizational energy use, consumption and efficiency

PEM03.02 Ensure that legal and other requirements are accessible and communicated at all levels within the organization

PEM03.03 Define how legal and other requirements apply to organisational energy use, consumption and efficiency (association between each requirement and organisational implementation of that requirement)

PEM03.04 Determine the review interval for legal and other requirements

PEM03.05 Ensure that legal and other requirements are reviewed at planned intervals

41


Process activities




energy uses

PEM03.01 R

PEM03.02 R

PEM03.03 R

PEM03.04 R

PEM03.05 R

42


PEM04 Manage Energy Review

Process Description Conduct an energy review across entire organization. This means identifying all energy sources, total energy consumption and specific areas of the organization that cause significant energy use. Explicitly, those areas are organizational facilities, equipment, systems, processes and personnel. The process should be done repeatedly at defined intervals.

Process Purpose Represent an entire overview of organizational energy consumption. In that way, top management can have a complete picture of energy flow which helps in making energy related decisions, prioritization of changes and identifying opportunities to reduce energy costs.

Process Inputs


Energy providers (outside EMF) Energy bills from last few months/years document

PEM04.01PEM04.02PEM04.03

Organizational facilities (outside EMF) Document with detailed list of all organizational facilities

PEM04.04

Organizational equipment (outside EMF)

Document with detailed list of all organizational equipment

PEM04.05

Organizational systems (outside EMF) Document with detailed list of all organizational systems

PEM04.06

Organizational processes (outside EMF)

Document with detailed list of all organizational processes

PEM04.07

Organizational structure (outside EMF) Document with the list of all organizational personnel

PEM04.08

Other organizational variables (outside EMF)

Document with any other internal variables that could affect energy consumption

PEM04.09

Alternative energy sources (outside EMF)

Propositions document for renewable and alternative energy sources. Includes an extensive research in energy domain.

PEM04.11

Process Outputs


43

PEM04.01 Energy review document PEM05.01PEM07.06IEM01.01IEM01.02IEM07.01IEM08.01CEM01.03CEM01.04REM01.10REM01.11

Process Activities

PEM04.01 Establish and maintain an energy review

PEM04.02 Identify and measure current energy sources (electricity, water, gas, etc.)

PEM04.03 Evaluate past and present energy use and consumption

PEM04.04 Identify the facilities that significantly affect energy use and consumption and measure their current energy performance

PEM04.05 Identify the equipment that significantly affect energy use and consumption and measure their current energy performance

PEM04.06 Identify the systems that significantly affect energy use and consumption and measure their current energy performance

PEM04.07 Identify the processes that significantly affect energy use and consumption and measure their current energy performance

PEM04.08 Identify the personnel that significantly affect energy use and consumption and measure their current energy performance

PEM04.09 Identify other relevant variables that significantly affect energy use and consumption and measure their current energy performance

PEM04.10 Estimate future energy use and consumption

PEM04.11 Identify, prioritize and record opportunities for improving energy performance (potential sources of energy like use of renewable energy or other alternative energy sources)

PEM04.12 Determine energy review interval

PEM04.13 Update energy review at defined intervals

PEM04.14 Update energy review in response to major changes in facilities, equipment, systems, processes or other relevant variables (this also relates to new components that were not previously identified)

44


Process activities




energy uses

PEM04.01 I R I

PEM04.02 A R

PEM04.03 A R

PEM04.04 A R

PEM04.05 A R

PEM04.06 A R

PEM04.07 A R

PEM04.08 A R

PEM04.09 A R

PEM04.10 I R

PEM04.11 I R

PEM04.12 I R

PEM04.13 I R

PEM04.14 I R

45


PEM05 Manage Energy Baseline

Process Description Establish an energy baseline which is a quantitative reference providing a basis for comparison of energy performance. The energy baseline should reflect a specific period of time. Basically, it should use and combine all the information from energy review.

Process Purpose To serve as a reference for calculation of energy savings and to compare results before and after implementation of energy performance improvement actions.

Process Inputs


PEM04.01 Energy review document PEM05.01

PEM06.01 Energy Performance Indicators (EnPIs) document

PEM04.05

Process Outputs


PEM05.01 Energy baseline document CEM01.07

Process Activities

PEM05.01 Establish and maintain an energy baseline using the information from energy review

PEM05.02 Determine the criteria for updating energy baseline

PEM05.03 Measure all changes in energy performance against the energy baseline

PEM05.04 Update energy baseline if Energy Performance Indicators (EnPIs) no longer reflect organizational energy use and consumption

PEM05.05 Update energy baseline if there have been major changes to the processes, operational patterns or energy systems

PEM05.06 Update energy baseline by other predetermined method

46


Process activities




energy uses

PEM05.01 I R

PEM05.02 I R C

PEM05.03 A R

PEM05.04 I R C

PEM05.05 I R C

PEM05.06 I R C

47


PEM06 Manage Energy Performance Indicators (EnPIs)

Process Description Ensure that energy performance indicators are identified and appropriate for the organization. Ensure they provide an appropriate quantitative value or measure of energy performance. Update them as necessary.

Process Purpose Provide a unique set of simple metrics and quantitative values to compare energy performance.

Process Inputs


PEM05.01 Energy baseline document PEM06.05

REM01.04REM01.14

Management review document - EnPIs review results

PEM06.04

Process Outputs



PEM04.05IEM08.01CEM01.05REM01.04

Process Activities

PEM06.01 Identify Energy Performance Indicators (EnPIs) appropriate for monitoring and measuring energy performance

PEM06.02 Record the methodology for identifying and updating EnPIs

PEM06.03 Determine the review interval for EnPIs

PEM06.04 Regularly review the methodology for identifying and updating EnPIs

PEM06.05 Regularly review and compare EnPIs to the energy baseline

48


Process activities




energy uses

PEM06.01 A R

PEM06.02 R

PEM06.03 R

PEM06.04 R

PEM06.05 R

49

PEM07

Table 13 PEM07 process description

PEM07 Manage Energy Objectives, Targets and Action Plans

Process Description Establish energy objectives, targets and action plans across different levels of the organization and establish time periods for reaching objectives and targets.

Process Purpose Ensure that organizational energy management is always steered and focused in the right direction.

Process Inputs


PEM02.01 Energy policy document PEM07.03


PEM07.05

PEM04.01 Energy review document PEM07.06

PEM01.06PEM01.07PEM01.08

Energy management team document PEM07.11

REM01.07REM01.15

Management review document - energy objectives and targets review results

PEM07.16

Process Outputs


PEM07.01 Energy objectives, targets and action plans document

IEM04.04IEM05.02CEM01.06CEM03.06REM01.07

Process Activities

PEM07.01 Establish and maintain energy objectives and targets (at the relevant functions, levels, processes and facilities within organization)

PEM07.02 Establish time frames to achieve energy objectives and targets

PEM07.03 Ensure that energy objectives and targets are consistent with the energy policy

PEM07.04 Ensure that energy targets are consistent with energy objectives

50

PEM07.05 Ensure that energy objectives and targets are consistent with legal and other requirements

PEM07.06 Ensure that energy objectives and targets are consistent with the energy review (identified significant energy uses and opportunities)

PEM07.07 Ensure that energy objectives and targets consider financial, operational and business conditions

PEM07.08 Ensure that energy objectives and targets consider technological options

PEM07.09 Ensure that energy objectives and targets consider involved stakeholders

PEM07.10 Establish and maintain action plans for achieving energy objectives and targets

PEM07.11 Ensure that action plans include designation of responsibility

PEM07.12 Ensure that action plans include the means and time frame by which individual targets should be achieved

PEM07.13 Ensure that action plans include a statement of the method by which an improvement in energy performance shall be verified

PEM07.14 Ensure that action plans include a statement of the method of verifying the results

PEM07.15 Determine the review interval for energy objectives, targets and action plans

PEM07.16 Review and update energy objectives, targets and action plans at defined interval

51


Process activities




energy uses

PEM07.01 A R

PEM07.02 R

PEM07.03 R

PEM07.04 R

PEM07.05 R

PEM07.06 R

PEM07.07 R

PEM07.08 R

PEM07.09 R

PEM07.10 R

PEM07.11 R

PEM07.12 R

PEM07.13 R

PEM07.14 R

PEM07.15 R

PEM07.16 I R

52

Implement Energy Management (IEM)

01 Manage Competence and Awareness

02 Manage Training

03 Manage Communication

04 Manage Documentation

05 Manage Operational Control

06 Manage Energy Efficient Projects

07 Manage Procurement of Energy Services, Products, Equipment and Strategy

08 Manage Energy Management Systems (EMSs)

53

IEM01Table 15 IEM01 process description

IEM01 Manage Competence and Awareness

Process Description Ensure that energy management principles are spread across the entire organization. Identify key skills and training needs to personnel on how to use energy more efficiently.

Process Purpose Ensure that employees are motivated and aware of benefits of a good energy management.

Process Inputs



IEM01.01IEM01.02

PEM04.01 Energy review document - personnel that significantly affect energy use and consumption

IEM01.01IEM01.02

REM01.05REM01.17


IEM01.01IEM01.02

PEM02.01 Energy policy document IEM01.04

Process Outputs


IEM01.01 List of personnel that are related to significant energy use operations document

IEM02.02IEM04.09

IEM01.02IEM01.03

Training needs approval IEM02.01IEM02.02

IEM01.04IEM01.05IEM01.06IEM01.07

Awareness document that summarises importance of energy efficiency within organization

All personnel (outside EMF)

Process Activities

IEM01.01 Identify all personnel that are directly related with significant energy uses and the operation (processes, facilities, equipment)

54

IEM01.02 Ensure that identified personnel are competent on the basis of appropriate education, training, skills and/or experience

IEM01.03 Identify appropriate training needs associated with the control of significant energy uses and the operation

IEM01.04 Ensure that all personnel are aware of the importance of conformity with the energy policy, procedures and the requirements of the ISO 50001

IEM01.05 Ensure that all personnel are aware of their roles, responsibilities and authorities in achieving the requirements of the ISO 50001

IEM01.06 Ensure that all personnel are aware of benefits of improved energy performance

IEM01.07 Ensure that all personnel are aware of the impact of their direct activities on energy performance

55

Table 16 IEM01 RACI chart

Process activities




energy uses

IEM01.01 C R I

IEM01.02 R I

IEM01.03 I C R I

IEM01.04 R I

IEM01.05 R I

IEM01.06 R I

IEM01.07 R I

56


IEM02 Manage Training

Process Description Ensure that proper training related to energy use is implemented across the organisation

Process Purpose Ensure that employees gain skills and competences for appropriate tasks related to energy consumption.

Process Inputs


IEM01.02IEM01.03

Training needs approval IEM02.01IEM02.02


IEM02.02IEM02.04


IEM02.02


IEM02.04



IEM02.04


IEM02.04

Process Outputs


IEM02.08 Training records document REM01.05

Process Activities

IEM02.01 Establish training procedures if the training needs are identified

IEM02.02 Identify personnel involved in training

IEM02.03 Identify personnel that will provide training (internal or external conultors)

IEM02.04 Identify facilities, equipment and systems that will be used for training

IEM02.05 Establish time frames and expected results from training

IEM02.06 Establish methods for tracking training progress

57

IEM02.07 Implement training procedures

IEM02.08 Maintain training records

58


Process activities




energy uses

IEM02.01 I A R I

IEM02.02 C R I

IEM02.03 C R I

IEM02.04 C R I

IEM02.05 C R I

IEM02.06 C R I

IEM02.07 A R I

IEM02.08 I I R I

59

IEM03

Table 19 IEM03 process description

IEM03 Manage Communication

Process Description Communicate across entire organization about energy and its use. Communicate through emails, documents, presentations, conversations.

Process Purpose Ensure that employees are actively involved in energy management. Ensure that they can openly make suggestions which could improve overall energy performance.

Process Inputs

From Description Needed in activities

IEM05.03 Operational control criteria IEM03.02


Process Outputs


IEM03.01IEM03.02

Shared access point for internal communication related to energy performance

Outside of EMF

IEM03.03IEM03.04

Shared access point for external communication related to energy performance

Outside of EMF

Process Activities

IEM03.01 Communicate internally about energy performance and the ISO 50001

IEM03.02 Establish and implement a process by which any personnel can make comments or suggest improvements for the energy performance

IEM03.03 Establish the criteria for external communication regarding organization’s energy policy and energy performance

IEM03.04 Establish and implement a method for external communication (if the decision is to communicate externally)

60


Process activities




energy uses

IEM03.01 I R I I

IEM03.02 R I I

IEM03.03 C R I I

IEM03.04 R I I

61


IEM04 Manage Documentation

Process Description Establish the documentation that describes the core elements of organizational energy management and its energy management system.

Process Purpose Ensure that entire information about energy management is in one place, easily available and transparent for specific organizational levels.

Process Inputs


PEM01.05 Scope and boundaries document IEM04.02


PEM07.01 Energy objectives targets and action plans document

IEM04.04


IEM04.05

Other documentation (outside EMF) Other optional documentation IEM04.06


IEM04.07


IEM04.09

Process Outputs


IEM04.01IEM04.10IEM04.11IEM04.12IEM04.13IEM04.14IEM04.15IEM04.16

List of documentation procedures (important for all documents within the EMF)

All EMF processes

62

Process Activities

IEM04.01 Establish the medium (paper or electronic) that will maintain information about organisational energy performance

IEM04.02 Ensure that the documentation includes the scope and boundaries

IEM04.03 Ensure that the documentation includes the energy policy

IEM04.04 Ensure that the documentation includes the energy objectives, targets and action plans

IEM04.05 Ensure that the documentation includes the documents and records required by ISO 50001 International Standard

IEM04.06 Ensure that the documentation includes other documents determined by the organization to be necessary

IEM04.07 Ensure that the degree of the documentation is appropriate to the scale of the organization and type of activities

IEM04.08 Ensure that the degree of the documentation if appropriate to the complexity of the processes and their interactions

IEM04.09 Ensure that the degree of the documentation if appropriate to the competence of personnel

IEM04.10 Establish and implement procedures to approve documents for adequacy prior to issue

IEM04.11 Establish and implement procedures to periodically review and update documents as necessary

IEM04.12 Establish and implement procedures to ensure that changes and the current revision status of documents are identified

IEM04.13 Establish and implement procedures to ensure that relevant versions of applicable documents are available at points of use

IEM04.14 Establish and implement procedures to ensure that documents remain legible and readily identifiable

IEM04.15 Establish and implement procedures to ensure documents of external origin are identified and their distribution controlled

IEM04.16 Establish and implement procedures to prevent the unintended use of obsolete documents, and identify those to be retained for any purpose

63


Process activities




energy uses

IEM04.01 I R I I

IEM04.02 R

IEM04.03 R

IEM04.04 R

IEM04.05 R

IEM04.06 R

IEM04.07 R

IEM04.08 R

IEM04.09 R

IEM04.10 R

IEM04.11 R

IEM04.12 R

IEM04.13 R

IEM04.14 R

IEM04.15 R

IEM04.16 R

64


IEM05 Manage Operational Control

Process Description Control facilities, equipment, systems, processes and activities of the organization that contain significant energy use. Ensure that they are consistent with energy policy, objectives, targets and action plans.

Process Purpose Ensure that all mentioned operational components are energy effective and aligned with established criteria.

Process Inputs




IEM05.02

Process Outputs


IEM05.03 Operational control criteria All EMF

Process Activities

IEM05.01 Identify operation and maintenance activities related to organizational significant energy use

IEM05.02 Ensure that operation and maintenance activities related to organizational significant energy use are consistent with energy policy, objectives, targets and action plans

IEM05.03 Establish and implement criteria for the effective operation and maintenance activities related to significant energy use

IEM05.04 Operate and maintain facilities, processes, systems and equipment in accordance with established operational criteria

IEM05.05 Communicate about operational control to personnel

65


Process activities




energy uses

IEM05.01 I R I I

IEM05.02 R

IEM05.03 R I

IEM05.04 A C R

IEM05.05 C R I

66


IEM06 Manage Energy Efficient Projects

Process Description Design new, modified and renovated facilities, equipment, systems, processes and activities in an energy efficient way.

Process Purpose Ensure that energy performance improvement opportunities are incorporated in future designs and specifications.

Process Inputs



IEM06.01IEM06.02



IEM06.01IEM06.02


IEM06.01IEM06.02

Organizational processes (outside EMF)

Document with detailed list of all organizational processes

IEM06.01IEM06.02

PEM04.01 Energy review document IEM06.03IEM06.04

Process Outputs


IEM06.03IEM06.04IEM06.05IEM06.06IEM06.07IEM06.08

Energy efficient projects documentation

REM01.12

Process Activities

IEM06.01 Identify new facilities, equipment, systems and processes that can adopt energy efficient design

IEM06.02 Identify current facilities, equipment, systems and processes that can adopt energy efficient design

IEM06.03 Identify energy efficient projects based on identified needs

IEM06.04 Apply the results of energy performance evaluation into the specification of the relevant projects

IEM06.05 Establish time frames and expected results from energy efficient projects

67

IEM06.06 Establish methods for tracking energy efficient projects

IEM06.07 Implement energy efficient projects

IEM06.08 Maintain records of the projects

68


Process activities




energy uses

IEM06.01 I R C

IEM06.02 I R C C

IEM06.03 I R C I

IEM06.04 C R

IEM06.05 R I

IEM06.06 R I

IEM06.07 I A R I

IEM06.08 I C R

69

IEM07

Table 27 IEM07 process description

IEM07 Manage Procurement of Energy Services, Products, Equipment and Strategy

Process Description Inform suppliers that their products are evaluated on the basis of energy performance.

Process Purpose Raise the awareness among suppliers about energy efficiency and how it can affect procurement decisions.

Process Inputs



IEM07.01



IEM07.01


IEM07.01

PEM04.01 Energy review document IEM07.01

Process Outputs


IEM07.03IEM07.04

Energy specifications for purshasing and procurement

Outside EMFIEM08.03

Process Activities

IEM07.01 Identify procured services and products (equipment, systems) that can have significant energy use

IEM07.02 Ensure that suppliers are informed that their products and services are partly evaluated on the basis of energy performance

IEM07.03 Establish and implement the criteria for assessing energy use, consumption and efficiency over the planned operating lifetime when procuring energy services and products that can have significant energy use

IEM07.04 Define and document energy purchasing specifications

70


Process activities




energy uses

IEM07.01 I R

IEM07.02 R C

IEM07.03 C R

IEM07.04 C R

71


IEM08 Manage Energy Management Systems (EMSs)

Process Description Manage softwares, tools and equipment for tracking and regulating energy usage and performance across organization. Tools are usually specific for the organisations and industries so the process is highly dependable on those conditions.

Process Purpose Increase energy efficiency, reduce cost and environmental issues by using technological solutions available on the market.

Process Inputs


PEM04.01 Energy review document IEM08.01


IEM08.01IEM08.02

Outside of EMF Energy management system market solutions

IEM08.02IEM08.03

IEM07.03IEM07.04


IEM08.02IEM08.03

IEM07.03IEM07.04


IEM08.01IEM08.02IEM08.03

Process Outputs


IEM08.06 Real-time results of energy management systems

All EMF processes

Process Activities

IEM08.01 Identify the necessity for energy management systems and technology

IEM08.02 Provide systems requirements

IEM08.03 Find and choose systems based on agreed requirements

IEM08.04 Implement energy management systems (in-house or with external consulting)

IEM08.05 Ensure systems are operating and complying with the requirements

IEM08.06 Ensure systems are providing data

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IEM08.06 Record real-time results of energy management systems

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Process activities




energy uses

IEM08.01 R C C C

IEM08.02 R C C

IEM08.03 R C C

IEM08.04 A R I

IEM08.05 A R I

IEM08.06 I A R I

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Check Energy Management (CEM)

01 Manage Monitoring, Measurement and Analysis

02 Manage Evaluation of Compliance with Legal and Other Requirements

03 Manage Internal Audit

04 Manage Nonconformities, Correction, Corrective and Preventive Action

05 Manage Control of the Records

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CEM01Table 31 CEM01 process description

CEM01 Manage Monitoring, Measurement and Analysis

Process Description Ensure that the key energy characteristics of organizational operations are monitored, measured and analysed at planned intervals.

Process Purpose Always be updated with current energy performance across entire organization with all of its components.

Process Inputs


PEM04.01 Energy review document CEM01.03CEM01.04


CEM01.05


CEM01.06

PEM05.01 Energy baseline document CEM01.07

Process Outputs


CEM01.01 Monitoring, measurement and analysis plan

REM01.01

CEM01.08CEM01.12CEM01.13CEM01.14

Monitoring, measurement and analysis results

REM01.01

Process Activities

CEM01.01 Establish the monitoring, measurement and analysis plan

CEM01.02 Define the time interval for monitoring, measurement and analysis for each monitored characteristic

CEM01.03 At planned intervals, monitor, measure and analyse significant energy uses and other outputs from energy review

CEM01.04 At planned intervals, monitor, measure and analyse relevant variables related to significant energy uses

CEM01.05 At planned intervals, monitor measure and analyse EnPIs

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CEM01.06 At planned intervals, monitor measure and analyse the effectiveness of action plans in achieving objectives and targets

CEM01.07 At planned intervals, monitor measure and analyse evaluation of actual compared to expected energy consumption

CEM01.08 Record the results from monitoring, measurement and analysis

CEM01.09 Determine the measurement needs review interval

CEM01.10 Periodically review organizations measurement needs

CEM01.11 Ensure that equipment provides data which is accurate and repeatable

CEM01.12 Record results of calibration

CEM01.13 Investigate and respond to significant deviations in energy performance

CEM01.14 Record results of significant deviations in energy performance

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Table 32 CEM01 RACI chart

Process activities




energy uses

CEM01.01 I R C

CEM01.02 R I

CEM01.03 A R

CEM01.04 A R

CEM01.05 A R

CEM01.06 A R

CEM01.07 A R

CEM01.08 A R

CEM01.09 R

CEM01.10 R

CEM01.11 I R C

CEM01.12 I R

CEM01.13 R C

CEM01.14 I R C

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CEM02

Table 33 CEM02 process description

CEM02 Manage Evaluation of Compliance with Legal and Other Requirements

Process Description Evaluate energy related compliance at planned intervals.

Process Purpose Ensure that organizational energy performance is under legal requirements.

Process Inputs


Legal energy requirements (outside EMF)

Legal documents related to energy and energy management

CEM02.02


CEM02.02

Process Outputs


CEM02.03 Energy related legal and other requirements evaluation results

REM01.06

Process Activities

CEM02.01 Determine the evaluation interval for legal and other requirements

CEM02.02 At planned intervals, evaluate compliance with legal and other requirements related to organizational energy use and consumption

CEM02.03 Record results of compliance evaluation

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Process activities




energy uses

CEM02.01 C R

CEM02.02 R C

CEM02.03 I R

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CEM03 Manage Internal Audit

Process Description Conduct a periodical audit of organizational energy management system.

Process Purpose Ensure that energy management system is always aligned with energy objectives, targets, ISO 50001 and other planned requirements.

Process Inputs


Outside of EMF List of auditors CEM03.04


CEM03.05


CEM03.06

Process Outputs


CEM03.08CEM03.09

Audit results document CEM04.01REM01.08

Process Activities

CEM03.01 Develop an EnMS audit plan and schedule

CEM03.02 Define audit interval

CEM03.03 Ensure that audit plan and schedule consider status and importance of the processes and areas to be audited as well as the results of previous audits

CEM03.04 Ensure objectivity and impartiality of the audit process by selecting appropriate auditors and conduct of audits

CEM03.05 At planned intervals, ensure that the EnMS conforms to planned arrangements for energy management including the requirements of ISO 50001

CEM03.06 At planned intervals, ensure that the EnMS conforms with the established energy objectives and targets

CEM03.07 At planned intervals, ensure that the EnMS is effectively implemented and maintained, and improves energy performance

CEM03.08 Record results of audits

CEM03.09 Report results of audits to top management

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Process activities




energy uses

CEM03.01 C R I

CEM03.02 R C

CEM03.03 R C

CEM03.04 R C

CEM03.05 R C

CEM03.06 R C

CEM03.07 R C

CEM03.08 A R

CEM03.09 I R

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CEM04 Manage Nonconformities, Correction, Corrective and Preventive Action

Process Description Identify actual and potential nonconformities or, in other words, non-fulfilments of requirements. Conduct corrective and preventive actions on those nonconformities.

Process Purpose Ensure that organizational energy management system fulfils all requirements of ISO 50001 Standard.

Process Inputs



CEM04.01

CEM03.08CEM03.09

Audit results document CEM04.01


CEM04.01

Process Outputs


CEM04.05 Corrective and preventive actions record

All EMF processes

Process Activities

CEM04.01 Identify nonconformities or potential nonconformities

CEM04.02 Determine the causes of nonconformities or potential nonconformities

CEM04.03 Evaluate the need for action to ensure that nonconformities do not occur or recur

CEM04.04 Define and implement the appropriate actions needed

CEM04.05 Maintain records of corrective and preventive actions

CEM04.06 Review the effectiveness of the corrective or preventive action taken

CEM04.07 Ensure that necessary changes are made to the EnMS

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Process activities




energy uses

CEM04.01 I R C

CEM04.02 I R C

CEM04.03 I R

CEM04.04 I A R

CEM04.05 A R

CEM04.06 I R C

CEM04.07 I R

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CEM05 Manage Control of the Records

Process Description Maintain records and documentation of organizational energy management. Define appropriate control over those records.

Process Purpose Ensure that energy management records are always identifiable, legible and traceable to demonstrate conformity to ISO 50001 requirements.

Process Inputs



CEM05.01

All EMF processes All documents from EMF All CEM05

Process Outputs


CEM05.02 Records control procedures All EMF processes

Process Activities

CEM05.01 Ensure that records are in conformity to the requirements of the ISO 50001 requirements

CEM05.02 Define and implement controls of the identification, retrieval and retention of records

CEM05.03 Ensure that records remain legible, identifiable and traceable to relevant activity

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Process activities




energy uses

CEM05.01 I R

CEM05.02 I R

CEM05.03 I R

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Review Energy Management (REM)

01 Apply Management Review

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REM01

Table 41 REM01 process description

REM01 Apply Management Review

Process Description Conduct a top management review of organizational energy management and energy management system. The review should be done at planned intervals.

Process Purpose Ensure suitability, adequacy and effectiveness of organizational energy management and energy management system.

Process Inputs


CEM01.01 Monitoring, measurement and analysis plan

REM01.01

CEM01.08CEM01.12CEM01.13CEM01.14

Monitoring, measurement and analysis results

REM01.01

REM01.01 (previous) Energy management review (previous documents)

REM01.02

PEM02.01 Energy policy document REM01.03REM01.12


REM01.04

IEM02.08 Training records document REM01.05


REM01.06

CEM02.03 Energy related legal and other requirements evaluation results

REM01.06


REM01.07

CEM03.08CEM03.09

Audit results document REM01.08

CEM04.05 Corrective and preventive actions record

REM01.09

PEM04.01 Energy review document REM01.10REM01.11

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Process Outputs


REM01.03REM01.13

Management review document - energy policy review results

PEM02.16PEM02.17

REM01.06 Management review document - legal and other requirements review results

PEM03.05

REM01.04REM01.14

Management review document - EnPIs review results

PEM06.04

REM01.07REM01.15

Management review document - energy objectives and targets review results

PEM07.16

REM01.05REM01.17


PEM01.07IEM01.01IEM01.02

REM01.16 Management review document - changes and observations for other parts of the EnMS

All EMF

Process Activities

REM01.01 Establish and implement a management review

REM01.02 Review follow-up actions from previous management reviews

REM01.03 Review the energy policy

REM01.04 Review energy performance and related EnPIs

REM01.05 Review training results

REM01.06 Review results of the evaluation of compliance with legal requirements and changes in legal requirements and other requirements

REM01.07 Review the extent to which the energy objectives and targets have been met

REM01.08 Review the audit results

REM01.09 Review the status of corrective and preventive actions

REM01.10 Review the estimated energy performance for the following period

REM01.11 Review recommendations for improvement

REM01.12 Review energy efficient projects

REM01.13 Implement changes in energy policy

REM01.14 Implement changes in EnPIs

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REM01.15 Implement changes to energy objectives and targets

REM01.16 Implement changes to other elements of the EnMS to ensure continual improvement

REM01.17 Implement changes to allocation of resources

REM01.18 Record the management review

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Table 42 REM01 RACI chart

Process activities




energy uses

REM01.01 R C

REM01.02 R C

REM01.03 R C

REM01.04 R C

REM01.05 R C

REM01.06 R C

REM01.07 R C

REM01.08 R C

REM01.09 R C

REM01.10 R C

REM01.11 R C

REM01.12 R C

REM01.13 R C

REM01.14 R C

REM01.15 R C

REM01.16 R C

REM01.17 R C

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