This step is relevant to section 4.5.5 of the ISO 50001-2011 standard.
Operational and maintenance controls ensure that critical equipment, systems, processes and facilities are operated and maintained to achieve required output and efficient performance. Properly defined controls promote the efficient and uninterrupted functioning of critical equipment.
Operational and maintenance controls can take a variety of forms. They can include, for example, procedures and work instructions, physical controls, use of licensed or other qualified personnel or combinations of these.
Determining operational and maintenance controls involves identifying and planning activities to ensure that critical factors affecting energy performance are known, used, and communicated to responsible personnel. Operational and maintenance controls must be identified and planned for all significant energy uses (SEUs).
How to do it
Identifying and planning effective operational and maintenance controls is achieved through three tasks:
Your organization should have effective operating and maintenance criteria in place for all your major facilities, equipment, systems and processes. Your major systems and significant energy uses (SEUs) have optimum running conditions and maintenance practices that maximize their operational efficiency and allow them to achieve their design service life.
Operating criteria are set points where your SEUs should operate to most efficiently satisfy the conditions required by a process. Example operating criteria include:
Occupancy timer settings
HVAC temperature settings
Air compressor operating pressure
Furnace and oven temperature set point
Steam boiler pressure
Freezer and cooler temperature set point
Water temperature generated by chillers
Line speeds
Operating criteria are implemented through operational controls which work to ensure SEUs are operated within identified criteria. Examples of operational controls include:
Physical limits
Mechanical controllers
Measuring equipment
Labeling
Signage
Indicators
Overflow devices and check valves
Electronic instrumentation
Documented procedures
Operator competence and training
Your organization must also address maintenance criteria and associated controls. Examples of relevant maintenance practices include:
Filter replacement
Lubrication
Tension adjustment
Leak repair
Cleaning
Fluid levels
Vibration analysis
Tuning
Many organizations use a preventive maintenance (PM) system which can be a component of the maintenance criteria and controls for an energy management system (EnMS). A PM system is an organized process for maintaining SEUs by systematic inspection to detect and correct anomalies to prevent failure and/or maintain peak operating condition. Both operating and maintenance criteria and associated controls influence the performance and efficiency of energy consuming equipment.
The ISO 50001 standard requires that you develop operating and maintenance criterion for your SEUs “where their absence could lead to a significant deviation from effective energy performance”. Significant deviation is discussed in detail in Step 4.2 with respect to monitoring and measuring the key characteristics of operations that determine energy performance. Consult that step for additional background about significant deviations. Your organization must determine what controls are critical to avoid the occurrence of a significant deviation related to operating and maintenance criteria for the SEUs. Examples of significant deviations that could be due to, at least partly, operational and maintenance control issues include:
Outside of control limits
Energy consumption variation
Change in efficiency
Increased maintenance requirements
Increased downtime
Additional equipment requirements
Longer run times
Need to change settings
Product changes (e.g. over or under cooked food)
A variety of sources can be used to identify operating and maintenance criteria for your SEUs and other processes that can impact energy performance including:
Manufacturer’s recommendation
System personnel who measure performance
Minimum process or system requirements
Service personnel’s suggested operating settings and maintenance intervals
Statistical process control
Benchmarking performance of similar equipment
Industry standards
Keep in mind that you likely have some operating and maintenance criteria already in place within your organization, especially as related to efficient equipment operation. This is certainly true for organizations that have implemented an ISO 9001 quality management system or an ISO 14001 environmental management system. Part of determining operational and maintenance controls is examining what is already there, and incorporating it into your EnMS as it relates to energy performance. You should take stock of what’s in place and take a fresh look at what else is needed for controlling operations and maintenance activities related to the SEUs. The Significant Energy Use Operating Criteria Worksheet is one example of how you can organize and record information on operating and maintenance criteria.
You may want to consider developing additional operating and maintenance criteria to address other factors related to energy performance, such as the effectiveness of your action plans in achieving the energy objectives and targets, controls needed to sustain past energy performance improvements, and the maintenance of non-SEU energy systems.
Operational and maintenance controls may also be physical devices, as well as the use of certified or other specialty qualified personnel. For example:
Physical devices – Building automation system (BAS), occupancy sensors for lights, air compressor sequence controller, other automated controls
Certified or other qualified personnel – Licensed electrician, licensed boiler operator, licensed waste treatment operator
To evaluate the operating and maintenance criteria you might need, bring together the appropriate personnel and information described above and discuss:
What operating and maintenance criteria have been established for the SEUs?
What controls are needed to operate and maintain SEUs within appropriate criteria?
What are the operating and maintenance criteria that would indicate a significant deviation?
Are operational and maintenance controls in place?
Are the operational and maintenance controls effective in maintaining performance with the identified criteria?
Are other controls needed to maintain the SEU within identified operating and maintenance criteria?
Are other controls needed to detect or avoid a significant deviation?
Once the appropriate operating and maintenance criteria are determined, they are then implemented as the targeted operating and maintenance state. The next step (Step 3.5.2) addresses operating the facilities, equipment, systems or processes associated with the significant energy uses according to your established controls.
3.5.2 Operate and maintain in accordance with criteria
Once the appropriate operational and maintenance controls and criteria are determined, you must operate and maintain the facilities, equipment, systems or processes associated with your SEUs so they meet the criteria. You will not receive the expected benefits of energy performance improvements if the controls are not implemented to maintain the criteria. If the criteria and controls are new or have changed you may need to communicate this information to appropriate personnel (see Step 3.5.3). If the controls are not functioning or are bypassed you may need to implement inspections to confirm that the operational and maintenance controls are being implemented or maintained and the criteria are being met. An example is:
Disabling the speed control of a fan’s variable frequency drive (VFD) would allow the fan to operate at full speed all the time. The VFD would not be able to reduce the fan motor speed, and consequently consumption, during periods when the fan is lightly loaded and achieve the expected energy performance improvement.
The Significant Energy Uses Control Chart, first introduced in Step 2.5.3, can be used to document references to operational controls by entering them in Column 4 of the chart. An Example Significant Energy Uses Control Chart with the operational controls (Column 4) filled-in is included to show how this form can be used. Note that the Example SEU Control Chart includes information on records associated with specific operational controls (see Column 8).
3.5.3 Communicate controls to personnel
For the facilities, equipment, systems and processes associated with your SEUs to be operated and maintained using the established controls, you must ensure they are communicated to the appropriate personnel. This includes on-site contractors or suppliers performing work associated with your SEUs. Robust processes for communicating the required controls ensures that expectations with regard to performing and following those controls are known and understood by appropriate personnel. You can provide the controls and criteria information through training, documentation or other communication processes.
You may need to provide training for complicated processes, personnel who are new to the organization or processes that require a licensed operator or maintenance technician. Training may also be a convenient form of informing large numbers of personnel about operation or maintenance activities. Training can involve:
On-the-job training
Shift training
Classroom training
Supplier training
Peer mentoring
On-line training
Training from certified bodies
Technical training
For complex processes, training can be supported or replaced by appropriate documentation. Documenting your operational and maintenance controls is not an explicit ISO 50001 requirement, but documents can be an effective medium for communication or reminder. You can easily control documents and update them as required to ensure the information is relevant and accurate. Documents could include:
Work instructions
Equipment logbooks
Equipment operating procedures
Contractor/supplier handbooks
Instruction sheets
Checklists
Work area postings
Bulletin boards
Computer terminals
Brochures
It may not be necessary for you to develop or identify training activities or generate documents for communicating operating and maintenance criteria and associated controls. You may be able to inform appropriate personnel with relatively simple communication processes. Some of these may include:
Demonstrations
E-mails
Staff meetings
Equipment markings
Supplier meetings
Use the method(s) of communication most effective for your organization. What is important is that the operating and maintenance criteria are clear and accurate and you make appropriate employees and contractors aware of them.
After the operational controls have been identified, planned and referenced or recorded using, for example, the Significant Energy Uses Control Chart, you may benefit from using the Operational Controls Checklist to determine if the important elements of operational control have been addressed for each of your organization’s SEUs.
Resources & Examples
These implementation resources are useful for identifying and implementing operational and maintenance controls for your organization’s significant energy uses:
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).
