Step 4.1 Measure, monitor and analyze performance metrics
This step is relevant to section 4.6.1 of the ISO 50001-2011 standard.
Monitoring, measurement and analysis of performance metrics is the logical extension of the data analyses conducted for the energy review (Steps 2.2 through 2.6). Effective decisions on energy management rely on the ongoing collection and analysis of energy and other data. Calibration systems are used to ensure that accurate data is collected for reliable analyses.
Monitoring, measurement, and analysis enable the organization to determine:
If significant energy uses are being appropriately managed,
If the organization is meeting its current energy objectives and targets, and
If energy performance trends are in the desired direction.
Organizations that already have implemented ISO 9001 quality management systems and/or ISO 14001 environmental managements system may or may not be monitoring and measuring energy-related metrics. However, these organizations do have processes in place to plan and implement critical monitoring and measuring activities.
How to do it
ISO 50001’s requirements for monitoring, measuring and analyzing performance metrics focus on the “key characteristics” of operations that determine energy performance.
At a minimum, the "key characteristics" include:
Past and present energy consumption,
The significant energy uses (SEUs) and their associated relevant variables,
Energy performance improvement opportunities, and action plans,
Energy performance indicators (EnPIs),
Effectiveness of action plans in achieving the energy objectives and targets, and
Energy sources were identified and past and present energy consumption data was initially collected and analyzed as part of the energy review (see Step 2.2, Step 2.3 and Step 2.4). This information was used to:
Profile your organization’s energy use and energy consumption,
Determine your organization’s significant energy uses,
Identify and prioritize energy performance improvement opportunities, and
Develop energy performance indicators and baselines needed to evaluate energy performance.
Energy consumption needs to be continually monitored, as it is a key component of energy performance evaluation and using less energy is ultimately the desired result of energy performance improvement.Present energy consumption is compared against past consumption using trend lines, spreadsheets, statistical techniques, and other approaches. Various methods of data analysis were discussed in Step 2.4.
Example sources of data – Metering energy consumption from the source generally involves utility meters for electricity and natural gas located on your organization’s property. This data is convenient and readily available in the utility bills but the meters can also be read and recorded regularly by the organization as part of a regular monitoring program. Measurement methods may vary for other energy sources. Wood or coal may require scales either on-site or measured by the contractor. Propane and fuel oil may be metered from a delivery truck or provided by tank. Renewables will require metering appropriate to the form of delivery.
Consider monitoring and measurement at finer levels – Metering can also be at the building, equipment, system, or process level using submeters, installed equipment meters or portable meters. Monitoring and measuring energy consumption at finer levels (e.g. at the level of equipment, systems or processes) allows for more detailed analyses and better evaluation of energy performance. Data monitoring at finer levels could more easily reveal deviations from expected energy performance and give an early warning of potential problems developing in the equipment, systems or processes that are consuming energy. For example, an increase in electricity consumption could indicate lights are being left on or equipment is starting to fail.
Evaluate data under consistent conditions – Consumption must be evaluated under consistent conditions for it to be a reliable indicator of an improvement or decline in energy performance. Data should be collected prior to any changes being made to serve as a baseline for comparison with data collected after changes are made (e.g. pre- and post- measurements for action plans, process changes, and the like). The data collected before and after the changes are implemented should be representative of normal operating conditions.
Data should also reflect as much consistency as possible in other factors that could affect energy performance such as weather, occupancy, production or hours of operation. For example:
The benefit of installing more efficient lighting might be masked or even eliminated if the electricity consumed by the new lighting in the winter time was compared to the electricity consumed by the old, less efficient lighting during the summer months when there is more daylight and potentially less use of the lighting.
To perform accurate evaluations, it is important to understand potential variations and their effect on energy consumption so energy performance can be accurately evaluated. If consistency in factors and conditions can be established, consumption may be a viable indicator of energy performance. If not, consumption may still be a key factor in determining performance as part of the data required for an energy performance indicator (see Step 4.1.6.).
In summary, data should be:
Monitored and measured prior to any change being made (baseline),
Monitored and measured after the change is implemented and compared with the baseline (or pre-implementation measurement),
Representative of normal operating conditions
Reflective of consistency in factors that can affect energy performance such as weather, occupancy, production or hours of operation.
4.1.2 Check on action plan progress
Regular monitoring of the action plans ensures that the improvement projects stay on track and the action plans are kept up to date.
The following items should be reviewed at planned intervals (e.g. weekly, monthly, quarterly) by the management representative and/or the energy team:
Milestone and task completion dates,
Resource allocations,
Personnel assignments,
Status reporting,
Ongoing monitoring and measurement of the objectives and targets, and
Team communication.
Team communication is reviewed to ensure that any changes to the action plans are communicated to the appropriate personnel and potential impacts on the project of delays in meeting milestone and task completion dates are known. This review is especially helpful where milestones or tasks are contingent on the progress of other milestones and tasks.
4.1.3 Check action plan effectiveness
As we discussed in Step 2.11, energy management action plans are developed to define the means (actions) that will be used to achieve the energy objectives and targets associated with energy opportunities that are going to be implemented (i.e. “projects”). Action plans are monitored, measured and analyzed to ensure that the objectives and targets are being met effectively.
The expected energy consumption associated with a project that is implemented is compared to the actual results after the project is completed. This comparison tells you whether the energy savings you anticipated were actually achieved. In turn, this information indicates whether the energy objectives and targets associated with the action plan were met. The methods used to perform this verification were defined within the action plan when they were developed as the last step in the energy planning process (see Step 2.11).
Successful projects are analyzed for appropriate reproduction in other processes. Projects where targets are not met are analyzed to determine the reason(s) for the shortfall and appropriate follow-up is planned and implemented. The action plan can be analyzed during and/or after completion. Action plans that are not generating the intended results are modified as needed. Examples of action plans that are not effective:
Energy objectives not being met
Energy targets not being met
Unable to meet due dates
Personnel not available
Budget not sufficient/available
Inadequate technology
Change in priorities
As action plans are completed, the resulting improvements are incorporated into the management system evaluation of energy performance to ensure that the energy savings resulting from the action plan are maintained over time.
4.1.4 Monitor and analyze significant energy uses and relevant variables
Identifying significant energy uses (SEUs) and relevant variables are a part of energy planning (see Step 2.5). Once determined, you must monitor, measure and analyze the SEUs and relevant variables to evaluate energy performance and any changes or improvements.
SEUs are an important focus of the EnMS because they have been identified by your organization as major energy consumers and/or areas with great potential for energy performance improvement. It is important that you monitor the energy performance of your SEU(s) as they will typically consume a large percentage of your organization’s energy. Consequently, small changes in operations or deviations in procedures, equipment or maintenance can affect overall energy consumption.
Monitor and measure the energy performance of the SEUs and compare it with past history to:
Maintain or restore effective operation,
Control energy use and consumption,
Evaluate the opportunity for improvements,
Determine the effectiveness of improvements,
Verify peak operation of the SEU, and
Evaluate the appropriateness of maintaining the equipment, system, process or facility as an SEU.
Monitoring the energy performance of a SEU can involve measuring energy consumption, related operational and maintenance parameters, SEU-based EnPIs, or some combination of these. (Monitoring of EnPIs is discussed in Step 4.1.6).
Energy consumption– Direct energy consumption comparison is one of the easiest methods of evaluating energy performance, but presumes consistent operating conditions. (Step 4.1.1 discusses energy consumption measurement.) It also presumes that appropriate energy measurement equipment is in place. For some applications, direct consumption measurement may be expensive or inconvenient. However, if operating conditions are consistent and metering is available, direct consumption comparison is generally the most convenient form of energy performance evaluation.
Operational and maintenance parameters – Energy consumption and EnPIs are not the only method for determining energy performance. Measurement and analysis of operational and maintenance parameters can also be used. Operational and maintenance parameters could include:
Temperature
Pressure
Flow
Occupancy levels
Run time
Demand
For example:
A decrease in run time of an air conditioning system (under consistent inside and outside environmental conditions) can be an indicator of improved energy performance as a result of filter changes and coil cleaning. For a boiler, the efficiency can be determined by measuring the temperature and oxygen level of a sample of the stack gas using a stack gas analyzer. Regular monitoring of efficiency is a typical maintenance activity that can provide an indication of energy performance.
Relevant variables – Relevant variables associated with your organization’s SEUs were identified in Step 2.5. These could include:
Weather
Occupancy
Operating hours
Line speeds
Moisture levels
Firing rate
Relevant variables must be regularly monitored, measured and analyzed to evaluate their impact on energy performance of the SEU. Use this data in conjunction with facility, equipment, system or process data to ensure consistent evaluation of energy performance. As an example:
Air conditioning electricity consumption will vary depending on the weather conditions. By collecting temperature and humidity data, improvements to the system can be evaluated under consistent conditions before and after the improvement is implemented, or the data can be normalized for weather. Occupancy also can impact energy consumption due to a change in lighting or heating and cooling requirements. Use time cards, vacation schedules, sign in sheets, etc. to collect data to evaluate energy performance either under consistent conditions or by normalizing the data for occupancy.
Collect data for each of the relevant variables using the appropriate collection mechanism. For example, collect temperature and humidity data for weather using manual or recording thermometer and humidistat. Another example is to collect attendance information for occupancy using sign in sheets, time clock records, etc.
Making SEU Connections – The SEU Control Chart introduced in Step 2.5.3 and then again in Step 3.5.2 is intended as a concise roadmap to your organization’s management of its SEUs. If used, it can point the user(s) of the SEU Control Chart to the required connections between each SEU and its associated:
Operational controls,
Competency and training requirements,
Monitoring and measurement,
Calibration, and
Records.
Completing SEU Control Chart Columns 1 through 5 was discussed as part of implementing Steps 2.5.3 and 3.5.2. As part of this Step (4.1.4), you can complete Column 6 to provide references to (or descriptions of) the monitoring and measurement that is put in place to track and analyze the performance of each SEU. Also, you can add to Column 8 by listing the monitoring and measurement records that will be maintained related to the SEUs. (See the completed Example SEU Control Chart for Step 4.1.4). You can complete Column 7 as part of Step 4.1.10.
4.1.5 Monitor energy opportunities
Opportunities for improvement are another output of the energy review. You identified, evaluated and prioritized opportunities in Step 2.6. Your organization either pursues appropriate opportunities further with development of energy objectives, targets and action plans or removes them from the active list. Further monitoring or measurement may be required to collect data to verify the suitability of installation procedures, operating criteria, control and maintenance practices for the opportunity or evaluating the energy performance improvement. These items are typically defined and addressed in the action plan (See Step 2.11).
Also, you need to monitor the process for identifying and prioritizing the improvement opportunities to ensure the process remains effective, the list is kept up to date and opportunities are effectively addressed to improve energy performance. This process must be dynamic to ensure new opportunities are continually identified, evaluated and implemented to improve energy performance and the EnMS. Examples of monitoring activities for energy opportunities include:
Frequency of new opportunity identification,
Frequency of opportunity completion,
Removal from list when no longer appropriate, and
Evaluation of continued relevancy of prioritization criteria.
4.1.6 Monitor and analyze the energy performance indicators (EnPIs)
In Step 2.7 you established energy performance metrics (called indicators or “EnPIs”) which are quantitative measures of energy performance as defined by your organization. It is vital to monitor EnPIs as they provide critical information about the performance of the entities for which they have been defined.
The benefit of analyzing EnPIs by making the comparison between an actual and expected EnPI is that it shows the direction and rate of change in organizational energy performance. Since the ultimate objective of energy management is continual improvement, consistent trends in actual and predicted EnPIs can demonstrate and quantify the improvement. The responsibility for EnPI analysis generally rests with the same personnel responsible for developing, testing and determining the factors that affect the identified performance indicators.
Calculated EnPIs are recorded and reviewed on a regular basis. Updated EnPIs are an input to management review (Step 5.1) and used to help determine energy performance. This performance data will verify the success of activities such as energy efficiency projects, operator or maintenance personnel energy efficiency training, and energy management awareness programs. This provides a positive message for middle and top management to build support for the energy management system. Improvements in EnPIs are indicators of and should be linked to successes in energy management. Accurately recording and storing EnPIs creates a historical registry that will display the impact of energy management practices over time.
The components of EnPIs that are measured or calculated will be managed for accuracy and repeatability on the energy measurement plan (addressed in Step 4.1.8). Top Management’s review of energy performance must include a review of performance as determined by the EnPIs. In addition, top management has an ongoing responsibility to ensure that the EnPIs are appropriate for the organization and to recommend changes when EnPIs are no longer appropriate.
4.1.7 Evaluate actual vs expected energy consumption
Implementing energy opportunities is accomplished through energy management action plans. Action plans should include estimates for energy performance improvement expected from the action plan’s implementation. A thorough review of the action plan will include an evaluation of the action plan’s actual results compared to the expected results on energy performance and other action plan outcomes.
Variances between action plan actual vs expected results are analyzed and evaluated to identify elements that improve performance or identify problems that should be addressed. The results of this analysis could be recorded on the action plan, or in a form that is suitable to your organization’s complexity and established management practices. An effective energy management system will capture the analysis of the variance as feedback for the corrective action process to improve future action plan implementation and energy performance improvements.
Future energy use and consumption was estimated for the SEUs as part of the energy review (See Step 2.5.6). Your organization decides for itself what period of time is considered to be “future” and monitors the assumptions (or criteria) that you used to estimate future energy use of the SEUs. To assist with projecting energy consumption for the SEUs, consider using the SEU Future Energy Estimate Worksheet. One estimate is completed for each significant use.
Some items to consider in estimating future energy use and consumption include, for example:
Capital investment plans
Product or service changes
Occupancy forecasts
Production plans
Space utilization plans
Market conditions
Fuel availability
Capital investment
Alternative energy
Improvement projects
This worksheet may have already been started or completed in Step 2.5.6. If so, then make sure you have a process to review and update those estimates as needed on a regular basis and in response to major changes to facilities, equipment, systems and processes.
4.1.8 Define and implement an energy measurement plan
ISO 50001 requires an energy measurement plan. The energy measurement plan is developed to define, organize and document the monitoring and measurement activities. Each of the key characteristics is evaluated to determine the appropriate quality(s) that should be measured or monitored so appropriate data can be collected for analysis.
Items to include in the plan will vary depending on the size and complexity of the organization and its monitoring and measuring equipment. Typically, the plan would include at a minimum
What is being measured?
specification of the systems, processes or equipment to be monitored or measured,
Once the key characteristics and monitoring and measurement requirements are identified, the Energy Measurement Plan Worksheet provides a guide to the details required to ensure adequate collection of data for determining energy performance. This form is used for an overall look at the relevant key characteristics. More detailed information may be required for some equipment or systems and the Equipment Energy Measurement Plan can be used for additional detail. An Example Equipment Energy Measurement Plan illustrates a completed version.
4.1.9 Periodically review measurement needs
Periodically reviewing your organization’s measurement needs ensures that as the key characteristics that determine energy performance change over time, any needed adjustments are made to the energy measurement plan (see Step 4.1.8). For example:
Changes to monitoring and measurement methods, equipment, procedures and personnel may be needed in response to changes in the energy uses identified as SEUs. Measurement needs also can change as a result of new or modified energy performance requirements (e.g. new energy objectives, targets, action plans, EnPIs). Changes in any of the energy planning outputs of the EnMS can lead to changed measurement needs. They can also result from changes to equipment, procedures, personnel and monitoring and measuring methods.
Adjust the measurement plan based on your review of measurement needs. Inform relevant personnel using the training and communication processes of the EnMS. A practical approach to periodic review of measurement needs and updating the measurement plan involves:
Defining a minimum frequency for the review (e.g. monthly, quarterly, semi-annually), and
Integrating the review as part of your organization’s “real-time” change management processes.
4.1.10 Ensure accuracy and repeatability of measurements
Good data relies on good measurement. The equipment used to monitor and measure the key characteristics that determine energy performance must provide data that are both accurate and repeatable. Software used for monitoring and measurement needs also must provide accurate and repeatable data confirmed through verification. Accuracy and repeatability are necessary to validate energy performance and verify the results of improvement actions.
A calibration program provides the means to ensure monitoring and measuring equipment is properly maintained to provide accurate data. Basic components of a calibration program involve:
Identifying the equipment to be calibrated
Specifying the method of calibration to be used
Establishing calibration tolerance and frequency
Defining and assigning calibration responsibilities
Maintaining appropriate documentation
Identify equipment to be calibrated – First, identify the equipment to be calibrated. For ISO 50001, the focus is on accurate and repeatable data from equipment used to monitor and measure the key characteristics of operations that determine energy performance. This monitoring and measuring equipment should already be identified within the energy measurement plan. Review the energy measurement plan and identify and record the equipment that requires calibration.
Specify the calibration method – Specifying the calibration method involves determining the appropriate document, procedure, standard or other reference to be used for each piece of monitoring and measuring equipment. Calibration can vary from a complicated process using multiple documents with defined procedures and tests to a simple comparison with a standard calibrated reference. Trade associations, equipment manufacturers and metrology labs may be sources of assistance for determining the appropriate calibration reference. The reference(s) or standard(s) specify calibration frequency, methods, traceability and personnel qualifications. They may also provide guidance information on tolerances.
Establish calibration tolerance and frequency –The calibration tolerance is the permissible deviation from a specified value. The tolerances are specified to ensure the equipment is calibrated to the required accuracy within acceptable limits. There are several factors to consider when establishing the tolerances:
Equipment capability – The monitoring or measurement equipment must have the capability to measure within the required accuracy. Equipment cannot be calibrated to a tolerance for which it is not capable of measuring.
Process or product requirements – Customer requirements, sub assembly requirements or final use can dictate the tolerances required.
Manufacturer’s specifications – Manufacturers can specify tolerances for equipment used in the organization’s processes. Again, the equipment must have the capability to measure within the required accuracy.
Standards/regulatory – Tolerances may be dictated by standards associated with the product or as required by regulatory agencies.
Hand in hand with the tolerance is the frequency of calibration. While the manufacturer's recommendations are one source for calibration frequency, the purpose and use of the equipment must also be considered. Harsh environments and measurements that have a very close tolerance may require more frequent calibration. The equipment history is important also. Monitoring and measuring equipment with a history of losing accuracy may require more frequent calibrations. Such equipment should also be recalibrated when there is reason to doubt the equipment’s accuracy. Change or modify the methods, schedule or equipment as required to satisfy tolerance requirements.
Define and assign calibration responsibilities – To ensure equipment is properly calibrated and will provide accurate data, define and assign responsibilities to the appropriate personnel. Consider, for example:
Who will do the calibration? – Will this be done in-house or contracted? If done in-house is the expertise, equipment and necessary documentation available? If contracted, can one contractor calibrate all equipment? Can the calibration by a contractor be performed on-site or must it be conducted off-site? Are there relevant legal requirements?
Who will maintain calibration records? – Will this be done in-house or contracted? What records will be maintained and in what form? What record access is required?
Who will maintain and use the equipment? – Will training be required? Are there calibration requirements associated with maintenance? Can operators make adjustments? What do operators need to know about calibration?
Who will be responsible for ensuring calibration is conducted? – Who will maintain or be responsible for regular review of calibration schedules? Who will ensure equipment is available for timely calibration?
Who will verify proper calibration? – Will this be done in-house or contracted? What is required to verify calibration? Are the resources available or is equipment or personnel training required?
Maintain appropriate documentation – Accurate documentation is needed to verify the calibration status of the monitoring and measurement equipment and provide guidance on calibration needs and responsibilities. There is no prescribed type or format for the documentation. Develop what works for your organization. A Calibration Plan can be used to list the monitoring and measuring equipment that requires calibration and describe the method, calibration personnel, frequency and basic equipment information. The Calibration Record can be used to document the results of equipment calibration. Both the Calibration Plan and the Calibration Record can accommodate calibration information on several pieces of monitoring and measuring equipment. The Equipment Calibration Record provides a continuous record that combines information similar to the Calibration Plan and Calibration Record but is used for only one piece of monitoring and measurement equipment. This document shows the history of the equipment which is useful for analyzing trends and indicating when equipment needs to be replaced.
Making SEU Connections – The SEU Control Chart introduced in Step 2.5.3 and again in Step 3.5.2 and Step 4.1.4 is also intended to capture basic information about calibration for monitoring and measurement equipment used for SEUs. If using this chart, complete Column 7 by entering the equipment (or software) to be calibrated (or verified) for each SEU. Also, add to Column 8 the calibration (or verification) records to be maintained. The "Example SEU Control Chart for Step 4.1.10 show a completed SEU Control Chart.
4.1.11 Maintain appropriate records
The results of the monitoring and measurement activities must be recorded. This can be done in a variety of ways, including the use of spreadsheets, databases, log sheets or other formats. Records are also needed to demonstrate periodic review of the organization’s measurement needs. This can be accomplished by recording the dates of review and/or updating on the measurement plan. Records of calibration or other means used to ensure the accuracy and repeatability of collected data are needed to verify the effectiveness of the calibration program.
Resources & Examples
The resources listed below are helpful in developing, implementing and documenting monitoring and measurement and calibration activities for the EnMS:
The following resources provide information needed to understand EnMS documentation and make decisions on what documents and records are needed for your EnMS.
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).
