Annex A Self Evaluation Checklist

Resources, Roles, Responsibility and Authority

Conformity
Requirements
Yes No N/A
1. Have the roles, responsibilities and authorities for energy
management been defined and documented?
2. Have a Management Representative and an Energy
Management Team been designated?
3. Have the roles, responsibilities, and authorities for the
Management Representative and Energy Management Team
been defined?
4. Have the required resources (e.g. personnel, technology,
finance) for implementation and control of the energy
management system been provided by the management?
5. Does the personnel appointed in energy management have the
competence required?

Energy Policy
Conformity
Requirements
Yes No N/A
1. Has the organisation defined and documented its energy policy?

2. Is the energy policy appropriate to the nature and the scale of, and
the impact on the organisation’s energy use and consumption?
3. Does the policy include commitments to
• continual improvement of energy efficiency?
• Compliance with applicable legislation and other
requirements?
• support purchase of energy-efficient products and services?
4. Does the energy policy provide a framework for setting energy
objectives and targets?
5. Has the energy policy been documented, implemented,
maintained and communicated to all persons working for or on
behalf of the organisation?

6. Has the energy policy been regularly reviewed and updated?

33
Legal and Other requirements
Conformity
Requirements
Yes No N/A
1. Has a procedure been developed and implemented to identify
applicable regulatory, legal and other requirements?
2. Has the organisation identified, implemented, and access to the
applicable legal requirements and other requirements, which are
related to the energy use consumption and efficiency?
3. Has the organisation determined how the applicable legal
requirements and other requirements apply to its energy use,
consumption and efficiency?
4. Are current copies of all applicable regulatory and other
requirements accessible to personnel as necessary?

Energy Review, Energy Baseline, and Energy Performance Indicators (EnPI’s)

Conformity
Requirements
Yes No N/A
1. Has a procedure been established, implemented and maintained
to identify the baseline and Energy Performance indicators?
2. Has energy baseline related to potential significant energy use
been considered in establishing and implementing the EnMS?
3. Has the organisation identified the areas of significant energy
use?
4. Has the organisation determined the current
energy performance related to identified significant energy uses?
5. Are all significant energy uses controlled by objectives, targets,
and programmes, procedures or monitoring?
6. Has the organisation identified other relevant variables affecting
significant energy uses?

34
Energy Objectives, Energy Targets and Energy Management Action Plans
Conformity
Requirements
Yes No N/A
1. Have documented energy objectives and targets been
established at relevant functions and levels within the
organisation?
2. Are the energy objectives and energy targets specific,
measurable, concrete and understandable?
3. Are the objectives and targets consistent with the energy
policy?
4. Has an energy performance evaluation system been
established to periodically review the achievement of the
objectives and targets?
5. Have action plans including the following items for the
achievement of energy objectives and targets been established
and implemented?
 Designation of responsibility for achieving objectives and
targets at each relevant function and level of the
organisation
 The means and time-frame by which the programmes are
to be achieved
 The statement of the method by which an improvement in
energy performance3 shall be verified; and
 The statement of the method of verifying the results of the
action plans

6. Have the action plans been documented and updated at

defined intervals?

35
Competence, Training and Awareness
Conformity
Requirements
Yes No N/A
1. Are all the personnel, related to significant energy uses,
competent on the basis of appropriate education, training, skills
or experience?
2. Have training needs associated with the control of its
significant energy uses and the operation of its EnMS been
identified?
3. Have procedures been established to assure that all the
personnel working for or on behalf of the organisation are
aware of
• the importance of conformity with the energy policy,
procedures and the requirements of the EnMS?
• their roles, responsibilities and authorities in achieving
the requirements of the EnMS?
• the benefits of improved energy performance?
• the impacts, actual or potential of their activities and
how their activities and behaviour contribute to the
achievement of energy objectives and targets and the
potential consequences of departure from specified
procedures?
4. Are training records, certificates and licenses maintained to
demonstrate the competence?

36
Communication
Conformity
Requirements
Yes No N/A
1. Does the organisation communicate internally with regard to its
energy performance and the EnMS?
2. Are procedures maintained for communication of energy issues
between various levels of the organisation?
3. Has the organisation established and implemented a process
by which any person working for, or on behalf of, the
organisation can make comments or suggestions to EnMS?
4. Has the organisation decided whether its energy policy, EnMS
and energy performance should be communicated externally?
5. If so, are there any documented and implemented external
communication plans?

Documentation
Conformity
Requirements
Yes No N/A
1. Have the core elements of the EnMS and their interaction been
documented in paper and/or electronic form?

2. Are the following EnMS elements documented?

• Scope and boundaries of the EnMS
• Energy policy
• Energy objectives, targets and action plans; and
• Documents required by ISO 50001, e.g. energy review

37
Control of Documents
Conformity
Requirements
Yes No N/A
1. Are procedures maintained to ensure periodic review and
appropriate approved distribution and revision of all required
documents?
2. Are current versions and changes of all required documents
identified?
3. Are documents of external origin that are to be necessary for
the planning and operation of the EnMS identified and
controlled?
4. Is all documentation legible, readily retrievable and identifiable,
and revision level or date identified?
5. Are obsolete documents promptly removed or otherwise
assured against unintended use?

Operational Control
Conformity
Requirements
Yes No N/A
1. Have the operations and maintenance activities, which are
related to significant energy uses and are consistent with energy
policy, objectives and action plans, been identified and planned
with the following considerations?
• Establishing and setting criteria for the effective
operation and maintenance of significant energy uses;
• Operating and maintaining facilities, processes,
systems and equipment in accordance with operational
criteria; and
• Appropriate communication of the operational controls
to personnel working for the organisation.

38
Design
Conformity
Requirements
Yes No N/A
1. Have procedures been implemented to identify and consider
energy performance improvement opportunities and
operational controls in the design of new, modified and
renovated facilities, equipment, systems and processes?

2. Are the design considerations documented?

Procurement of Energy Services, Products, Equipment and Energy

Conformity
Requirements
Yes No N/A
1. Have the criteria for assessing energy use, consumption and
efficiency over the lifetime of the product, equipment or service
been established and implemented?

2. Are specifications for items being purchased clearly defined and

documented in the energy performance related requirements?

3. Have energy performance related requirements been

communicated to suppliers?

4. Have suppliers been made aware that energy performance is part

of the evaluation criteria?

39
Monitoring and Measurement
Conformity
Requirements
Yes No N/A
1. Have procedures been documented and implemented to
monitor the following key characteristics of operations that can
have significant impacts?
 Significant energy uses and other outputs of the energy
review
 Relevant variables related to significant energy uses;
 Energy performance indicators (EnPIs);
 Effectiveness of the action plans in achieving objectives
and targets; and
 Evaluation of actual versus expected energy consumption.
2. Are records available to track performance and conformity with
the key characteristics?
3. Has the energy measurement plan been defined and
implemented?

4. Are all monitoring equipment appropriately maintained and

calibrated?

Evaluation of Compliance
Conformity
Requirements
Yes No N/A
1. Are documented procedures established, implemented and
maintained for periodical evaluation compliance with relevant
energy legislation and other requirements related to energy
use and consumption?

2. Is the compliance status with regard to relevant energy

legislation and other requirements related to energy use and
consumption evaluated?

40
Internal Audit
Conformity
Requirements
Yes No N/A
1. Have internal audit procedures been developed and
implemented?

2. Has the internal audit schedule been developed?

3. Are the internal audits conducted to ensure that the EnMS

• conforms to planned arrangements for energy

management according to ISO 50001 standard
requirements?
• conforms with the energy objectives and targets
established?
• is effectively implemented and maintained, and improves
energy performance?

4. Are audit reports and records documented?

5. Are the auditors conducting the audits competent and in a

position to conduct the audits objectively and impartially?

41
Non conformity, Corrective Action and Preventative Action
Conformity
Requirements
Yes No N/A

1. Have procedures been established to define the responsibility

for handling, investigating and controlling, and mitigating
nonconformity?

2. Does the organisation address the actual and potential

nonconformities by making corrections, and by taking
corrective and preventive actions with the following elements?

• Reviewing nonconformities or potential nonconformities;

• Determining the causes of nonconformities or potential
nonconformities;
• Evaluating the need of action to ensure that
nonconformities do not occur or recur;
• Determining and implementing the appropriate action
needed;
• Maintaining records of corrective and preventive
actions;and
• Reviewing the effectiveness of the corrective and
preventive actions taken

3. Are procedures changed and / or updated as a result of

corrective action and preventive action?

42
Control of records
Conformity
Requirements
Yes No N/A
1. Have procedures been established and implemented for the
identification, retrieval and retention of records?

2. Are records legible, identifiable and traceable to the relevant

activities?

3. Does the organisation retain the following records?

• Training records;
• Audit results;
• Management review records;
• Information on applicable energy laws and other
requirements;
• Inspection,maintenance and calibration records;
• Informationon significant energy use and energy
performance indicators;
• Procurement records;
• Permits;
• Monitoring data;
• Detailsof nonconformities,incidents,complaints and
follow-up actions;
• Contractors and suppliers records;and
• Process and product information.

43
Management Review
Conformity
Requirements
Yes No N/A

1. Do periodic management reviews take place to ensure the

continuing suitability, adequacy and effectiveness of the
EnMS?

2. Are management review records retained?

3. Are the management reviews carried out based on the

following documents or information?
• EnMS audit reports;
• Evaluation of compliance with legal requirements and other
requirements to which the organisation subscribes;
• Achievement of EnMS objectives and targets;
• Communications and complaints on EnMS internally;
• Energy policy;
• Energy performance and related Energy performance
indicators (EnPIs) of the organisation;
• Status of corrective and preventive actions;
• Follow-up actions from previous management reviews;
• Projected energy performance of the following period;
• Changing circumstances, including developments in legal
and other requirements related to its energy use; and
• Recommendations for improvement.

4. Are the management reviews included in the decisions or

actions related to:
• Energy performance of the organisation;
• Energy policy;
• Energy performance indicators (EnPIs);
• Objectives and targets of the EnMS; and
• Allocation of resources.

44