Enms System Procedures Manual (ISO 50001:2011)

This System Procedure is intended to communicate BHEL’s HPBP (UNIT -1) & SSTP, Trichy
for method of compliance to EnMS standard requirement and its effective

implementation.
EnMS SYSTEM PROCEDURES MANUAL
(ISO 50001:2011)
BHARAT HEAVY ELECTRICALS LIMITED

TIRUCHIRAPPALLI – 14
NOTE: This System Procedure is property of BHEL/HPBP (UNIT -1) & SSTP, Trichy and no part of it
can be copied or photocopied or reproduced in any other way without the prior consent from
Management Representative (EnMS) in writing. Any unauthorized photocopying of this document is
prohibited.
ENERGY MANAGEMENT SYSTEM
SYSTEM PROCEDURES
BHEL/ HPBP (UNIT -1) & SSTP , Trichy
Table of Contents
Sl. No. Title Description Page SP. no Rev. No.

No.
1 Distribution list 3 - 00
2 Amendment Record Sheet 4 - 00
3 Procedure for Document Control 5 001 00
4 Procedure for Record Control 8 002 00
5 Procedure for Internal Audit 10 003 00
6 Procedure for Management Review 13 004 00
7 Procedure for Control of Non-Conformities 16 005 00
8 Procedure for Corrective action 19 006 00
9 Procedure for Preventive action 21 007 00
10 Identification of Competency, Awareness & Training 23 008 00
11 Procedure for Document change request 25 009 00
12 Procedure for Communication 29 010 00
13 Procedure for Legal and other requirements 31 011 00
14 Procedure for Evaluation of Legal compliance 33 012 00
15 Procedure for Operational control 36 013 00
16 Procedure for Energy Procurement 39 014 00
Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 2

SYSTEM PROCEDURES
Distribution List
Copy Holder Copy Number
MR 01- Master copy
Systems – M&S 02
Management Representative (MR) EnMS shall be responsible for its Updation as new
revisions are issued, and ensuring that it is readily available to other personnel, where
required. The Manual shall be maintained in soft-copy/hardcopy and shall be available to all
interested parties in electronic mode at BHEL/HPBP (UNIT -1) & SSTP, Trichy. Soft copies shall
be maintained as ‘read-only’ files whose amendments are controlled by the Management
Representative. In case, additional hard copies are distributed to concerned users, the
distribution record shall be maintained by Management Representative (EnMS).

SYSTEM PROCEDURES
Amendment Record Sheet
Approved by BHEL
Effective.
Sl. No. Page No. Rev. No. Description of Change (HPBP (UNIT -1) &
Date
SSTP) MR

SYSTEM PROCEDURES
BHEL/EnMS/SP/001/00 Issue Date: 01.07.2016

PROCEDURE FOR DOCUMENT CONTROL
Page : 1 of 3 Issued by : MR (EnMS)
1.0 Objective
To ensure proper and systematic method of approval and issue of documents,

ensuring availability at the place of use, review and approval of change of document
and data.
2.0 Scope
Organization’s procedures and all the documents, which have direct bearing on energy
use and performance and documents of external origin defined in the Energy
Management System (EnMS).
3.0 Responsibility
Management representative / Asst. Management representatives
4.0 System
4.1 In the EnMS of the organization the different types of documents being adopted are
coded as follows:
They will start with BHEL/EnMS/XXX/NNN/nn
(NNN – serial no / nn – revision no)
Sr. No. TYPE OF DOCUMENT CODE (XXX)

1 System Manual SM
2 System Procedure Manual SPM
3 System Procedures SP
4 Operational Control Procedure OCP
5 Document DOC
6 Records REC
7 Formats FOR
4.2 All the documents are controlled by their revision number, revision date and page
numbers and are legible.
4.3 Master list of all the documents existing in the company is made document wise as
follows:
 List of Formats – Energy Management System Manual Annex VIII

 List of Records – Energy Management System Manual Annex VII
 List of Documents - Energy Management System Manual Annex VI

SYSTEM PROCEDURES

4.4 The list indicates document code, document name, effective date, revision number
and signature of Approving Authority for that specific document.
4.5 As per distribution list, documents are distributed.
4.6 The Distribution list is revised as and when amendment takes place.
4.7 Authorized personnel review all the documents for adequacy before approving. The
authorized persons are listed here-under:
Sr.
Type of Document Prepared by Approved/Issued by
No.
1 EnMS System Manual EMT MR
2 System Procedure EMT MR
3 Operational Control Procedure In charge - User area Function Head
4 Forms and Records EMT – Respective area Function Head/MR
5 Internal Document EMT MR /AMR-EnMS
6 External Document MR /AMR-EnMS ED/In-Charge BHEL
4.8 Only approved documents are subjected to issue.
4.9 A document can be issued either as controlled document or uncontrolled document.

Uncontrolled document is so marked.
4.10 The Master Copy held with the Management Representative is stamped "MASTER”
and others are stamped "CONTROLLED”.
4.11 In case of any changes are to be made, a Document Change Note to be prepared.
4.12 The concerned approving authorities shall review the request and reason for
incorporation review.
4.13 When the request is accepted, change is incorporated; the revision number of
document is incremented by one along with the current revision date.
4.14 Once a revision takes place and is issued, all old documents are recalled and disposed-
off.
4.15 The revised copies are distributed as per the distribution list

SYSTEM PROCEDURES
BHEL/EnMS/SP/001/00 Issue Date:: 01.07.2016

4.16 The documents received from external origin are referred /used for EnMS are termed
as ‘External Documents’.
4.17 All External Documents will be stamped/marked as ‘External Documents’.
4.18 MR/Asst. MRs will make the required changes in soft copies of respective document
and all the soft copies will be accessed as ‘Read Only’.
5.0 Standard Reference
ISO 50001:2011 Energy Management Systems
6.0 Reference Documents
Procedure for Change Request

Doc ref: BHEL/EnMS/SP/009/00
Change Request Format
Doc ref: BHEL/EnMS/FOR/001/00
7.0 Deliverables
1. List of Documents - Energy Management System Manual Annex VI

2. List of Records – Energy Management System Manual Annex VII
3. List of Formats – Energy Management System Manual Annex VIII

SYSTEM PROCEDURES

PROCEDURE FOR RECORD CONTROL
1.0 Objective
To establish documented procedure for controlling the records affecting the Energy
Management System.
2.0 Scope
All records which affect the energy use, energy performance and Energy Management
System (EnMS)
3.0 Responsibility
Heads of all the departments, Management Representative / Asst. MRs
4.0 System
4.1 All the Records pertaining to the requirement of EnMS are maintained legibly.
4.2 The list of all the EnMS records is maintained indicating the retention time of records
with record holders and location of the department where available for retrieval.
4.3 At the expiry of retention time these records are disposed off.
4.4 The responsible person whose name appears in the “List files” shall keep and maintain
EnMS records at their concerned section.
4.5 The EnMS records are stored and maintained properly by the same concerned person
to prevent loss, damage or deterioration.
4.6 The MR is concerned in responsible for presenting these records at the time of
Internal/External EnMS Audits.
4.7 The retention period of these records are decided based on the legal and regulatory
requirements and established management systems wherever applicable.
4.8 Wherever there is a requirement for maintaining the records for a stipulated period
as per the contractual agreement, the same is adhered.
4.9 In the event where no specified requirement for retaining the records is available,
these are kept for 2 years.

SYSTEM PROCEDURES

PROCEDURE FOR RECORD CONTROL
4.10 These records are presented as reference by the concerned responsible person who
is holding the record for taking necessary corrections, corrective and preventive
action, if it calls for at any point of time.

8.0 Deliverables
1. Master List of Records - EnMS Manual Annex VII

SYSTEM PROCEDURES

PROCEDURE FOR INTERNAL AUDIT
1.0 Objective
To verify whether the Energy Management System (EnMS) activities and related
results comply with the planned arrangements and to determine the effectiveness of
the EnMS.
2.0 Scope
As defined in the EnMS manual
3.0 Responsibility
Management Representative/Asst. MRs
4.0 System
4.1 Internal audits for EnMS are planned once in a year, which specifies in audit schedules
of the department & sections.
4.2 Management Representative/Asst. Management Representatives, and qualified

Internal Auditors will conduct internal audits.
a) Educational qualification /experience/ domain knowledge for Internal Auditor is

considered.
b) Internal auditors should have good communication skills.
4.3 The audit schedules can be revised on the basis of status and importance of the activity
being audited.
4.4 Before an audit, the department/section as well as auditors is intimated of scheduled

audit. Similarly, Audit Plan is prepared for the complete year by MR/ Asst. MRs.
4.5 The auditor has the access to all the EnMS records of the department that he is
auditing.
4.6 The auditor verifies the System, activity and the records, takes note of the non-
compliance(s)
4.7 All the findings are recorded in Non-conformity/ Observation Report Form

SYSTEM PROCEDURES

The record consists of terms to remove the non-compliance/observation raised by
Auditor by taking necessary corrective action along with the proposed target date.
Similarly, a summary of audit findings is prepared by auditor in Audit Findings Report

and is given to MR / Asst. MRs along with photocopies of all NC/Observation forms.
4.8 The auditee undertakes correction and corrective action based on root cause within
the stipulated time and invites the auditor for verification as a follow-up action.
Auditor verifies the action and if satisfied, closes the NC/Observation and sends the
original form to MR / Asst. MRs. A photocopy of each closed NC/Observation is kept
by the auditee for his record to be reviewed during subsequent audits.
4.9 In case the correction/corrective actions have not been undertaken by due date or the
corrective action is proved to be ineffective, then, next date is agreed and process
goes on till the effectiveness of the corrective action is proved.
4.10 At the time of follow-up audit, auditor verifies the effectiveness of the corrective
action taken and recorded. Follow up activities are conducted during the following
schedule.
4.11 In case the action taken on non-conformity results in some other non-conformity, then
a new non-conformity is raised.
4.12 In case the action taken results in change of any document, then it is done as per
change mechanism of SP.
4.13 Additional Internal Audit is warranted in case of the following eventualities:
a) Any change in the Management or Departmental Head (i.e. any person joining
or leaving the organization)
b) Major Non Conformance on the process or product
c) Major changes in equipment which affects significant energy use
d) Any change in the Regulatory/Statutory requirements.
4.14 All non-conformances are closed and the results of audit reports are placed in
Management Review for discussion.

ISO 19011:2011, Guidance on Auditing Management Systems

SYSTEM PROCEDURES

1. Procedure for Change Request

2. Procedure for Management Review
3. Change Request Format
4. Non-conformity/Observation
7.0 Deliverables
2. List of Internal Auditors
Doc ref: BHEL/EnMS/DOC/003/00
3. List of Concession for Identified NC
4. Internal Audit Schedule
5. Internal Audit checklist
6. Auditors Competency Matrix
7. Opening Meeting Attendance Sheet
Doc ref: BHEL/EnMS/REC/002/00
8. Closing Meeting Attendance Sheet
9. Internal Audit Finding Report

SYSTEM PROCEDURES

PROCEDURE FOR MANAGEMENT REVIEW
1.0 Objective
To ensure that the Energy Management System (EnMS) is suitable and effective in
satisfying the requirements of ISO 50001:2011 and the stated Energy Policy, targets
and objectives.
2.0 Scope
Units as specified in the EnMS manual
3.0 Responsibility
Management Representative
4.0 System
4.1 The Management Review is undertaken by Unit Heads along with EnMS committee
members. MR / Asst. MRs conduct the proceedings. Other invitees are members of
Energy Management Team and all Section Heads as appropriate.
4.2 The team as above meets once in a year to review and monitor the effectiveness of
the EnMS. Additional meetings may also be held on need basis.
4.3 The Management Review Meeting is chaired by ED /Trichy and Management

Representative will be the Member Secretary. In the absence of ED /Trichy, GM (SSTP)
will chair the Management Review Meeting.
4.4 Management Representative / Asst. Management Representatives prepare the

agenda for Management Review Meeting (MRM) and it is circulated to the members
well in advance.
The agenda for the MRM includes the following points:
a) Follow up action from previous Management Review

b) Review of the Energy Policy
c) Review of energy performance and related EnPIs.
d) Results of evaluation compliance with legal requirements and changes in legal
requirements and other requirements to which the organization subscribes

SYSTEM PROCEDURES

e) The extent to which the energy objectives and targets have been met
f) Results of internal/external audits for EnMS
g) Status of corrective & preventive actions.
h) Projected energy performance
i) Recommendation for improvement
j) Review of work done by Energy Management Teams since previous MRM.
Outputs from the management review include any decisions or actions related to:
a) Changes in the energy performance of the organization;
b) Changes to the energy policy;
c) Changes to the EnPIs;
d) Changes to objectives, targets or other elements of the EnMS consistent with
the organization’s commitment to continual improvement;
e) Changes to allocation of resources.
4.6 Proceedings of MRM are recorded in Management Review Record along with the
responsibilities and target date of execution.
4.8 Follow-up and effectiveness of the decided actions are reviewed by Management
Representative
4.9 Minutes of the Meeting are circulated to the committee members.



SYSTEM PROCEDURES

7.0 Deliverables
1. MRM Attendance Sheet

2. MRM Minutes & Action Taken Report

SYSTEM PROCEDURES
BHEL/EnMS/SP/005/00 PROCEDURE FOR CONTROL OF Issue Date: 01.07.2016

Page : 1 of 3 NON-CONFORMITIES Issued by : MR (EnMS)
1.0 Objective
To establish, implement and maintain a procedure for identification of non-

conformities to which BHEL/HPBP (UNIT -1) & SSTP should meet the requirements of
applicable and covered under the scope of Energy Management system.
2.0 Scope
Applicable for non-conformities in processes, activities covered under the scope of

Energy Management System at BHEL/HPBP (UNIT -1) & SSTP.
3.0 Responsibility
4.0 System
BHEL/HPBP (UNIT -1) & SSTP has established, implemented & maintained a procedure
for identifying, evaluating, updating & accessing the non-conformance identified in
the entire process and activities.
BHEL/HPBP (UNIT -1) & SSTP ensured the necessary to identify and address both
existing and potential nonconformities. An existing nonconformity is a situation where
a requirement is not met. A potential nonconformity is a situation where, if action is
not taken, nonconformity will potentially occur in the future.
BHEL/HPBP (UNIT -1) & SSTP has determined the magnitude of the nonconformity and
its impact on energy performance. Generally, this involves consideration of the extent
of the nonconformity and its actual and potential effects, which includes:
The disposition action for non-conformance situation can be either
a. Concessional acceptance (depends on extent of the nonconformities)

b. Extent of the nonconformities
a. energy objectives, targets and action plans,
b. significant energy uses,
c. existing or planned operational or maintenance controls, or
d. Other energy sources or energy uses within the organization.

SYSTEM PROCEDURES

e. Significant deviations such as:

 Values outside of control limits
 Percent variation in value
 Trends identified
 Specified variation in EnPIs
 Level of variance between expected and actual performance
 Change in equipment efficiency
 Variation in specific variable performance
 Failure to meet objectives and targets
 Failure to meet a specific performance level
Depending on the nature of non-conformance Function Head (Respective

department) is authorized for giving the Concessional acceptance for extent of the
nonconformities as identified, which will not affect the impact on energy
performance.
When any extend of non-conforming strategy is detected the organization will take
appropriate action to the effects, or potential effects and ensure the same problem
will not be repeated in future.
The appropriate corrective and preventive actions are taken accordingly and updated
in the Corrective Action Request.
The management representative prepares the summary on the status of the Non-
conformities received, the actions taken and their effectiveness and submits the
report to the management during management review meeting.

1. Procedure for Management Review
Doc. Ref: BHEL/EnMS/SP/004/00
2. Procedure for Corrective Action
3. Procedure for Preventive Action

SYSTEM PROCEDURES

7.0 Deliverables
Doc. Ref: BHEL/EnMS/DOC/002/00
2. Minutes of the Management Review
Doc. Ref: BHEL/EnMS/REC/005/00
3. MRM Action Taken Report
4. Internal Audit finding Report

SYSTEM PROCEDURES

PROCEDURE FOR CORRECTIVE ACTION
1.0 Objective
To ensure proper, systematic methods are in place of taking corrective action to

eliminate the cause of detected non conformity.
2.0 Scope
All types of Non-conformities/Observations (Potential Non-conformities) arising

from internal/external audit as well as those arising during normal working.
3.0 Responsibility
All Sectional Heads, Unit Heads, MR / Asst. MRs and officers and staff of concerned
Departments. Relevant records are kept by MR / Asst. MRs.
4.0 System
4.1 After taking correction, wherever possible, on a non-conformity/observation raised

during internal/external audit/normal working, its root cause analysis is done and
corrective action is proposed by the auditee.
4.2 Concerned department does the correction, performs Root cause analysis and
corrective action is proposed with target date.
4.3 Individual/department/auditor raising the non-conformity will analyse the corrective

action proposed and may agree to it by signing it and returning it to concerned
department for implementing it. In case, he/department does not agree to the
correction proposed, then, it is discussed between both the sides and final Corrective
Action is agreed upon. In case of any dispute, the matter is referred to MR / Asst. MRs
who takes the final decision.
4.4.1 After taking the corrective action, the format is filled and sent to MR / Asst. MRs /
Lead Auditor for verification of corrective action. If found satisfactory, the format is
signed as acceptance and NC/observation is closed. In case MR / Asst. MRs / Auditor
is not satisfied with the action taken, the format is returned till the satisfied action is
taken. The NC/observation is then closed and completed format is sent to MR for
record.
4.4.2 Same procedure is followed in case of observations made during internal/external

audit or during normal working.

SYSTEM PROCEDURES

PROCEDURE FOR CORRECTIVE ACTION
4.6 Audit findings are reviewed in MRM.
4.7 Corrective action taken at one unit/department can be taken as Preventive

action at other units/departments

2. Change Request Formats
9.0 Deliverables


SYSTEM PROCEDURES

PROCEDURE FOR PREVENTIVE ACTION
1.0 Objective
To ensure proper and systematic method of taking preventive action so that

occurrence of potential non-conformance (s) is prevented.
2.0 Scope
All types of potential Non-Conformities.
3.0 Responsibility
All Section Heads, HODs, MR and officers and staff of concerned departments.
Relevant records are kept by MR.
4.0 System
4.1 All responsible persons mentioned above in Clause 3 shall initiate preventive action,
whenever necessary, to eliminate the cause of potential nonconformities in order to
prevent their occurrence. Preventive actions shall be appropriate to the magnitude of
the potential problems (energy related problems) and commensurate with the
potential energy issues encountered.
4.2 Organization ensures that necessary changes are made in EnMS.
4.3 Corrective action taken at one unit/department can be taken as Preventive action at
other units/departments considering its magnitude & applicability.


Change Request Formats

SYSTEM PROCEDURES

PROCEDURE FOR PREVENTIVE ACTION
7.0 Deliverables


SYSTEM PROCEDURES
BHEL/EnMS/SP/008/00 IDENTIFICATION OF COMPETENCY, Issue Date: 01.07.2016

Page : 1 of 2 AWARENESS & TRAINING Issued by : MR (EnMS)
1.0 Objective:
To ensure that competency and skill required for performing various activities in the
organization are identified and necessary training is provided and assessed.
2.0 Scope
All those employees working in areas where there is significant energy use.
3.0 Responsibility
EnMS Training Coordinator / Area In- charge / Section Head / concerned HODs / In-
charge
4.0 System
4.1 HR Department maintains Job description and responsibility of personnel performing

energy related tasks and the training records.
4.2 The concerned departments identify the minimum competency and skill required to
perform these tasks in consultation with Section Heads/ HODs. Accordingly, training
requirements are identified based on job description / competency mapping reports.
Considering this input, necessary training is imparted to the employees of the
organization. The training is divided into three main categories:
a) Induction Training
b) Functional Training
c) Energy Management System Training
4.3 Induction Training is given to all new recruits / Promotes by training centre and
department concerned.
4.4 Job specific training is given by the department heads regarding the Particular/ Critical
Operation in Groups / individually and recorded.
4.5 Awareness Training on Energy Management System (ISO-50001) is imparted to

identified employees in group as per Training identified and as per requirement of
system implementation. Training on ‘Internal Auditing’ is imparted to the identified
staff to carry out internal audit activities. EnMS awareness Training is given at Fire &
Safety Training a session which is held once a week to employees, trainees &
Technician Apprentice training sessions etc.

SYSTEM PROCEDURES
BHEL/EnMS/SP/008/00 IDENTIFICATION OF COMPETENCY, Issue Date: 01.07.2016

Page : 2 of 2 AWARENESS & TRAINING Issued by : MR (EnMS)
4.6 Regular training needs of all persons affecting significant energy use is identified by
area in charge/ sectional head / HODs.
4.7 Training is provided in house or externally as per availability/requirement of faculty.
4.8 The Management Representative/Asst Management Representatives/ EnMS Training

Coordinator will co-ordinate with Learning Centre for organizing training related to
the EnMS and energy conservation and management.
4.9 MR /Asst. MRs & HODs ensure that the personnel are aware of the relevance and
importance of their individual activities in contributing to EnMS.
ISO 50001:2011 Energy management Systems
6.0 Records
Identification of Training needs for Persons affecting significant Energy Uses
1. List of Training Material

2. Training Plan
3. Training Records (attendance & feedback)

SYSTEM PROCEDURES
BHEL/EnMS/SP/009/00 PROCEDURE FOR DOCUMENT CHANGE Issue Date: 01.07.2016

Page : 1 of 4 REQUEST Issued by : MR (EnMS)
1.0 Objective
To provide a documented methodology for identifying document change request and
its approvals where their absence could lead to deviation from Energy Management
system documentation protocol and practices.
2.0 Scope
This specification defines the basic requirements to be met in originating a proposed

change to any issued EnMS Document or Specification (referred to as documents
hereafter). The purpose is to:
i) Ensure that proposed changes are beneficial, adequately described and justified
and are submitted in a state appropriate for efficient review by the approval
authorities.
ii) Inform Initiators on how to obtain information on the progress and results of their
change requests.
3.0 Responsibility
All HODs, Section Heads and MR / Asst. MRs
4.0 System
4.1 Preparation of DCR’S
4.1.1 Initiator
DCRs may be originated by anyone.
4.1.2 Document Changes
DCRs shall be used to initiate changes which are considered necessary to

BHEL/HPBP (UNIT -1) & SSTP documents.
These proposed changes may cover any or all of the following areas:-
i) Changes of policy.
ii) Changes to correct or extend technical content.
Iii) Addition of Variants etc. to Detail Specifications.
iv) Correction of editorial errors and omissions.

SYSTEM PROCEDURES

4.1.3 Change Restrictions
Changes to documents shall be restricted to those required for correction of any errors
or omissions and those which establish significant benefits with regard to the
implementation of the documents, cost implications and quality or procurement
aspects. Documents shall not be changed to:-
i) Reduce or relax the requirements of the Local Government Act;

ii) Reduce or relax the level of service or product quality;
iii) Reduce or relax probity provisions;
iv) Incorporate specific project requirements which may not be acceptable for
subsequent programmes; and,
v) Accommodate the specific requirements of a single supplier.
The above restrictions should not be considered comprehensive.
4.1.4 Considerations
When preparing a DCR, the Initiator shall take the following points into consideration:-
i) Whether the proposed change(s) affects other parts of the document being
changed.
ii) In this case, any necessary additional change(s) shall be included in the DCR.
iii) Whether the proposed change(s) directly affects another document(s).
iv) In this case, the other document(s) must be identified together with the necessary
changes.
v) Whether the proposed change(s) is part of a series of changes to a number of
documents but does not directly affect another document(s).
In this case, a separate DCR shall be raised for each additional document. No reference
to the additional document(s) shall be included in the proposed DCR except, where
applicable, as part of the justification for the change(s).
4.1.5 Use of “DCR” Forms
DCRs shall be submitted using the DCR Form shown in Appendix 1, either in electronic
or handwritten form. All relevant Boxes shall be completed and the information
supplied must be to current Issues and/or Revisions of the document(s) in question.
The spaces on the DCR form which are to be completed by the Initiator provide the
following information:-
i) Identification of the Initiator.
ii) Identification of the document(s) to be changed.
iv) A description of the proposed change(s).

SYSTEM PROCEDURES

iv) A justification for the change(s).

v) The proposed new text(s).
Where the information required for the proposed changes is too extensive for the DCR
Form, continuation sheets can be used to complete the information.
As an alternative or supplement to using Continuation Sheets, pages from the existing
document(s) which have been "marked up" with the proposed changes may also be
submitted with the DCR Form if more convenient.
4.1.6 Submissions of DCR’s
DCRs shall be submitted by the Initiator to the relevant BHEL/HPBP (UNIT -1) & SSTP
identified responsibility or and email contact for initial acceptance and onward
transmission to the Review Panel
4.2 Processing of DCRs
4.2.1 Numbering
On receipt of a DCR, the BHEL/HPBP (UNIT -1) & SSTP, DCR Review Panel will assign a
sequential number from a register using one of the series specified below:-
i) P00xxx - Policy DCRs.

ii )M00xxx– Energy System Manual
iii) SP00xxx – System Procedure DCRs.
iv) T00xxx- Technical DCRs
vi) R00xxx - Records DCRs
xxx – running serial number
The assigned number will be used for identification of a DCR through all further
processing. If a DCR is incomplete in detail when received, the BHEL/HPBP (UNIT -1)
& SSTP shall either:-
i) Hold the DCR pending receipt of the outstanding information from the Initiator, or
ii) Return the DCR for completion by the Initiator.
4.2.2 Review, Approval and Implementation
In accordance with internal BHEL/HPBP (UNIT -1) & SSTP working procedures a
numbered DCR will be submitted to the appropriate review and approval cycle. For
other than Editorial DCRs the approval of the BHEL/HPBP (UNIT -1) & SSTP Review
Panel is required.

SYSTEM PROCEDURES

DCRs are actioned either as:

i) Rejected.
ii) Approved as submitted.
iii) Approved with changes.
Copies of action taken DCRs are provided by the BHEL/HPBP (UNIT -1) & SSTP to the
Initiator.
Approved DCRs are implemented by the BHEL/HPBP (UNIT -1) & SSTP. During
implementation, the DCR number, of an approved DCR, is entered in the Amendment
record sheet of the revised or up-issued BHEL/HPBP (UNIT -1) & SSTP Document for
each change specified.
4.2.3 Distribution
A revised or up-issued document is made available via the BHEL/HPBP (UNIT -1) &
SSTP web site for immediate access by Users.
4.2.4 Progress and Outcome
The Initiator of a DCR may monitor its progress and establish the outcome, approval
or rejection, in whole or in part, by means of contact with BHEL/HPBP (UNIT -1) &
SSTP. The proposed changes in a rejected DCR may be resubmitted as a new DCR,
provided that they are supported by new or additional information.
Procedure for Control of Document

Procedure for Control of Record
7.0 Deliverables
Document Change Request Form


SYSTEM PROCEDURES

PROCEDURE FOR COMMUNICATION
1.0 Objective
To ensure proper external and internal communication.
2.0 Scope
Entire organization for internal communication and all stake holders for external
communication.
3.0 Responsibility
All HODs and Section Heads shall be responsible for internal communication within
their Section / Department and also interdepartmental. External communication is
done by department concerned / MR / Asst. MRs as applicable.
4.0 System
BHEL/HPBP (UNIT -1) & SSTP/Trichy has established and implemented a system to
ensure effective internal and external communication on issues concerning energy
performance and management at all levels throughout the organization as under:
4.1 External communication
Organization will communicate externally about its Energy Policy in following ways:
(i) Indicate ISO 50001 certification in BHEL/HPBP (UNIT -1) & SSTP/Trichy
letterhead.
4.2 Internal Communication:
(i) Internal communication is done within their department through verbal, writing
in relevant register/log book/Maildesk/emails/ and display of notices.
Further, any person working for the organization is encouraged to make suggestions
on improving the EnMS as per following procedure:
i. In order to encourage comments/suggestion, a Suggestion Box is kept at various
locations. Suggestion Scheme is administered by BHEL/HPBP (UNIT -1) &
SSTP/Trichy Energy Management Team.
ii. Suggestions received are evaluated by concerned authority for its applicability,
usefulness and implementation.

SYSTEM PROCEDURES

PROCEDURE FOR COMMUNICATION
iii. The comments /suggestions could also be on ways to save energy or to make
improvement in monitoring / measuring / using the energy.
iv. Circular would be issued to all employees through weekly notices. Circulars are
also displayed on notice boards.
v. All comments / suggestions received will be kept in a separate file.
vi. Suggestions received / implemented are suitably rewarded.
vii. The suggestions would also be deliberated / reviewed in MRM.

3. Energy Kaizen Report Format
7.0 Deliverables
Energy Kaizen Report


SYSTEM PROCEDURES
BHEL/EnMS/SP/011/00 PROCEDURE FOR LEGAL AND OTHER Issue Date: 01.07.2016

Page : 1 of 2 REQUIREMENTS Issued by : MR (EnMS)
1.0 Objective
To establish, implement and maintain a procedure for identification of legal and other
requirements to which BHEL/HPBP (UNIT -1) & SSTP subscribes & to identify how legal
& other requirements are applicable and covered under the scope of Energy
Management system.
2.0 Scope
Applicable for all the significant energy use processes, activities covered under the
scope of Energy Management System at BHEL/HPBP (UNIT -1) & SSTP.
3.0 Responsibility
4.0 System
BHEL/HPBP (UNIT -1) & SSTP has established, implemented & maintained a procedure
for identifying, evaluating, updating & accessing the applicable EnMS Legal and Other
Requirements. This includes all EnMS legal and other requirements, to which the
organization subscribes. Applicable EnMS legal requirements are identified and
accessed by the Legal team and communicated by responsibilities in the management
review meeting.
The details of the List of Applicable legal requirement & other requirements to be
complied by BHEL/HPBP (UNIT -1) & SSTP along with frequency of retrieval and
personnel responsible for maintaining the records are defined in the legal register.
Dept. Head responsible for compliance to legal requirement shall obtain information
on legal requirement, by referring to any of the following agency.
 Notification from State / Central Government bodies like TNSPCB, CPCB, MOEF
and Electrical Inspectorate etc.
 Information in Newspapers.
 Communication with National Safety Council and Confederation of Indian
Industry & Authorized Publishers.
 Subscription / contact with Bureau of Indian Standard, Book Supply Bureau,
etc.
 By referring Tamilnadu Factories Acts & Rules Book
SYSTEM PROCEDURES
BHEL/EnMS/SP/011/00 PROCEDURE FOR LEGAL AND OTHER Issue Date: 01.07.2016

Page : 2 of 2 REQUIREMENTS Issued by : MR (EnMS)
Through visiting website given below to get information on latest updates and also
through member-
 www.envfor.nic.in
 www.peso.gov.in
 www.cpcb.nic.in
 www.moef.gov.in
 www.mnre.gov.in
The application for renewal of Consents / License /Authorization under

Government statutory requirements shall be submitted in advance as specified in the
Acts / Rules. Renewal frequency mentioned in list of legal & other requirements may
subject to change / alter as per Notification / Intimation from the government
authorities from time to time. Responsible persons shall communicate relevant
information on legal and other requirement to all concerned.
Legal coordination responsibilities will review, at least annually, the most

current EnMS national, regional, state and other requirements that are applicable to
NPL. Relevant EnMS Legal & Other Requirements are communicated to the person
working under the control of EnMS & relevant interested parties. This includes
relevant EnMS laws and other requirements to which the organization subscribes.
Applicable EnMS Legal & Other requirements are taken into account in establishment,
implementation & maintenance of Energy management system.
.

7.0 Deliverables
Legal Register

SYSTEM PROCEDURES
BHEL/EnMS/SP/012/00 PROCEDURE FOR EVALUATION OF LEGAL Issue Date: 01.07.2016

Page : 1 of 3 COMPLIANCE Issued by : MR (EnMS)
1.0 Objective
To establish, implement and maintain a procedure for Evaluation of legal compliance
to which BHEL/HPBP (UNIT -1) & SSTP subscribes & to identify how legal & other
requirements are applicable and covered under the scope of Energy Management
system.
2.0 Scope
Evaluation of legal & other requirements applicable to which it subscribes related to

its energy use and consumption covered under the scope of Energy Management
System at BHEL/HPBP (UNIT -1) & SSTP.
3.0 Responsibility
4.0 System
A systematic periodical evaluation of EnMS legal requirements & other requirements

applicable to the organization are established, implemented & maintained in the
company as defined in this procedure. The evaluation is carried out by the EMT &
associated records of the compliance are maintained. The frequency of periodic
evaluation may vary for differing legal & other requirement.
The EMT of BHEL/HPBP (UNIT -1) & SSTP periodically carries out the evaluation of all
legal & other requirements once in a year. Periodicity of evaluation of compliance will
vary for different legal & other requirements.
MR initiates corrective actions based on evaluation report (if necessary) as per

procedure for Control of non-conformances, Review & Corrective & Preventive Action
Once in a year this legal procedure is reviewed and revised (where required) so as to
keep it and the information developed under it up-to date
The method adopted in evaluating legal & other requirements is briefed below. Each
of the identified legislation such as act / rule / consent / other requirement is studied
for every condition in the format specified for evaluating the compliance.

SYSTEM PROCEDURES
BHEL/EnMS/SP/012/00 PROCEDURE FOR EVALUATION OF Issue Date:01.07.2016

Page : 2 of 3 LEGAL COMPLIANCE Issued by : MR (EnMS)
Each of the condition is rated for compliance using the following grades.
1. Fulfilled - Fully complied
2. Not relevant – any condition in the legal consents, which is not applicable to
BHEL/HPBP (UNIT -1) & SSTP.
3. Still Open – but can be rectified by taking corrective action.
4. Not fulfilled – This requires an action plan to achieve the compliance through the
Management Program.
The evaluation of requirements to be carried out once in a year or whenever any new legal
requirement is introduced by State Pollution Control Board or Central Pollution Control
Board / any other regulatory authority and is applicable to the firm.
The evaluation covers

 License, consents, authorization
 Notifications, publications by government authorities and reply
 Compliance to other requirements
 Updating on legal requirements and other requirements
The application for renewal of consents/authorization under government statutory

requirements will be given in advance as specified in the Act / Rule. Renewal frequency
mentioned in the table may be altered as per the notification / intimation from the government
authorities from time to time.
Corrective Action:
This includes the steps taken to rectify the non-compliance observed against any of the
applicable legal / other requirements. When the applicable condition is rated as 3 or 4 it is
reviewed for the appropriate corrective action and action plan or if necessary SHE management
program is initiated with the responsibility

SYSTEM PROCEDURES
BHEL/EnMS/SP/012/00 PROCEDURE FOR EVALUATION OF LEGAL Issue Date: 01.07.2016

Page : 3 of 3 COMPLIANCE Issued by : MR (EnMS)

7.0 Deliverables
1. Legal Compliance Report


SYSTEM PROCEDURES

PROCEDURE FOR OPERATIONAL CONTROL
1.0 Objective
To provide a documented methodology for identifying operational controls for the
identified significant energy use and to improve and/or control where their absence
could lead to deviation from Energy Management system.
2.0 Scope
Applicable for all the significant energy use processes, activities covered under the
scope of Energy Management System at BHEL/HPBP (UNIT -1) & SSTP.
3.0 Responsibility
All HODs, Section Heads and MR / Asst. MRs shall be responsible for operational
control for energy use within their Section / Department and also interdepartmental.
External communication is done by department concerned / MR / Asst. MRs as
applicable.
4.0 System
Determining operational controls involves identifying and planning of activities to
make sure that critical factors affecting energy performance are known, used, and
communicated to responsible personnel. Effective operational control is achieved
through the following steps:
1. Determine and establish effective operating criteria

“Operational control procedures” ensure that critical equipment, systems, processes
and facilities are run and maintained to achieve required output and efficient
performance. Operation control procedures are prepared, maintained and
communicated to responsible personnel by respective user area with the due approval
of respective Functional Head. Properly defined operational controls promote the
efficient and uninterrupted functioning of critical equipment.
Identified sources should be used and ensured to determine the recommended
operating and maintenance criteria for significant energy uses and other factors that
can impact energy performance:
1. Manufacturer's recommendation
2. Operation defined by system personnel who measure performance
3. Operating conditions defined by minimum process or system requirements
4. Service personnel’s suggested operating settings and maintenance intervals
5. Statistical process control
6. Benchmarking performance of similar equipment, if available or organization
should generate data as benchmark from best practice and lesson learnt legacy
data.

SYSTEM PROCEDURES

Existing operational and maintenance criteria already in place within the organization
should be incorporating it into the EnMS as it relates to energy performance especially
as related to the efficient operation of equipment.
Operational control procedures - EnMS are coded as follows:

They will start with BHEL/EnMS/OCP/DDD/NNN/nn
(DDD – Department/ NNN – serial no / nn – revision no)
2. Operate according to established controls
BHEL/HPBP (UNIT -1) & SSTP, operating and maintenance criteria are implemented
through training, communication and documentation. These could include work
instructions, equipment logbooks, instruction sheets, checklists, postings, or other
relevant documents made readily available to operating personnel and other
operational controls may also be physical devices, as well as the use of certified or
other specialty qualified personnel
BHEL/HPBP (UNIT -1) & SSTP, ensure the operating criteria are clear and accurate and
appropriate employees, trainees and contractors are aware of them
3. Communicate operational controls
BHEL/HPBP (UNIT -1) & SSTP, ensure an operational controls are communicated to the
appropriate personnel, including on-site contractors or suppliers performing work
associated with the significant energy uses.
Effective communication of operational controls and the associated defined operating
conditions should be followed:
1. On-the-job training
2. Sunrise meeting
3. Classroom training
4. Work instructions and/or equipment operating procedures
5. Work area postings
6. Logbooks listing defined operating conditions and collecting data on actual
operation
7. Contractor/supplier meetings and handbooks
8. Brochures or other outreach materials
Regular inspections (monthly) are used to confirm the operational controls are being
followed and the criteria being met and ensure operational controls for essential
operations were monitored and maintained to achieve continual improvement.

SYSTEM PROCEDURES



7.0 Deliverables
Operational Controls procedure


SYSTEM PROCEDURES

PROCEDURE FOR ENERGY PROCUREMENT
1.0 Objective
To establish, implement and maintain a procedure for procurement to which
BHEL/HPBP (UNIT -1) & SSTP subscribes & to identify how energy goods and services
are applicable and covered under the scope of Energy Management system.
2.0 Scope
This procedure shall govern all purchases of energy goods and services procurement
process covered under the scope of Energy Management System at BHEL/HPBP (UNIT
-1) & SSTP.
3.0 Responsibility
Head Purchase, Management representative/ Asst management representatives &

Energy Management Team
4.0 System
Procurement of Energy Services, Products, Equipment and Energy
1. When procuring energy services, products and equipment that have, or can have, an
impact on significant energy use, suppliers are informed that procurement is partly
evaluated on the basis of energy performance.
2. BHEL/HPBP (UNIT -1) & SSTP works has established and implements the criteria for
assessing energy use, consumption and efficiency over the planned or expected
operating lifetime when procuring energy intensive products, equipment and services
which are expected to have a significant impact on the overall energy performance.
3. BHEL/HPBP (UNIT -1) & SSTP will establish a Green Purchase policy to direct minimizing
adverse environmental impacts and include our commitments towards enhancing energy
performance by procuring energy efficient equipment and life-cycle costing of energy
intensive equipment.
Energy considerations in procurement have been documented and informative

guidelines for procuring energy efficient equipment documented in and communicated
to the suppliers as appropriate.

SYSTEM PROCEDURES

Input Process Output Person Responsible

1.Need for Energy Writing a 1. Requisition for 1. PC/Requisitioner
related Requisition related
product/service product/service
NO
Approving of 2. Approved 2.EMT/Section

Requisiton?
2. Requisition For Requisition Head
related Yes
product/service
3. Available Go to
Available? step 3.PC/Requisitioner
Not available - 4
NO
3.Approved
Requisition Yes
Collecting
Quotations 4.Approved 4.PC/Requisitioner
Quotation
4. Quotation
NO
Approval of
Quotation?
5. PO 5.PC/Requisitioner
5.Approved Yes
Quotation
Writing an LPO
6 Delivered Goods 6. Supplier

6. PO Yes
Delivery of Goods
to Office/Site
7.Approved 7.PC/Requisitioner
7 Delivered Goods Delivered Goods
Inspection of
Delivered
Goods?
8. Goods received 8. Requisitioner
8.Approved Note (GRN)
Delivered Goods
Release of Goods
to Store
Yes 9. Goods in Store 9. Requisitioner
9. Goods Received
Release to Site/
Note Office for use
10. Ensured for 10. Requisitioner

10. Goods in Store Accoutability Application
11. Procurement End 11.PC/Requisitioner

11. Used goods

SYSTEM PROCEDURES


7.0 Deliverables
o SAP System
o Green Energy Policy

Enms System Procedures Manual (ISO 50001:2011)

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This System Procedure is intended to communicate BHEL’s HPBP (UNIT -1) & SSTP, Trichy

for method of compliance to EnMS standard requirement and its effective

EnMS SYSTEM PROCEDURES MANUAL

BHARAT HEAVY ELECTRICALS LIMITED

Sl. No. Title Description Page SP. no Rev. No.

2 Amendment Record Sheet 4 - 00

3 Procedure for Document Control 5 001 00

4 Procedure for Record Control 8 002 00

5 Procedure for Internal Audit 10 003 00

6 Procedure for Management Review 13 004 00

7 Procedure for Control of Non-Conformities 16 005 00

8 Procedure for Corrective action 19 006 00

9 Procedure for Preventive action 21 007 00

10 Identification of Competency, Awareness & Training 23 008 00

11 Procedure for Document change request 25 009 00

12 Procedure for Communication 29 010 00

13 Procedure for Legal and other requirements 31 011 00

14 Procedure for Evaluation of Legal compliance 33 012 00

15 Procedure for Operational control 36 013 00

16 Procedure for Energy Procurement 39 014 00

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 2

Copy Holder Copy Number

MR 01- Master copy

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 3

Amendment Record Sheet

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 4

BHEL/EnMS/SP/001/00 Issue Date: 01.07.2016

To ensure proper and systematic method of approval and issue of documents,

Management representative / Asst. Management representatives

Sr. No. TYPE OF DOCUMENT CODE (XXX)

 List of Formats – Energy Management System Manual Annex VIII

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 5

BHEL/EnMS/SP/001/00 Issue Date: 01.07.2016

4.5 As per distribution list, documents are distributed.

4.8 Only approved documents are subjected to issue.

4.9 A document can be issued either as controlled document or uncontrolled document.

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 6

BHEL/EnMS/SP/001/00 Issue Date:: 01.07.2016

4.17 All External Documents will be stamped/marked as ‘External Documents’.

5.0 Standard Reference

ISO 50001:2011 Energy Management Systems

6.0 Reference Documents

Procedure for Change Request

1. List of Documents - Energy Management System Manual Annex VI

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 7

BHEL/EnMS/SP/002/00 Issue Date: 01.07.2016

Heads of all the departments, Management Representative / Asst. MRs

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 8

BHEL/EnMS/SP/002/00 Issue Date: 01.07.2016

5.0 Standard Reference

ISO 50001:2011 Energy Management Systems

7.0 Reference Documents

Procedure for Change Request

1. Master List of Records - EnMS Manual Annex VII

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 9

BHEL/EnMS/SP/003/00 Issue Date: 01.07.2016

As defined in the EnMS manual

Management Representative/Asst. MRs

4.2 Management Representative/Asst. Management Representatives, and qualified

a) Educational qualification /experience/ domain knowledge for Internal Auditor is

4.4 Before an audit, the department/section as well as auditors is intimated of scheduled

Controlled Document of BHEL/HPBP (UNIT -1) & SSTP/Trichy 10

BHEL/EnMS/SP/003/00 Issue Date: 01.07.2016