2022 ViewPoint Espresso report on Energy

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Espresso report on audit findings
management systems # 3, November 2022

The Espresso report is turning its focus to audit findings. What are companies struggling with these days? Where are the most common failures and root causes?

Throughout this mini-series, we will check how companies do in the following areas:

Quality (May 2022)

Environment (September 2022)

Energy (November 2022)

In the case where the area is a recurring ViewPoint Espresso topic - we will, when possible, compare data to reveal any changes over time. Our objective is to provide insight on what enterprise risks may be top of mind for companies around the world.

Pulse Check 2022

Setting the scene

Topic in focus

This time around, we look at risks and opportunities for companies with an energy management system certified to ISO 50001.

ISO 50001 chapters analysed:

of the organization

• The report shares insight on the distribution of findings and nonconformities overall and per chapter.

What are the issues that cause companies most problems and thus what are the areas that should be at the centre of attention and improvement efforts?

Analysing audit data from all energy management system audits performed by DNV in 2021 and half of 2022, we take you on a deep dive through the chapters, clauses and sub-clauses of ISO 50001.

• You first get an overview of the percentage (%) of companies with findings and non-conformities and how these are distributed across the chapters.

• Then we look more closely at the distribution of findings and nonconformities for each chapter, revealing the areas with which most companies struggle.

• The data upon which the analysis is based is extracted from Lumina™ , DNV’s management system certification performance benchmarking tool.

What did we find?

• However, ISO 50001, being a relatively young standard with stringent technical requirements, may make compliance a real challenge for some.

• Chapters 6 Planning and 9 Performance evaluation cause most concern and cause half of more of the top 10 findings and non-conformities.

• Many companies should spend more time on 6.3 Energy as a major non-conformity could lead to suspension.

• Findings against 9.1. Monitoring, measurement, analysis and evaluation may indicate that many could gain from investing in more reliable meters and metrics.

4. Context
5. Leadership 6. Planning 7. Support 8. Operation 9. Performance
• 2.5% struggle with 10.2 Continual improvement and thus struggling to maintain certification. 10. Improvement
How to read this report

Distribution of findings and non-conformities per chapter

• For ISO 50001 certified companies, findings are most frequently found in chapters 6 Planning (83.8%) and 9 Performance evaluation (72.3%). For about 25% of the companies, these findings are non-conformities.

• The runner ups are chapters 8 Operation and 7 Support. For chapter 8 Operation, a total of 56.1% of the companies receive findings (15% are nonconformities). For chapter 7 Support, the total is 51.1% (13% are non-conformities).

• If comparing to ISO 14001 (environment), there are significantly more audit findings for ISO 50001 for chapters 4 Context of the organization (33% vs. 15%) and 5 Leadership (19% vs. 12%).

4 Energy –

Energy – Distribution of findings and non-conformities

Chapters 4 Context of the organization & 5 Leadership

• Chapter 4 Context of the organization does not register a high frequency of findings overall (33.2%).

• However, when comparing to the ISO 14001 standard, companies certified to ISO 50001 have far more findings in all clauses under chapter 4. It could be indicative of energy management systems being younger. The ISO 50001 standard was published in 2009 whereas ISO 14001 originate back to 1996.

• Most findings (21%) are registered against 4.2 Understanding the needs and expectations of interested parties while 11.4% have findings related to clause 4.1 Understanding the organization and its context.

• Chapter 5 Leadership has requirements to ensure an effective management system. Clause 5.3 Organizational roles, responsibilities and authorities registers the most findings (11.2%).

• Worth noting is that 5.3% receive findings related to clause 5.1 Leadership and commitment. For ISO 14001 it is only slightly above 2%. Again, it may be due to the energy management systems age.


Energy – Distribution of findings and non-conformities

Chapters 6 Planning & 7 Support

• Chapter 6 Planning is at the core of ISO 50001 and where most companies record findings (83.8%). Out of the Top 10 non-conformities four stem from here.

• Clause 6.3 Energy review causes the most issues (47.5%). It is the main technical component of an energy management system and requires identification of energy types, energy uses, consumption and improvement opportunities. A major non-conformity here is likely to results in suspension.

• Clause 6.2 Objectives, energy targets and planning to achieve register 41.3% findings. For ISO 14001, the number is 25.4%. This could be because measurements - objectives and targets - are core to successful energy management while environmental management concentrates more on the improvement processes.

• In chapter 7 Support, clauses 7.2 Competence covering provision of competent resources (24.6%) and 7.5 Documented information (22.1%) are areas where companies most frequently need to improve. Numbers mirror those found for ISO 14001, indicating that support is essential to both.



Distribution of findings and non-conformities

Chapters 8 Operation & 9 Performance evaluation

• For chapter 8 Operation 56.1% end the audit with at least one finding here.

• Most findings are registered against clause 8.1 Operational planning and control (45.7%).

• This chapter has two clauses that are specific to ISO 50001, i.e. 8.2 Design (11.4%) and 8.3 Procurement (20.5%).

• Chapter 9 Performance evaluation pose challenges for as many as than 72.3% of the companies.

• Especially, 9.1 Monitoring, measurement, analysis and evaluation is challenging with 61% registering findings. This clause covers energy consumption measurement and analysis.

• An energy management system is most reliable when consumption is accurately monitored. The measurement granularity depends upon a reliable meter, which requires adequate resource investments. This may be the reason why findings here are much higher than for the same clause in ISO 14001 (61% vs. 39%).


Energy – Distribution of findings and non-conformities

Chapter 10 Improvement

• Chapter 10 Improvement covers continual improvement of the energy management system and its performances over time.

• Although this chapter does not have the highest frequency of findings (26.7%) overall, clause 10.1 Non-conformity and corrective action is cause for concern as 17.8% struggle to meet the requirements.

• For ISO 50001, continual improvement is a perquisite to get certified. A non-conformity here is automatically defined as a Major NC, while for ISO 14001 it is not. Around 2.5% have nonconformities related to clause 10.2 Continual improvement, meaning that they are struggling to maintain their ISO 50001 certificate. This is 10% points higher than for ISO 14001.



Distribution of findings and non-conformities

Top 10 issues at sub-clause level

• When analyzing the Top 10 lists of most common findings and most common non conformities, sub-clauses in chapters 6 Planning and 9 Performance evaluation stand out.

• Sub-clause 6.3 Energy review tops both the most common findings and non-conformities lists. Being the main technical component of an energy management system, a major nonconformity here is likely to results in suspension.

• The next two most common findings are:

• 9.1.0 Monitoring, measurement and analysis

• 8.1.0 Operational planning and control

• While the runner ups on the most common nonconformities list are:

• 6.5.0 Energy baseline

• 9.1.0 Monitoring, measurement and analysis

DNV © 9

Methodology and sample

2021 2022

This Espresso report is based on energy management system certification audits to ISO 50001 performed by DNV in 2021 and first half of 2022, covering all industry sectors.

Want to know more?

The data analysed in the survey is an extract from the Lumina™ App, DNV’s intelligence benchmarking suite.

The app provides you more in-depth high-level statistics on failures for any given standard, peer and internal benchmarking, and trend line analysis. This insight supports detailed planning of improvement paths and measurement follow up, for example.


This report is based on more than 5,000 audit findings from 500+ companies worldwide.

The data stems from Business Assurance customers in DNV and does not claim to be statistically representative of companies worldwide.

Adding insight from DNV’s Self-assessment suite and Boost My Audit provides further insight.

The self-assessment suite measures your standard understanding and management system readiness. Boost My Audit helps focus internal and external audits targeting improvement efforts on critical areas.

Access is available to all DNV customers. Read more about our digital tools or contact us directly for more information or tool activation.

DNV © www.dnv.com
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