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Energy Management System (EnMS)
Phase 3 Expert Training
UNIDO International Energy Efficiency Experts
Housekeeping
Emergency Exits
Restrooms
Cell Phones
Breaks
Lunch
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Recap on the Energy Management System
Delivered by National Expert
Volunteer
Energy Management System
Based on the concept of:
Plan
Do
Check
Act
Management Responsibility
Is the top management
really comitted?
Will they support the
system?
This is a decision point!
If not, we can all go for
coffee now!
Will they make the
necessary resources
available (technical,
financial and human)
Policy
Management commitment
Not just a signature!
Define scope of EnMS
Appropriate to scale
Commitment to continual improvement
Make resources available
Framework for target setting and management review
Planning How much energy am I using?
Where am I using it?
Which are significant users?
What is driving it?
Who is influencing its use?
Do I need to have an energy
assessment (=audit)?
– If yes, focus it
System Optimization
Renewable energy options
Are there legal or other requirements?
Develop baselines & EnPIs
Set objectives and targets
Action Plan
Implementation & Operation Competence, training and awareness
Documentation
Operational control
• Key Area
• Operation and Maintenance
• Service Contractors
• Training
Communication
Design
– Energy Efficient Design (EED)
Purchasing energy, services, goods
Action Plan
Checking
Check Operations
• Check operator records
• Check maintenance records
• Equipment checking
Check the system
• Is everyone doing what is
required?
Check Performance
• Check EnPIs
• Check trends and costs
Check progress
• Against plans
Management Review Regular presentation
How are we getting on?
• Is performance improving
as targeted?
• Problems and barriers to
overcome?
• Achievements
What is the plan for next
year?
• What do we need to
achieve this plan?
PDCA complete
Ongoing Activities
Training
Communication
Operational Control
Procurement
Energy Efficient Design
Action Plans
Checking
– EnPIs
– Progress
– EnMS
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Review targets, action plans, EnPIs and progress
Each team to deliver 3 slides in maximum of 4 minutes
• Slide 1: Savings targets, compare with actual savings to
date using your EnPIs.
• Slide 2: Completed action plan items including verified
savings
• Slide 3: Open action plan items including savings to be
made
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Review Operations
Each team to show maximum 3 slides with the highlights of
improvements made or planned in its operations
(Operational Control, Procurement, Design, Competence and
Training)
See you in 15 minutes!
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Overview of Checking
Checking
Check Operations
• Check operator records
• Check maintenance records
• Equipment checking
Check the system
• Is everyone doing what is
required?
Check Performance
• Check EnPIs
• Check trends and costs
Check progress
• Against plans
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Checking Performance
Checking Performance
EnPIs
Baseline
Savings targeted to date
Savings achieved to date
Energy Performance Definition
NOTE 1 In the context of energy management systems,
results can be measured against the organization’s
energy policy, objectives, targets and other energy
performance requirements.
Energy Performance Measurement
Source:
Definition 3.12
ISO 50001:2011
24
Energy Performance Measurement
The organization shall ensure that the key characteristics of its operations that determine energy performance are monitored, measured and analyzed at planned intervals.
Source:
Section 4.6.1
ISO 50001:2011
25
Key Characteristics • Significant energy uses
• Other outputs of energy review
• Relevant variables related to SEUs
• EnPIs
• Effectiveness of action plans in achieving
objective and targets
• Evaluation of actual vs. expected energy
consumption
Energy Performance Measurement
Key Characteristics
Look at:
SEUs
Look for:
• Substantial consumption
or opportunity
• Current performance
determined
• Current consumption
matching estimates
• Relevant variable relation
to energy consumption
26
Look at:
Other outputs of
energy review
Look for:
• Sources identified and
ascribed
• Past and present
consumption trends
• Results of
improvement
opportunities 27
Energy Performance Measurement
Key Characteristics
Look at:
EnPIs
Look at:
Objectives and
targets
Look for:
• Trends
• Relationship to
consumption
Look for:
• Objectives and targets
improve energy
performance
• Targets lead to
objective
28
Energy Performance Measurement
Key Characteristics
Look at:
Actual vs. expected
energy consumption
Look for:
• Actual matching
expected consumption
• Connection to
significant deviation
Look for significant deviation in any key
characteristic 29
Energy Performance Measurement
Key Characteristics
Situation
Target: Reduce boiler natural gas consumption
7.5% compared to baseline CY 2009 boiler
30
Boiler NG Consumption
CY 2009 23,076 GJ
CY 2010 21,683 GJ
===> 6%
Reduction
Is energy performance improving?
Is this a nonconformity?
Boiler #1 has been identified as a significant energy
use based on consumption.
Boiler #2 has not been identified as a significant
energy use but consumption equals Boiler #1.
Lately, Boiler #1 consumption has gone up while
Boiler #2 consumption has gone down.
31 Is energy performance improving?
Is this a nonconformity?
Situation
Related to Significant Deviations:
A company defines significant deviation as 10% in excess
of estimated consumption. The consumption history is:
There is no evidence of a company response.
0
500
1,000
1,500
2,000
2,500
MMBtu
Boiler Consumption
Boiler #4 Actual
Boiler #4 Estimated
32 Is energy performance improving?
Is this a nonconformity?
Situation
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Checking of Operational Control
Checking Operations
Operator Logs
– Abnormalities and corrections
Control system screens
Critical Operating Parameters
Equipment and systems
Checking Maintenance
Maintenance Records
Computerised Maintenance
Management Systems (CMMS)
Service reports
Follow up repairs
Checking Equipment
Routine checking
Noises, leaks, instrumentation
– Temperature, pressure, flow, etc.
Knowledge of normal operations
Exercise - Operational Control
Consider the above slides and decide if you are effective in
this area.
Make a plan on how you will improve this topic
Include ideas on your opportunities list
See you in 45 minutes!
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Checking the system
EnMS Audit
What is Auditing?
An audit is a systematic, independent and documented
process for obtaining audit evidence and evaluating
the evidence objectively, to determine the extent to
which the audit criteria are fulfilled”
Audit findings are the results of the evaluation of the collected audit evidence against the audit criteria (Should be both positive and negative)
Source:ISO 19011
What is an internal audit? Independent review of part or all of the EnMS
The purpose is to determine if the following are meeting
the EnMS requirements
Plans
Activities
Procedures and processes
Is the EnMS effective in improving energy performance?
Is the EnMS operating as intended?
Is it achieving its objectives?
Does the EnMS meet the requirements of a standard if
certification is being sought, e.g. ISO50001
It is an essential part of continuous improvement
43
An internal audit is not……
A technical energy audit
An assessment of the viability of an energy saving
opportunity
An assessment of the energy efficiency of a process or
system
An assessment of the performance of individual people
A battle between the auditor and auditee(s)
44
The auditor The role is to find and report on verified facts found during
the audit.
Never:
Find fault in individuals
Attribute blame
Impose predetermined corrective actions
Pass judgement or be judgemental
The auditor should:
Be mannerly and courteous
Not argue, either agree or disagree
Explain issues as they occur
Keep your composure and maintain sense of humour
Control the time spent on the audit
45
Goal of an EnMS audit
Make an informed decision about the status of the
management system with respect to intent,
implementation, effectiveness and energy
performance.
Energy performance focus
Confirm energy performance improvement:
Confirm improvement in energy performance indicators
Verify performance is measured against a baseline
Verify energy objectives and targets are met
Determine effectiveness of action plans
Ensure significant deviations are addressed
Ensure energy performance improvement opportunities are identified
48
Internal —
First-party audit • Self
• Independent
function
(cont’d)
Who Performs the Audit?
Who Performs the Audit?
External —
Second-party audit
• Energy Consultant
• Sister company
External —
Third-party audit
• Independent
function
(Certification body)
Overview of Audit Program
Objectives
General procedure
Criteria
Methods
Team(s)
Auditor qualifications
Logistics
Confidentiality
Overview of Audit Activities
ISO19011
Conducting Audit
Follow-up
Completing the Audit
Preparing &
Distributing the Audit
Report Initiating the Audit
Conducting Audit
Activities
Preparing For Audit
Activities
Three Stages of Audit Activity
• Planning for audits – Schedules
– Notifying auditors and auditees
– Preparing checklist
– Preparing an agenda
• Conducting the audit – Coordination with auditee
– Interviews, observations and records
– Auditor notes
• Follow-up activities – Reporting the findings (positive and negative)
– Corrective actions
Audit Planning
Audit Schedule
Covers all auditable
entities
Generally an annual
schedule
Status and importance
Audit results may change
audit frequency
Energy performance
RESULTS
Audit Schedule
WHO
WHAT
WHERE
WHEN
Audit Methods
Horizontal • By department plus interfaces • By section of ISO 50001
Vertical • Downstream
[SEU(energy use and consumption) to Monitoring and Measurement (evaluation)]
• Upstream
(monitoring and measurement to energy use and consumption)
Process Audit • Significant energy uses • Objectives and targets • Internal auditing
Combination
Process Audit - Significant Energy Uses - PDCA
PLAN
•Energy review
•Energy performance
indicators
•Objectives, targets,
and action plans
DO
•Training
•Communication
•Operational
controls
•Design
•Procurement
•Documents
Check
•Monitoring and
measurement
•Calibration
•Records
ACT •Management review
•Performance results
Audit Evidence
Based on facts and not opinion
Evidence
• Direct observation
• Statement of fact
• Documents, data, and records
First-hand, verifiable
Recorded
Where Can Requirements Come From?
• Standards
• Procedures
• Forms
• Records
• Verbal statements
• Legal & other
requirements
The Auditor Checklist
Serves as an auditor’s guide for information gathering
Tailored to the unique assignment and needs of the
auditor
Serves as a guide, not a substitute, for good interview
methods
INFO
UNIVERSE
• Criteria #1
• Criteria #2
• Criteria #3...
Checklists – Why?
To fulfill scope and objective
To define a representative sample
To guide the auditor
To ensure connections are audited
To show evidence of planning
To reduce auditor bias
To organize notes
To provide an audit record
Checklists: Sources of Information
Standard
Manual/procedures
Contracts
Stated objectives
Details of current corrective actions
Previous audit results
Interviews with employees
Observations of activities and work environment
Records
Checklists – Planning
Procedure for Energy Planning to address:
• Method and criteria for energy review
• Energy use and consumption past and present
• Identify the facilities, equipment, systems, processes and
personnel
• Identification of relevant variables
• Determine the current energy performance of facilities,
equipment, systems, and processes related to identified
significant energy uses
• Estimate of future energy use and consumption
Implementation – SEUs • Methods and criteria for energy review
• List of SEUs
• Energy data for future energy consumption
• Energy data for current energy consumption
• Training for SEUs
• Measuring identified for SEUs and Variables
• Calibration schedule for measuring
• Operational controls and maintenance for SEUs
• Updates through management review
• Communication
• Assigned responsibilities
Checklist - Implementation
Effectiveness – SEUs
• Improved energy performance
• Improved data analysis
• Improved energy information
• Improved process, equipment information
Checklist - Effectiveness
Checklist – Links for SEUs
Document Control
(Internal and External
documents)
Records Control
Operational Control
Calibration
Energy Review
Communication (internal
and external)
Responsibility and Authority
Design
Measuring and Monitoring
Procurement
Management review
Connections to Other Parts of the Standard:
Exercise (60 mins)
Split into the teams for tomorrow
Develop an audit plan for the internal audit for tomorrow:
Address the following items in the plan:
– Objectives
– General procedure
– Timeline
– Team
– Logistics
66
Three Stages of Audit Activity
Planning for audits
Schedules
Notifying auditors and auditees
Preparing checklist
Preparing an agenda
Conducting the audit Coordination with auditee
Interviews, observations and records
Auditor notes
Follow-up activities Reporting the findings (positive and negative)
Corrective actions
Opening meeting
Communication during the audit
Roles and responsibilities of guides
Information-gathering and verifying
Nonconformities and positive findings
Preparing audit conclusions
Closing meeting
Audit Activities
Interview Protocol
Introductions
Explain purpose
Ask for relevant documents and records
Satisfy sample defined in checklist
Consider any additional trails
(Cont’d)
Interview Protocol (Cont’d)
If no problems – continue audit
If problems – establish the facts
Get agreement on facts
Inform auditee of findings
Thank auditee
BE POLITE
Interviewing Techniques
Open-ended questions
Closed-ended questions
Silence
What-if questions
Press for answers
Basic questions (Cont’d)
Interviewing Techniques (Cont’d)
Avoid questions that lead to useless
information or no information
Be a good listener
Reflect information back to auditee to
check understanding
Coordinate and cross-check with other
auditors
Evidence is collected typically through three methods:
interviews;
observations;
review of documents and/or records
Evidence should be related to the intent, implementation
or effectiveness of the system.
Only information that is verifiable should be accepted as
audit evidence.
Evidence relevant to the audit topics should be recorded.
Evidence
Taking Notes
Auditors must take clear, complete, and
accurate notes
Notes should not be secret from the auditee
Following Audit Trails
Consider significance of leads
• Assess effects on audit plan
• Inform lead auditor of changes
• Let organization know
Actions on new audit trails
• May follow immediately
• May pass to another auditor
• May audit next time/later
Auditee Reactions to Findings
Asks for solutions
Persists in arguing the facts
Volunteers other facts
Complains about others
Questions significance of findings
Purpose of the audit
is to provide
information to
management. It is
also to help
employees get
changes made and
remove barriers.
It’s not the
people; it’s the
system!
Auditors have
a great
reputation;
but terror never provides
good information!
Evaluating Audit Results
Provide ongoing feedback to
facility personnel
Review checklists
for completion
Record findings and
observations
Ensure that all findings are
substantiated by evidence
Develop the team’s findings
and observations
Integrate and summarize
findings and observations
Prepare exit
meeting report
Each auditor Audit Team
Three Stages of Audit Activity
Planning for audits
Schedules
Notifying auditors and auditees
Preparing checklist
Preparing an agenda
Conducting the audit Coordination with auditee
Interviews, observations and records
Auditor notes
Follow-up activities Reporting the findings (positive and negative)
Corrective actions
Audit Report Content
Audit objectives
Audit scope
Identification of auditee
Identification of audit team
Dates and places of audit
Audit criteria
Audit findings, positive and
negative
Audit conclusions
Any areas not
covered
Sampling
Recommendations
Statement of
Confidentiality
Distribution list
Source: ISO 19011
81
Successful verification
Effective implementation
Closure with Management
Report audit results at
management review
Documents
• Audit schedule
• Audit plan
• Auditor training requirements
Records
• Audit records
• Auditor training records
Documents & Records
See you in 15 minutes!
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Nonconformance, Correction, Corrective and Preventive Actions
What is a Positive Finding?
Practice matches
requirements (criteria)
Records demonstrate
conformance
Targets are achieved
and demonstrated
Beyond
Positive Finding Write-up
Can be written in criteria/evidence/reference
format or any other format
Should be specific
87
(Cont’d)
What is a Negative Finding?
Practice does not match
requirements (criteria)
Records do not support
requirements
Inconsistent answers
System is not effective
Definition: Nonconformity
“non-fulfillment of a
requirement”
Source: Definition 3.21
ISO 50001:2011
What are specific facts?
What department, line,
activity...
What was observed?
What was said? By whom?
What does it not meet?
Which paragraph of ISO?
Identifying Nonconformities
Nonconformity Write-up
Well Written Nonconformity
Criteria (Requirement): SOP 123 revision B, dated
1/1/10, requires all documents be approved by the
President.
Evidence: SOP 245 revision A, dated 3/1/10, in the waste
water treatment plant was not approved by the
President.
Reference (ISO 50001): 4.5.4.2
92
Reporting Procedures Everything remains proprietary
No surprises after closing meeting
Organize logically
Meet the promised date
Give all team members responsibilities
Clarify items from the closing meeting
Nonconformity is a non-fulfillment of a requirement
For actual and potential nonconformities:
Make corrections
Identify the root cause
Determine appropriate actions
Implement actions
Record
Review for effectiveness
What Does the Standard Require?
Nonconformity is a non-fulfillment of a requirement
Requirements can come from many places.
ISO 50001
Procedures
Forms
Records
Verbal statements
Legal and other requirements
Nonconformity
Nonconformity Occurs When
Organization does not meet the requirements of
the ISO 50001 standard
Organization does not meet the criteria it has
established
Management system is not effective
Energy performance is not improving
Nonconformity Write-up
Format
• Criteria
• Objective evidence
• Reference (ISO 50001 and/or EnMS)
Best Practices
• Criteria and evidence should include specifics
Who? What? When? Where?
• Evidence and criteria sentence structure should
read similarly to clarify the discrepancy.
(Cont’d)
Nonconformity Write-up (Cont’d)
Poorly Written Nonconformity
– Criteria (Requirement): The SOP requires all
documents be approved by the President.
– Evidence: A standard operating procedure in the waste
water treatment plant was not approved by the
President.
– Reference (ISO 50001): 4.5.4.2
(Cont’d)
Criteria: EnMS Procedure #7 states the boiler stack excess
oxygen must be in the range of 2.5 to 3.5 % during full
load.
Evidence: The April 2010 records for the full load boiler
stack excess oxygen indicated that on:
4/08/10 O2 was 6.2 4/22/10 O2 was 6.3
4/15/10 O2 was 6.5 4/29/10 O2 was 6.7
Example Nonconformance
Identify the problem and take immediate actions
Investigate and determine the root cause
Evaluate the need for action and develop a
solution
Implement the solution
Record results
Review for effectiveness
Corrective and Preventive Action Processes
5 Whys
─ A technique that involves asking why until the question
cannot be answered any further
Fishbone diagram
─ A pictorial technique clearly showing cause and effect
relationships
IS/IS NOT
─ A technique that involves the comparison of two situations,
one that exhibits the problem and one that does not, in
order to determine the differences in the two situations
Root Cause Analysis
Correction, Corrective and Preventive Actions
Resolve the immediate or potential problem.
Consider whether the same or similar
problems exist elsewhere in the organization.
Prevent the problem from recurring.
Define the responsibilities and schedules for
actions.
Be evaluated regularly for effectiveness.
Be tracked until they are closed.
Non-conformity Tracking Log
Energy Management System Tools
Non-conformities
ID Description Date
Identified
Source
Which requirement is not
being met?
Corrective Action Resp Target
Completion
Actual Complet
ion
Potential consequenc
es
NC1 Waste water treatment operators not trained in blower operation
Internal Audit
Complete training
JB 01/03/2011
Inefficient operations
NC2
NC3
NC4
NC5
CAPA #: ISSUE DATE: COMPLETION DATE:
Requested By:
Issued To:
Name Department Phone
Problem Statement: Including ISO 50001 Reference
Most Likely Causes:
Implemented Actions and Solutions: Completed by recipient, including dates
Results: Confirming effectiveness
Closed By: Closing Date:
If you have an effective corrective and preventive action
system in use for another management system and it is
effective, use it or replicate it!
Ensure root cause process is thorough and appropriate.
Corrective and preventive action detailed tracking is
important to ensure issues across a facility are evaluated
for similarities.
Corrective and preventive action tracking is key to ensure
timely resolution of issues.
Success Factors
Exercise 02
Review your notes from the planning exercise earlier.
Identify two potential non conformities that you may
expect to find tomorrow
Write two corrective actions requests.
In your groups, brainstorm solutions to the
nonconformities listed above. If necessary, use the 5
Whys to get to the root cause.
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
REVIEWING & SUSTAINING
THE SYSTEM
When do you make changes to the EnMS?
Remember, it’s all about energy performance!
SEUs
Energy data systems
Energy action plans
EnPIs
Objectives and targets
Review Significant Energy Uses
Add to the identified significant energy uses over
time, improving the efficiency and control of more
equipment, systems, and processes.
Major plant modifications, process changes or
technology improvements to SEU no longer make
it a priority
Drivers have changed dramatically – production
levels for a certain product have been reduced
and the SEU’s energy consumption is not
significant.
109
Review Energy Data systems
Changes/additions to SEUs –
require calibrated metering for
monitoring
Expanding scope - facility
upgrades and additional utility
meters
New energy sources – CHP,
renewables, fuel switching
Current meters are no longer
capable of measuring range
110
Review EnPIs
Changes / additions to SEUs
EnPIs no longer reflect
energy use and consumption
111
Changes to the energy baseline
Major scope changes for facility-wide EnPIs
Review Energy Action Plans
Not meeting targets
Plans not completed in a timely
manner:
• No resources
• No capital
• Unrealistic expectations
• Discouraged energy team
• Remove barriers
Project completion
Annually – capital budget cycle?
New objectives and targets
Review Objectives and Targets
• When old objectives and targets are met
• Change in top management sponsor
• New strategic plans
• Policy changes and long term goals change
• Resources for action plans are insufficient to
meet objectives and targets
• Output from management review
Review & sustain the EnMS
The EnMS is a system which requires
continual improvement to remain effective,
improve performance and sustain energy
savings.
“Continual improvement is an unending journey”
Lloyd Dobyns
TopicDuration
(mins)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 1
Registration 15 8:30 8:45
Welcome and opening remarks 10 8:45 8:55
Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45
Review Operations 5 45 9:45 10:35
Break 15 10:35 10:50
Overview of checking 15 10:50 11:05
Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55
Checking of Operational control 10 30 11:55 12:35
Lunch 45 12:35 13:20
Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05
Break 15 15:05 15:20
Non Conformances 30 15:20 15:50
Reviewing and sustaining the system 20 15:50 16:10
Certification to ISO 50001 20 16:10 16:30
Certification Process
ISO 50001
Typically 3 step Process
117
Stage 1
• Review of full system
• Identification of potential gaps in the management system
Doc Review
• Review of management system documentation (off site)
• Identification of potential gaps in the management system
Stage 2
• Review of full system
• Identification of issues and recommendation for certification
Certification Findings
Major Finding
– Systematic failure no recommendation for certification until the
issue has been adequately addressed
Minor Finding
– Failure of an element of the management system which if left
unaddressed could lead to a major systematic failure
Opportunities for improvement
– Audit observations which will improve the management system
118
Certification Bodies & Notes
Accreditation
ISO 19011
ISO 50003
119
Logistics discussions for
tomorrow
Day 1 End
UNIDO EnMS Module 3 – Day 2
Checking
The next slide is a suggested agenda for the internal audit.
Change it if appropriate for specific
conditions
TopicDuration
(hours)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 2
Opening Remarks Company Representative 15 9:00 9:15
Internal Audit Schedule review 5 9:15 9:20
Commitment 30 9:20 9:50
Break 15 9:50 10:05
Planning 45 10:05 10:50
Implementation and Operation 45 10:50 11:35
Lunch 45 11:35 12:20
Site Tour to review operational control 90 12:20 13:50
Checking and Management Review 30 13:50 14:20
Break 15 14:20 14:35
Review the Audit in group 30 14:35 15:05
Prepare Audit report 60 15:05 16:05
Daily Wrap up 5 16:05 16:10
UNIDO EnMS Module 3 – Day 3
Checking
Topic Duration
(hours)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 3
Team 1 Audit Review presentation 15 5 09:00 09:20
Team 2 Audit Review presentation 15 5 09:20 09:40
Q&A on internal audit process 40 09:40 10:20
Break 20 10:20 10:40
Review of a whole EnMS 35 10:40 11:15
test on module 3 75 11:15 12:30
Lunch 45 12:30 13:15
Optional review of any topic required by national
experts 90 13:15 14:45
Closing remarks 15 14:45 15:00
Refreshment and celebration 90 15:00 16:30
Total 2,83 2,08 2,58
Group 1 Audit Review Presentation
Group 2 Audit Review Presentation
Auditing Review Q&A
Similarities in audit findings
Alternative approaches
Lessons learned
Time constraints
Objective evidence
Delivery of findings
Team audit or led by one individual?
See you in 15 minutes!
Topic Duration
(hours)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 3
Team 1 Audit Review presentation 15 5 09:00 09:20
Team 2 Audit Review presentation 15 5 09:20 09:40
Q&A on internal audit process 40 09:40 10:20
Break 20 10:20 10:40
Review of a whole EnMS 35 10:40 11:15
test on module 3 75 11:15 12:30
Lunch 45 12:30 13:15
Optional review of any topic required by national
experts 90 13:15 14:45
Closing remarks 15 14:45 15:00
Refreshment and celebration 90 15:00 16:30
Total 2,83 2,08 2,58
All elements of the EnMS addressed
Logistics
75 minute test
PC required with Excel and data function
Open Book
No internet
No Phones
Multiple Choice
Attempt all Questions
Best of Luck
See you in 45 minutes!
Topic Duration
(hours)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 3
Team 1 Audit Review presentation 15 5 09:00 09:20
Team 2 Audit Review presentation 15 5 09:20 09:40
Q&A on internal audit process 40 09:40 10:20
Break 20 10:20 10:40
Review of a whole EnMS 35 10:40 11:15
test on module 3 75 11:15 12:30
Lunch 45 12:30 13:15
Optional review of any topic required by
national experts 90 13:15 14:45
Closing remarks 15 14:45 15:00
Refreshment and celebration 90 15:00 16:30
Total 2,83 2,08 2,58
Management System Q&A
Topic Duration
(hours)
Exercise
(mins)
Break
duration
Start
Time
End
Time
DAY 3
Team 1 Audit Review presentation 15 5 09:00 09:20
Team 2 Audit Review presentation 15 5 09:20 09:40
Q&A on internal audit process 40 09:40 10:20
Break 20 10:20 10:40
Review of a whole EnMS 35 10:40 11:15
test on module 3 75 11:15 12:30
Lunch 45 12:30 13:15
Optional review of any topic required by national
experts 90 13:15 14:45
Closing remarks 15 14:45 15:00
Refreshment and celebration 90 15:00 16:30
Total 2,83 2,08 2,58