Standard No.:	GB/T 23331-2020
English Name:	Energy management systems—Requirements with guidance for use
Chinese Name:	能源管理体系 要求及使用指南
Chinese Classification:	F01    Technical management
Professional Classification:	GB    National Standard
Issued by:	SAMR and SAMR
Issued on:	2020-11-19
Implemented on:	2021-6-1
Status:	valid
Superseding:	GB/T 23331-2012 Energy management systems—Requirements
Language:	English
File Format:	PDF
Word Count:	16500 words
Price(USD):	495.0
Delivery:	via email in 1 business day

Codeofchina.com is in charge of this English translation. In case of any doubt about the English translation, the Chinese original shall be considered authoritative. This standard is developed in accordance with the rules given in GB/T 1.1-2009. This standard replaces GB/T 23331-2012 Environmental management systems Requirements. In addition to editorial changes, the following main technical changes have been made with respect to GB/T 23331-2012: — Adoption of ISO’s requirements for management system standards, including a high-level structure, identical core text, and common terms and definitions; — Modification of the “terms and definitions”; — Clarification of document structure and language; — Better integration with strategic management processes; — Stronger emphasis on the role of top management; — Clarification of text related to exclusions of energy types, energy review requirements, energy performance indicators [EnPI(s)] and energy baselines EnB(s)]; — Introduction of the concept of normalization of energy performance indicators [EnPI(s)] and associated energy baselines [EnB(s)]; — Addition of details on the energy data collection plan and related requirements. This standard is identical to ISO 50001:2018 Environmental management systems -Requirements with guidance for use by means of translation. The following editorial modifications present in this standard: — Deletion of some annotations about reference documents of term sources; — Deletion of some annotations unrelated to the application in China; — Necessary supplements to some annotations. This standard was proposed by the National Development and Reform Commission of the People's Republic of China and the Standardization Administration of the People’s Republic of China. This standard is under the jurisdiction of SAC/TC 20 National Technical Committee 20 on Energy Fundamental and Management Standardization Administration of China. The previous editions replaced by this standard are as follows: — GB/T 23331-2009, GB/T 23331-2012. Introduction 0.1 General The aim of this document is to enable organizations to establish the systems and processes necessary to continually improve energy performance, including energy efficiency, energy use and energy consumption. This document specifies the energy management system (EnMS) requirements for an organization. Successful implementation of an EnMS supports a culture of energy performance improvement that depends upon commitment from all levels of the organization, especially top management. In many instances, this involves cultural changes within an organization. This document applies to the activities under the control of the organization. Its application can be tailored to fit the specific requirements of the organization, including the complexity of its systems, degree of documented information and available resources. This document does apply to the design and procurement of facilities, equipment, systems or energy-using processes within the scope and boundaries of the EnMS. This document does not apply to product use by end-users outside of the scope and boundaries of the EnMS, nor does it apply to product design outside of facilities, equipment, systems or energy-using processes. Development and implementation of an EnMS includes an energy policy, objectives and energy targets related to its energy efficiency, energy use, and energy consumption while meeting applicable legal requirements and other requirements. An EnMS enables an organization to set and achieve objectives and energy targets, to take actions as needed to improve its energy performance, and to demonstrate the conformity of its system to the requirements of this document. 0.2 Energy performance approach This standard provides systematic, data-oriented and fact-based process requirements, focusing on continuous improvement of energy performance. Energy performance is a key element integrated within the concepts introduced in this document in order to ensure effective and measurable results over time. Energy performance is a concept which is related to energy efficiency, energy use and energy consumption. Energy performance indicators (EnPIs) and energy baselines (EnBs) are two interrelated elements addressed in this document to enable organizations to demonstrate energy performance improvement. 0.3 Plan-Do-Check-Act (PDCA) cycle The EnMS described in this document is based on the Plan-Do-Check-Act (PDCA) continual improvement framework and incorporates energy management into existing organizational practices, as illustrated in Figure 1. In the context of energy management, the PDCA approach can be outlined as follows. — Plan: understand the context of the organization, establish an energy policy and an energy management team, consider actions to address risks and opportunities, conduct an energy review, identify significant energy uses (SEUs) and establish energy performance indicators (EnPIs), energy baseline(s) (EnBs), objectives and energy targets, and action plans necessary to deliver results that will improve energy performance in accordance with the organization's energy policy. — Do: implement the action plans, operational and maintenance controls, and communication, ensure competence and consider energy performance in design and procurement. — Check: monitor, measure, analyse, evaluate, audit and conduct management review(s) of energy performance and the EnMS. — Act: take actions to address nonconformities and continually improve energy performance and the EnMS Figure 1 Plan-Do-Check-Act Cycle 0.4 Compatibility with other management system standards This document conforms to ISO's requirements for management system standards, including a high-level structure, identical core text, and common terms and definitions, thereby ensuring a high level of compatibility with other management system standards. This document can be used independently. An organization can also choose to combine its EnMS with other management systems, or integrate its EnMS in the achievement of other business, environmental or social objectives. Two organizations carrying out similar operations, but having different energy performance, can both conform to the requirements of this document. This document contains the requirements used to assess conformity. Any organization that wishes to demonstrate conformity with this document can do so by: — Making an evaluation and self-declaration, or — Seeking confirmation of its conformance or self-declaration by interested parties, such as customers, or — Seeking certification/registration of its EnMS by an external organization. In this document, the following verbal forms are used: — “Shall” indicates a requirement; — “Should” indicates a recommendation; — “Can” indicates a possibility or a capability — “May” indicates a permission. Information marked as “Note” is intended to assist the understanding or use of the document. “Notes” used in Clause 3 provide additional information that supplements the terminological data and can contain requirements relating to the use of a term. 0.5 Benefits of this document Effective implementation of this document provides a systematic approach to improvement of energy performance that can transform the way organizations manage energy. By integrating energy management into business practice, organizations can establish a process for continual improvement of energy performance. By improving energy performance and associated energy costs, organizations can be more competitive. In addition, implementation can lead organizations to meet overall climate change mitigation goals by reducing their energy-related greenhouse gas emissions. Energy management systems — Requirements with guidance for use 1. Scope This document specifies requirements for establishing, implementing, maintaining and improving an energy management system (EnMS). The intended outcome is to enable an organization to follow a systematic approach in achieving continual improvement of energy performance and the EnMS. This document: a) Is applicable to any organization regardless of its type, size, complexity, geographical location, organizational culture or the products and services it provides; b) Is applicable to activities affecting energy performance that are managed and controlled by the organization; c) Is applicable irrespective of the quantity, use, or types of energy consumed; d) Requires demonstration of continual energy performance improvement, but does not define levels of energy performance improvement to be achieved; e) Can be used independently, or be aligned or integrated with other management systems. Annex A provides guidance for the use of this document. Annex B provides a comparison of this edition with the previous edition. 2 Normative references There are no normative references in this document. 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 Terms related to organization 3.1.1 organization person or group of people that has its own functions with responsibilities, authorities and relationships to achieve its objectives (3.4.13) Note 1: The concept of organization includes, but is not limited to, sole-trader, company, corporation, firm, enterprise, authority, partnership, charity or institution, community or part or combination thereof, whether incorporated or not, public or private. 3.1.2 top management person or group of people who directs and controls an organization (3.1.1) at the highest level Note 1: Top management is empowered to delegate authority and provide resources within the organization. Note 2: If the scope of the management system (3.2.1) covers only part of an organization, then top management refers to those who direct and control that part of the organization. Note 3: Top management controls the organization as defined within the EnMS scope (3.1.4) and boundaries (3.1.3) of the energy management system (3.2.2). 3.1.3 boundary physical or organizational limits Example: A process or a group of processes (3.3.6); a site; multiple sites under the control of an organization, or an entire organization (3.1.1). Note 1: The organization defines the boundary(ies) of its EnMS. 3.1.4 energy management system scope EnMS scope set of activities, which an organization (3.1.1) addresses through an energy management system (3.2.2) Note: The EnMS scope can include several boundaries (3.1.3) and can include transport operations 3.1.5 interested party stakeholders person or organization (3.1.1) that can affect, be affected by, or perceive itself to be affected by a decision or activity Example: Interested party can include customer, community, supplier, regulatory authority, NGO, investor and employee. 3.2 Terms related to management system 3.2.1 management system set of interrelated or interacting elements of an organization (3.1.1) to establish policies (3.2.3) and objectives (3.4.13) and processes (3.3.6) to achieve those objectives Note 1: A management system can address a single discipline or several disciplines. Note 2: The system elements include the organization’s structure, roles and responsibilities, planning and operation. Note 3: In some management systems, the scope of a management system can include the whole of the organization, specific and identified functions of the organization, specific and identified sections of the organization, or one or more functions across a group of organizations. The EnMS scope (3.1.4) includes all energy types within its boundaries (3.1.3). 3.2.2 energy management system energy management system; EnMS management system (3.2.1) to establish an energy policy (3.2.4), objectives (3.4.13), energy targets (3.4.15), action plans and process(es) (3.3.6) to achieve the objectives and energy targets 3.2.3 policy intentions and direction of an organization (3.1.1), as formally expressed by its top management (3.1.2) 3.2.4 energy policy statement by the organization (3.1.1) of its overall intention(s), direction(s), and commitment(s) related to its energy performance (3.4.3), as formally expressed by top management (3.1.2) 3.2.5 energy management team person(s) with responsibility and authority for effective implementation of an energy management system (3.2.2) and for delivering energy performance improvement (3.4.6) Note 1: The size and nature of an organization (3.1.1) and available resources are taken into account when determining the size of an energy management team. A single person can perform the role of the team. 3.3 Terms related to requirement 3.3.1 requirement need or expectation that is stated, generally implied or obligatory Note 1: “Generally implied” means that it is custom or common practice for the organization (3.1.1) and interested parties (3.1.5) that the need or expectation under consideration is implied. Note 2: A specified requirement is one that is stated, for example in documented information (3.3.5). 3.3.2 conformity fulfilment of a requirement (3.3.1) 3.3.3 nonconformity non-fulfilment of a requirement (3.3.1) 3.3.4 corrective action action to eliminate the cause of a nonconformity (3.3.3) and to prevent recurrence 3.3.5 documented information information required to be controlled and maintained by an organization (3.1.1) and the medium on which it is contained Note 1: Documented information can be in any format and media, and from any source. Note 2: Documented information can refer to: — The management system (3.2.1), including related processes (3.3.6); — Information created in order for the organization to operate (documentation); — Evidence of results achieved (records). 3.3.6 process set of interrelated or interacting activities which transform inputs into outputs Note 1: A process related to an organization’s (3.1.1) activities can be: — Physical (e.g. energy-using processes, such as combustion), or — Business or service (e.g. order fulfilment). 3.3.7 monitoring determining the status of a system, a process (3.3.6) or an activity Note 1: To determine the status, there can be a need to check, supervise or critically observe. Note 2: In an energy management system (3.2.2), monitoring can be a review of energy data. 3.3.8 audit systematic, independent and documented process (3.3.6) for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled Note 1: An audit can be an internal audit (first party) or an external audit (second party or third party), and it can be a combined audit (combining two or more disciplines). Note 2: An internal audit is conducted by the organization (3.1.1) itself, or by an external party on its behalf. Note 3: “Audit evidence” and “audit criteria” are defined in GB/T 19011. Note 4: The term “audit” as defined here and as used in this document means the internal audit of an energy management system (3.2.2). This is different from an “energy audit”. In this definition, “audit evidence” means evidence from an internal audit of the energy management system, and not evidence from an energy audit. 3.3.9 outsource make an arrangement where an external organization (3.1.1) performs part of an organization’s function or process (3.3.6) Note 1: While an external organization is outside the scope of the management system (3.2.1), the outsourced function or process is within the scope. 3.4 Terms related to performance 3.4.1 measurement process (3.3.6) to determine a value 3.4.2 performance measurable result Note 1: Performance can relate either to quantitative or qualitative findings. Note 2: Performance can relate to the management of activities, processes (3.3.6), products (including services), systems or organizations (3.1.1). 3.4.3 energy performance measurable result(s) related to energy efficiency (3.5.3), energy use (3.5.4) and energy consumption (3.5.2) Note 1: Energy performance can be measured against the organization’s (3.1.1) objectives (3.4.13), energy targets (3.4.15) and other energy performance requirements. Note 2: Energy performance is one component of the performance (3.4.2) of the energy management system (3.2.2). 3.4.4 energy performance indicator; EnPI measure or unit of energy performance (3.4.3), as defined by the organization (3.1.1) Note 1: EnPI(s) can be expressed by using a simple metric, ratio, or a model, depending on the nature of the activities being measured. Note 2: See GB/T 36713 for additional information on EnPI(s). 3.4.5 energy performance indicator value EnPI value quantification of the EnPI (3.4.4) at a point in or over a specified period of time 3.4.6 energy performance improvement improvement in measurable results of energy efficiency (3.5.3), or energy consumption (3.5.2) related to energy use (3.5.4), compared to the energy baseline (3.4.7) 3.4.7 energy baseline; EnB quantitative reference(s) providing a basis for comparison of energy performance (3.4.3) Note 1: An energy baseline is based on data from a specified period of time and/or conditions, as defined by the organization (3.1.1). Note 2: One or more energy baselines are used for determination of energy performance improvement (3.4.6), as a reference before and after, or with and without implementation of energy performance improvement actions. Note 3: See ISO 50015 for additional information on measurement and verification of energy performance. Note 4: See GB/T 36713 for additional information on EnPIs and EnBs. 3.4.8 static factor identified factor that significantly impacts energy performance (3.4.3) and does not routinely change Note 1: Significance criteria are determined by the organization (3.1.1). Example: Facility size; design of installed equipment; number of weekly shifts; range of products. 3.4.9 relevant variable quantifiable factor that significantly impacts energy performance (3.4.3) and routinely changes Note 1: Significance criteria are determined by the organization (3.1.1). Example: Weather conditions, operating conditions (indoor temperature, light level), working hours, production output. 3.4.10 normalization modification of data to account for changes to enable comparison of energy performance (3.4.3) under equivalent conditions 3.4.11 risk effect of uncertainty Note 1: An effect is a deviation from the expected – positive or negative. Note 2: Uncertainty is the state, even partial, of deficiency of information related to, understanding or knowledge of, an event, its consequence, or likelihood. Note 3: Risk is often characterized by reference to potential “events” (as defined in 4.5.1.3 in GB/T 23694-2013) and “consequences” (as defined in 4.6.1.3 in GB/T 23694-2013), or a combination of these. Note 4: Risk is often expressed in terms of a combination of the consequences of an event (including changes in circumstances) and the associated “likelihood” (as defined in 4.6.1.1 in GB/T 23694-2013) of occurrence. 3.4.12 competence ability to apply knowledge and skills to achieve intended results 3.4.13 objective result to be achieved Note 1: An objective can be strategic, tactical, or operational. Note 2: Objectives can relate to different disciplines (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and process (3.3.6)). Note 3: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an operational criterion, as an energy objective, or by the use of other words with similar meaning (e.g. aim, goal). Note 4: In the context of energy management systems (3.2.2), objectives are set by the organization (3.1.1), consistent with the energy policy (3.2.4), to achieve specific results. 3.4.14 effectiveness extent to which planned activities are realized and planned results achieved 3.4.15 energy target quantifiable objective (3.4.13) of energy performance improvement (3.4.6) Note 1: An energy target can be included within an objective. 3.4.16 continuous improvement recurring activity to enhance performance (3.4.2) Note 1: The concept relates to the improvement of energy performance (3.4.3) and the energy management system (3.2.2). 3.5 Terms related to energy 3.5.1 energy electricity, fuels, steam, heat, compressed air and other similar media Note 1: For the purposes of this document, energy refers to the various types of energy, including renewable, which can be purchased, stored, treated, used in an equipment or in a process, or recovered. 3.5.2 energy consumption quantity of energy (3.5.1) applied 3.5.3 energy efficiency ratio or other quantitative relationship between an output of performance (3.4.2), service, goods, commodities, or energy (3.5.1), and an input of energy Example: Conversion efficiency; energy required/energy consumed. Note 1: Both input and output should be clearly specified in terms of quantity and quality and be measurable. 3.5.4 energy use application of energy (3.5.1) Example: Ventilation; lighting; heating; cooling; transportation; data storage; production process. Note 1: Energy use is sometimes referred to as “energy end-use”. 3.5.5 energy review analysis of energy efficiency (3.5.3), energy use (3.5.4) and energy consumption (3.5.2) based on data and other information, leading to identification of SEUs (3.5.6) and opportunities for energy performance improvement (3.4.6) 3.5.6 significant energy use; SEU energy use (3.5.4) accounting for substantial energy consumption (3.5.2) and/or offering considerable potential for energy performance improvement (3.4.6) Note 1: Significance criteria are determined by the organization (3.1.1). Note 2: SEUs can be facilities, systems, processes, or equipment. 4 Context of the organization 4.1 Understanding the organization and its context The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its EnMS and improve its energy performance. 4.2 Understanding the needs and expectations of interested parties The organization shall determine: a) The interested parties that are relevant to energy performance and the EnMS; b) The relevant requirements of these interested parties; c) Which of the identified needs and expectations the organization addresses through its EnMS. The organization shall: — Ensure that it has access to the applicable legal requirements and other requirements related to its energy efficiency, energy use and energy consumption; — Determine how these requirements apply to its energy efficiency, energy use and energy consumption; — Ensure that these requirements are taken into account; — Review at defined intervals its legal requirements and other requirements. Note: For additional information on compliance management, see GB/T 35770.

Foreword a Introduction i 1. Scope 2 Normative references 3 Terms and definitions 3.1 Terms related to organization 3.2 Terms related to management system 3.4 Terms related to performance 3.5 Terms related to energy 4 Context of the organization 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the energy management system 4.4 Energy management system 5 Leadership 5.1 Leadership and commitment 5.2 Energy policy 5.3 Organization roles, responsibilities and authorities 6 Planning 6.1 Actions to address risks and opportunities 6.2 Objectives, energy targets and planning to achieve them 6.3 Energy review 6.4 Energy performance indicators 6.5 Energy baseline 6.6 Planning for collection of energy data 7 Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.5 Documented information 7.5.1 General 7.5.2 Creating and updating 7.5.3 Control of Documented Information 8 Operation 8.1 Operational planning and control 8.2 Design 8.3 Procurement 9 Performance evaluation 9.1.1 General 9.1.2 Evaluation of compliance with legal regulations and other requirements 9.2 Internal audit 9.3 Management review 10 Improvement 10.1 Nonconformities and corrective action 10.2 Continual improvement Annex A (Informative) Guidance for use Annex B (Informative) Correspondence between GB/T 23331-2012 and GB/T 23331- Bibliography