标准编号:	GB/T 23331-2020
中文名称:	能源管理体系 要求及使用指南
英文名称:	Energy management systems—Requirements with guidance for use
中标分类:	F01    技术管理
行业分类:	GB    国家标准
ICS分类:	27.010 27.010    能源和热传导工程综合 27.010
发布机构:	国家市场监督管理总局 国家标准化管理委员会
发布日期:	2020-11-19
实施日期:	2021-6-1
标准状态:	现行
替代旧标准:	GB/T 23331-2012 能源管理体系　要求
翻译语言:	英文
文件格式:	PDF
中文字符数:	33000 字
翻译价格(元):	2310.00 元
交付时间:	付款后 1 个工作日

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

能源管理体系 要求及使用指南
1 范围
本标准规定了建立、实施、保持和改进能源管理体系的要求，旨在使组织通过系统方法实现能源绩效和能源管理体系的持续改进。
本标准：
a)适用于任何组织，无论其类型、规模、复杂程度、地理位置、组织文化或其提供的是何种产品和服务；
b)适用于由组织管理和控制的影响能源绩效的活动；
c)适用于任何数量、用途或种类的能源消耗；
d)要求证实持续的能源绩效改进，但未规定实现能源绩效改进的程度；
e)可单独使用，或与其他管理体系协调或融合。
附录A提供了本标准的使用指南。附录B提供了本标准与旧版标准的对照。
2规范性引用文件
本文件没有规范性引用文件。
3术语和定义
下列术语和定义适用于本文件。
3.1 与组织有关的术语
3.1.1
组织 organization
为实现目标(3.4.13)，由职责、权限和相互关系构成自身功能的一个人或一组人。
注：组织包括但不限于个体经营者、公司、集团公司、商行、企事业单位、政府机构、台股经营的公司、公益机构、社团，或上述单位中的一部分或结合体，无论其是否有法人资格、公营或私营。
3.1.2
最高管理者top management
在最高层指挥并控制组织(3.1.1)的一个人或一组人。
注1：最高管理者有权在组织内部授权并提供资源。
注2：若管理体系(3.2.1)的范围仅覆盖组织的一部分，则最高管理者是指那些指挥并控制组织该部分的人员。
注3：最高管理者在能源管理体系(3.2.2)的能源管理体系范围(3.1.4)和边界(3.1.3)内控制组织。
3.1.3
边界 boundary
物理或组织界限。
示例：一个或一组过程(3.3.6)，一个场所、一个组织所控制的多个场所或一个完整的组织(3.1.1)。
注：能源管理体系的边界由组织确定。
3.1.4
能源管理体系范围 energy management system scope
EnMS范围
组织(3.1.1)通过能源管理体系(3.2.2)管理的一系列活动。
注：能源管理体系范围可能包括多个边界(3.1.3)，也可能包括运输业务。
3.1.5
相关方 interested party
利益相关方 stakeholder
能够影响决策或活动、受决策或活动影响，或感觉自身受到决策或活动影响的个人或组织(3.1.1)。
示例：相关方可包括顾客、社区、供方、监管部门、非政府组织、投资方和员工。
3.2与管理体系有关的术语
3.2.1
管理体系 management system
组织(3.1.1)用于建立方针(3.2.3)、目标(3.4.1 3)以及实现这些目标的过程(3.3.6)的相互关联或相互作用的一组要素。
注1：一个管理体系可关注一个或多个领域(例如：质量、环境、能源、职业健康和安全等)。
注2；体系要素包括组织的结构、角色和职责、策划和运行、绩效评价和改进。
注3：管理体系的范围可能包括整个组织、其特定的职能、其特定的部门，或跨组织的一个或多个职能。能源管理体系范围(3.1.4)包括在其边界(3.1.3)内的全部能源种类。
3.2.2
能源管理体系 energy management system；EnMS
建立能源方针(3.2.4)、目标(3.4.13)、能源指标(3.4.15)、措施计划和过程(3.3.6)，以实现目标和能源指标的管理体系(3.2.1)。
3.2.3
方针policy
由最高管理者(3.1.2)正式表述的组织(3.1.1)的意图和方向。
3.2.4
能源方针 energy policy
由最高管理者(3.1.2)正式表述的，有关能源绩效(3.4.3)的整体意图、方向和承诺的组织(3.1.1)声明。
3.2.5
能源管理团队 energy management team
经授权负责有效实施能源管理体系(3.2.2)和实现能源绩效改进(3.4.6)的人员。
注：在决定能源管理团队规模的时候要考虑组织(3.1.1)的规模和性质，及可用资源。一个人也能够以团队的角色发挥作用。
3.3与要求有关的术语
3.3.1
要求 requirement
明示的、通常隐含的或必须满足的需求或期望。
注1：“通常隐含的”是指对组织(3.1.1)和相关方(3.1.5)而言是惯例或一般做法.所考虑的需求或期望是不言而喻的。
注2：规定要求指明示的要求，例如：文件化信息(3.3.5)中规定的要求。
3.3.2
符合 conformity
满足要求(3.3.1)。
3.3.3
不符合 nonconformity
未满足要求(3.3.1)。
3.3.4
纠正措施 corrective action
为消除不符合(3.3.3)的原因并预防再次发生所采取的措施。
3.3.5
文件化信息documented information
组织(3.1.1)需要控制并保持的信息，以及承载信息的载体。
注1：文件化信息可能以任何形式和承载载体存在，并可能来自任何来源。
注2：文件化信息可能涉及：
——管理体系(3.2.1)，包括相关过程(3.3.6)；
——为组织运行而创建的信息(可能被称为文件)；
——实现结果的证据(可能被称为记录)。
3.3.6
过程process
将输入转化为输出的一系列相互关联或相互作用的活动。
注：与组织(3.1.1)活动相关的过程可能为：
——物理过程(例如：能源使用过程.如燃烧)；
——经营或服务(例如：订单履行)。
3.3.7
监视 monitoring
确定体系、过程(3.3.6)或活动的状态。
注1：为了确定状态，可能需要实施检查、监督或细致观察。
注2：在能源管理体系(3.2.2)中，监视可能是能源数据的评审。
3.3.8
审核 audit
获取审核证据并予以客观评价，以判定审核准则满足程度的系统的、独立的、形成文件的过程(3.3.6)。
注1：审核可能是内部审核(第一方审核)或外部审核(第二方或第三方审核)，也可能是结合审核(结合两个或多个领域)。
注2：内部审核由组织(3.1.1)自行实施执行或由外部其他方代表其实施。
注3：“审核证据”和“审核准则”的定义见GB/T 19011。
注4：这里定义的和本标准中使用的术语“审核”意指能源管理体系(3.2.2)内部审核，不同于“能源审计”。在本定义中，“审核证据”意指能源管理体系内部审核的证据，而并非意指能源审计的证据。
3.3.9
外包 outsource
安排外部组织(3.1.1)承担组织的部分职能或过程(3.3.6)。
注：虽然外部组织处在管理体系(3.2.1)范围之外，但是外包的职能或过程是在范围之内。
3.4与绩效有关的术语
3.4.1
测量 measurement
确定数值的过程(3.3.6)。
3.4.2
绩效performance
可测量的结果。
注1：绩效可能涉及定量或定性的结果。
注2：绩效可能与活动、过程(3.3.6)、产品(包括服务)、体系或组织(3.1.1)的管理有关。
3.4.3
能源绩效 energy performance
与能源效率(3.5.3)、能源使用(3.5.4)和能源消耗(3.5.2)有关的、可测量的结果。
注1：可针对组织(3.1.1)的目标(3.4.13)、能源指标(3.4.15)和其他能源绩效要求测量能源绩效。
注2：能源绩效是能源管理体系(3.2.2)的绩效(3.4.2)的一部分。
3.4.4
能源绩效参数 energy performance indicator；EnPI
由组织(3.1.1)确定的能源绩效(3.4.3)的度量或单位。
注1：依据被测量的活动属性，能源绩效参数可能以一个简单的度量单位、比率或一个模型表示。
注2：更多能源绩效参数的信息，可参考GB/T 36713。
3.4.5
能源绩效参数值 energy performance indicator value
EnPI值
在某一时间节点或特定时段内，能源绩效参数(3.4.4)的量化数值。
3.4.6
能源绩效改进 energy performance improvement
同能源基准(3.4.7)比较，与能源使用(3.5.4)相关的能源效率(3.5.3)或能源消耗(3.5.2)的可测量结果的改进。
3.4.7
能源基准 energy baseline；EnB
用作比较能源绩效(3.4.3)的定量参考依据。
注1：能源基准由组织(3.1.1)确定，基于特定时段和/或条件的数据。
注2：一个或多个能源基准作为实施能源绩效改进措施前后(或者实施与未实施能源绩效改进措施)的参照，用于确定能源绩效改进(3.4.6)。
注3：更多能源绩效测量和验证的信息，可参考ISO 50015。
注4：更多能源绩效参数和能源基准的信息，可参考GB/T 36713。
3.4.8
静态因素 static factor
对能源绩效(3.4.3)有显著影响且不经常变化的已知因素。
注：“显著”的判定准则由组织(3.1.1)确定。
示例：设施规模、安装设备的设计、每周轮班次数、产品范围。
3.4.9
相关变量 relevant variable
对能源绩效(3.4.3)有显著影响且经常变化的、可量化的因素。
注：“显著”的判定准则由组织(3.1.1)确定。
示例：天气条件、运行条件(室内温度、光照水平)、工作时间、生产量。
3.4.10
归一化 normalization
为了在同等条件下比较能源绩效(3.4.3)，修正数据来反映变化。
3.4.11
风险 risk
不确定性的影响。
注1：影响是指对预期的偏离——正面的或负面的。
注2：不确定性是一种状态，是指对某一事件、其后果或其发生的可能性缺乏(包括部分缺乏)信息、理解或知识。
注3：通常用潜在“事件”(见GB/T 23694—2013中的4.5.1.3)和“后果”(见GB/T 23694—2013中的4.6.1.3)，或两者的结合来描述风险的特性。
注4：风险通常以事件后果(包括环境的变化)与相关的事件发生的“可能性”(见GB/T 23694—2013中的4.6.1.1)的组合来表示。
3.4.12
能力 competence
运用知识和技能实现预期结果的本领。
3.4.13
目标 objective
要实现的结果。
注1：目标可能是战略性的、战术性的或运行层面的。
注2：目标可能涉及不同的专业领域(例如：财务、健康和安全以及环境的目标)，并能够应用于不同层而[例如：战略性的、组织层面的、项目、产品和过程(3.3.6)]。
注3：目标可能以其他方式来表述，如：预期结果、意阁、运行准则，能源目标，或使用其他近义词(例如：目的等)。
注4：在能源管理体系(3.2.2)的框架下，由组织(3.1.1)设定符合能源方针(3.2.4)的目标，以实现特定结果。
3.4.14
有效性 effectiveness
实现策划的活动和取得策划的结果的程度。
3.4.15
能源指标 energy target
能源绩效改进(3.4.6)的可量化的目标(3.4.13)。
注：能源指标可包括在目标中。
3.4.16
持续改进 continual improvement
不断提升绩效(3.4.2)的活动。
注：本概念与能源绩效(3.4.3)和能源管理体系(3.2.2)的改进有关。
3.5与能源有关的术语
3.5.1
能源 energy
电、燃料、蒸汽、热力、压缩空气以及其他类似介质。
注：就本标准而言，能源包括可再生能源在内的各种形式，可被购买、贮存、处置、在设备或过程中使用以及被回收利用。
3.5.2
能源消耗 energy consumption
使用能源(3.5.1)的量。
3.5.3
能源效率 energy efficiency
输出的绩效(3.4.2)、服务、产品、商品或能源(3.5.1)，与输入的能源之比或其他数量关系。
示例：转换效率；所需能源/所消耗的能源。
注：输入和输出都宜在数量及质量方面进行详细说明，并且可测量。
3.5.4
能源使用 energy use
能源(3.5.1)的应用。
示例：通风、照明、加热、制冷、运输、数据存储、生产过程。
注：能源使用有时指“终端用能”。
3.5.5
能源评审 energy review
基于数据和其他信息，分析能源效率(3.5.3)、能源使用(3.5.4)和能源消耗(3.5.2)，以识别主要能源使用(3.5.6)和能源绩效改进(3.4.6)的机会。
3.5.6
主要能源使用 significant energy use；SEU
能源消耗(3.5.2)量大和/或在能源绩效改进(3.4.6)方面有较大潜力的能源使用(3.5.4)。
注1：主要能源使用的判定准则由组织(3.1.1)决定。
注2：主要能源使用可能是设施、系统、过程或设备。
4组织所处的环境
4.1 理解组织及其所处的环境
组织应确定与其宗旨相关并影响其实现能源管理体系预期结果和改进能源绩效的能力的外部和内部因素。
4.2理解相关方的需求和期望
组织应确定：
a)与能源绩效和能源管理体系有关的相关方；
b)相关方的有关要求；
c)组织需通过能源管理体系落实的需求和期望。
组织应：
——确保获取与其能源效率、能源使用和能源消耗有关的适用的法律法规及其他要求；
——确定如何将这些要求应用于其能源效率、能源使用和能源消耗；
——确保考虑到这些要求；
——按规定的时间间隔对法律法规及其他要求进行评审。
注：更多合规管理的信息，可参考GB/T 35770。
4.3确定能源管理体系的范围
组织应确定能源管理体系的边界和适用性，以确定其范围。
在确定能源管理体系范围时，组织应考虑：
a)4.1所提及的外部和内部因素；
b)4.2所提及的要求。
组织应确保有权限控制其范围和边界内的能源效率、能源使用和能源消耗。组织不应排除其范围和边界内的任何一种能源。
能源管理体系的范围和边界应作为文件化信息予以保持(见7.5)。
4.4能源管理体系
组织应根据本标准的要求，建立、实施、保持并持续改进能源管理体系，包括所需的过程及其相互作用，并持续改进能源绩效。
注：不同组织所需的过程可能不同，取决于：
——组织的规模和活动、过程、产品和服务的类型；
——过程及其相互作用的复杂程度；
——人员的能力。
5领导作用
5.1领导作用和承诺
在持续改进能源绩效和能源管理体系有效性方面，最高管理者应通过以下方面证实其领导作用和承诺：
a)确保建立能源管理体系的范围和边界；
b)确保建立能源方针(见5.2)、目标和能源指标(见6.2)，并与组织的战略方向一致；
c)确保将能源管理体系要求融入组织的业务过程；
注：本标准所提及的“业务”可广义地理解为涉及组织存在目的的那些核心活动。
d)确保措施计划得以批准和实施；
e)确保提供能源管理体系所需的资源；
f)就有效能源管理的重要性和符合能源管理体系要求的重要性进行沟通；
g)确保能源管理体系实现其预期结果；
h)促进能源绩效和能源管理体系的持续改进；
i)确保组建能源管理团队；
j)指导并支持员工为能源管理体系的有效性和能源绩效改进做出贡献；
k)支持其他相关管理人员在其职责范围内证实其领导作用；
l)确保能源绩效参数恰当地反映能源绩效；
m)确保建立和实施过程，以识别和应对能源管理体系范围和边界内影响能源管理体系和能源绩效的变化。
5.2能源方针
最高管理者应制定能源方针，能源方针应：
a)适合于组织的宗旨；
b)为设定和评审目标、能源指标(见6.2)提供框架；
c)包括确保获得信息和必要资源的承诺，以实现目标和能源指标；
d)包括满足与能源效率、能源使用和能源消耗有关的适用法律法规及其他要求(见4.2)的承诺；
e)包括持续改进(见10.2)能源绩效和能源管理体系的承诺；
f)支持影响能源绩效的节能产品和服务的采购(见8.3)；
g)支持考虑能源绩效改进的设计(见8.2)活动。
能源方针应：
——是可获取的文件化信息(见7.5)；
——在组织内得到沟通；
——在适宜时可为相关方获取；
——定期评审，必要时更新。
5.3组织的角色、职责和权限
最高管理者应确保在组织内分配并沟通相关角色的职责和权限。
最高管理者应向能源管理团队分配职责和权限，以：
a)确保建立、实施、保持和持续改进能源管理体系；
b)确保能源管理体系符合本标准的要求；
c)实施措施计划(见6.2)以持续改进能源绩效；
d)按规定的时间间隔向最高管理者报告能源管理体系的绩效和能源绩效的改进；
e)建立所需的准则和方法，以确保能源管理体系的有效运行和控制。
6 策划
6.1 应对风险和机遇的措施
6.1.1 策划能源管理体系时，组织应考虑4.1提及的因素和4.2提及的要求，并对影响能源绩效的活动和过程进行评审。策划应与能源方针保持一致，并应采取能够实现能源绩效持续改进的措施。组织应确定需要应对的风险和机遇，以：
——保证能源管理体系能够实现其预期结果，包括能源绩效改进；
——预防或减少不期望的影响；
——实现能源管理体系和能源绩效的持续改进。
注：图A.2给出了说明能源策划过程的概念图。
6.1.2组织应策划：
a)应对这些风险和机遇的措施；
b)如何：
1)在其能源管理体系和能源绩效改进过程中，融入并实施这些措施；
2)评价这些措施的有效性。
6.2 目标、能源指标及其实现的策划
6.2.1 组织应针对其相关职能和层次建立目标。组织应建立能源指标。
6.2.2 目标和能源指标应：
a)与能源方针一致(见5.2)；
b)可测量(可行时)；
c)必须考虑适用的要求；
d)考虑主要能源使用(见6.3)；
e)必须考虑改进能源绩效(见6.3)的机会；
f)得到监视；
g)予以沟通；
h)适当时予以更新。
组织应保留目标和能源指标的文件化信息(见7.5)。
6.2.3 策划如何实现其目标和能源指标时，组织应建立和保持措施计划，内容包括：
——要做什么；
——需要什么资源；
——由谁负责；
——何时完成；
——如何评价结果，包括验证能源绩效改进的方法(见9.1)。
组织应考虑如何将实现目标和能源指标的措施融入其业务过程中。组织应将措施计划作为文件化信息(见7.5)予以保留。
6.3能源评审
组织应开展和实施能源评审。
开展能源评审，组织应：
a)基于测量和其他数据，分析能源使用和能源消耗，包括：
1)识别当前的能源种类(见3.5.1)；
2)评价过去和现在的能源使用和能源消耗。
b)基于分析，识别主要能源使用(见3.5.6)。
c)对每一个主要能源使用：
1)确定相关变量；
2)确定当前的能源绩效；
3)识别在组织控制下对主要能源使用有直接或间接影响的工作人员。
d)确定改进能源绩效的机会，并进行排序。
e)评估未来的能源使用和能源消耗。
能源评审应按照规定的时间间隔更新。当设施、设备、系统或用能过程发生重大变化时，能源评审应更新。
组织应保持用于开展能源评审的方法和准则的文件化信息，还应保留能源评审结果的文件化信息。
6.4能源绩效参数
组织应确定能源绩效参数：
a)适合于测量和监视其能源绩效；
b)能使组织证实其能源绩效改进。
用于确定和更新能源绩效参数的方法应保持为文件化信息(见7.5)。如果组织有数据表明，相关变量对能源绩效有显著影响，组织应考虑这些数据以建立适当的能源绩效参数。
适当时，组织应对能源绩效参数值进行评审，并与相应的能源基准进行比较。组织应保留能源绩效参数值的文件化信息。
6.5 能源基准
组织应使用能源评审(见6.3)的信息，必须考虑合适的时段，建立能源基准。
如果有数据表明相关变量对能源绩效有显著影响，组织应对能源绩效参数值和相应的能源基准进行归一化。
注：根据活动的性质，归一化可能是一个简单的调整，也可能是一个更复杂的程序。
当出现以下一种或多种情况时，应对能源基准进行调整：
a)能源绩效参数不再反映组织的能源绩效；
b)静态因素发生了重大变化；
c)依据预先确定的方法。
组织应保留能源基准、相关变量数据和对能源基准调整的文件化信息(见7.5)。
6.6能源数据收集的策划
对运行中影响能源绩效的关键特性，组织应确保按规定的时间间隔对其进行识别、测量、监视和分析(见9.1)。组织应制定并实施能源数据收集计划，计划要适合其规模、复杂程度、资源及其测量和监测设备。该计划应规定监测其关键特性所需的数据，并说明收集、保留这些数据的方式和频次。