Step 2.1 Identify and evaluate legal and other requirements
This step is relevant to section 4.4.2 of the ISO 50001-2011 standard.
ISO 50001 recognizes that energy-related obligations, both legal and voluntary, are an important component of a comprehensive and systematic approach to energy management. The planning requirements of the energy management system (EnMS) include gathering information on the legal requirements and other requirements that apply to your organization’s energy use, consumption and efficiency. There must be processes in place to identify, access, evaluate and keep up to date with those requirements.
Identifying and accessing legal and other requirements occurs as the first step in the energy planning process so that any energy data mandated by those requirements is known and can be input into the energy review.
Legal requirements are those embedded in law or otherwise imposed by a governmental entity or regulatory agency. You need to develop a complete picture of your organization’s energy-related legal requirements so compliance with those requirements can be maintained on an ongoing basis.
In addition to legal requirements, there are a variety of "other requirements" related to energy that an organization may be subject to (e.g. a corporate energy mandate) or may commit to voluntarily (e.g. ENERGY STAR ®). The organization’s processes for identifying, accessing, evaluating and keeping abreast of applicable legal requirements must address these "other requirements" as well.
2.1.1 Identify and access applicable legal requirements
This task involves identifying and establishing access to the federal, state and local legal requirements that apply to your organization’s energy use, consumption and efficiency. For most organizations this process is already in place for environmental legal and regulatory requirements. In addition, it is important to be aware that a number of environmental regulations, particularly some of those regulating air emissions, are relevant to both the organization’s environmental impacts and its energy uses. For example:
An environmental regulatory permit may dictate a control that consumes energy, but that is not in operation on a continual basis (e.g., overflow pump for stormwater discharge).
An environmental regulatory permit may specify a specific energy use (e.g., operation of a cyclone under an air permit).
A regulatory air permit may dictate that a facility burn only a certain type of fuel.
Additional legal requirements that may apply to your organization’s energy use and consumption could include local ordinances, zoning laws or regulations or utility requirements. For example, zoning or utility requirements may limit access to certain types of property, such as the areas surrounding high voltage power lines or electric utility transformers. Building codes may include energy efficiency requirements for new, modified or renovated facilities. The Example Legal and Other Requirements Related to Energy shows the applicable requirements determined by one organization.
To get started, gather information that answers the following questions:
What is your organization’s existing process for identifying the applicable legal requirements related to energy uses?
Who in your organization has information on the applicable legal and regulatory requirements related to your energy uses?
How is this information maintained? Is there a list of these applicable legal and regulatory requirements?
Who is responsible for ensuring access to the applicable laws and regulations and their requirements? How is this accomplished?
Who is responsible for keeping this information current?
Once the answers to these questions are obtained, the energy team typically coordinates with the environmental staff and management to evaluate the existing process, make any needed changes and assigns responsibilities for identifying, evaluating and updating those legal requirements. The environmental staff may continue to handle the process for environmental legal requirements that also apply to energy uses, while the management representative may handle specific legal requirements related only to energy.
For organizations that do not have an existing process and assigned responsibilities for identifying, evaluating and updating applicable legal requirements, the starting point for this task is different. First, assign responsibility for these activities to specific personnel. In some cases, the organization may decide to hire external assistance in developing this part of its EnMS.
There are a variety of resources available to help organizations identify the legal requirements related to their energy uses. These include:
Commercial legal and regulatory updating services
Websites of federal, state and local regulatory agencies
Table of Contents of the Code of Federal Regulations (CFR)
Electronic newsletters
Trade periodicals (both electronic and print)
Trade associations
Training courses and informational seminars
Networking relationships with local agencies and officials
Attorneys and consultants
It is important to ensure that the requirements of applicable legal requirements are easily and readily accessible. Depending on the source of the legal requirement, access may be available through governmental or other websites, commercial or governmental databases, hardcopy or electronic subscriptions, etc.
2.1.2 Identify and access other requirements
The basic process for identifying and accessing the voluntary programs or other energy-related requirements subscribed to by your organization is much the same as it is for legal requirements. Roles, responsibilities and authorities are assigned. Sources for accessing the text of the applicable requirements are determined. Information on the voluntary commitments and “other requirements” that apply to the organization’s energy uses is maintained and kept accessible. Often, this information is included in the list (or database or other compilation) of applicable legal requirements as a separate section or coded as a non-legal or voluntary requirement. The Legal and Other Requirements Tracking Matrix can be used to document the applicable other requirements and associated information.
Examples of voluntary commitments and other requirements related to an organization’s energy uses include:
Voluntary standards (e.g. ISO 50001)
Certification programs (ISO, Trade Group, etc.)
Corporate energy requirements (e.g. energy conservation, energy performance reporting, etc.)
LEED Certification (Existing Building & Maintenance)
ENERGY STAR® Facility (U.S. EPA)
State Greenhouse Gas (GHG) goals
State Environmental or Energy Performance Programs
Better Buildings, Better Plants (U.S. Department of Energy)
Superior Energy Performance (U.S. Council for Energy Efficient Manufacturing)
The process for identifying the applicable “other energy-related requirements” subscribed to by your organization necessarily involves clearly defined communication channels between management who make the commitment on behalf of the organization and the energy team or other personnel responsible for the organization’s compliance with those requirements. Typically, the agency, non-governmental organization, trade association or other organization responsible for the program or requirements will provide access to the program requirements and related resources.
2.1.3 Establish a process for evaluating and updating requirements
Personnel assigned responsibility for identifying and accessing the various energy-related legal and other requirements typically also have responsibility for evaluating and updating those requirements. Clearly defined and communicated roles, responsibilities and authorities are critical for maintaining compliance with these requirements
Evaluating energy-related legal and other requirements, whether they are current, new or changed, involves first a review of their applicability. Second, if determined to be applicable, what those current, new or modified requirements mean for your organization’s facilities, equipment, systems, processes and personnel needs to be evaluated. Once the evaluation is completed and the impacts of the current, new or modified requirements are understood, the actions needed to comply with those requirements are implemented. This could include, for example, additional or modified training, operational controls, measuring and monitoring, calibration and record-keeping.
The recommended approach for effectively managing this part of the EnMS is to incorporate both the evaluation and updating processes into your organization’s change management processes. Keep in mind that it isn’t just new or changed legal and other requirements that may trigger changes in your EnMS. Changes in your organization’s activities, facilities, equipment, systems, and processes (including those resulting from energy projects) can trigger changes in the legal and other requirements that apply to your operations.
You need to set defined intervals for reviewing legal and other energy requirements. Some organizations set a minimum review schedule (e.g., quarterly, semi-annually), but will keep the information on legal requirements up to date on an ongoing basis. Monitoring for new or changed legal requirements sometimes can be accomplished using electronic newsletters or e-mail update notifications from regulatory agencies or other sources. Reviews for updates to voluntary programs or other energy requirements subscribed to by your organization usually are conducted on an established frequency. Be sure to maintain evidence that the reviews have been conducted.
Resources & Examples
These two resources can be helpful in identifying and maintaining information on the legal and other requirements related to your organization’s energy use, consumption and efficiency:
The following resource is designed primarily for organizations that plan to seek third-party certification to ISO 50001-2011. It helps you understand how to check and use your EnMS records to demonstrate the implementation of the system (you are doing what you say), and the effectiveness of the system in generating the intended results (what you are doing is working):
