Bureau Veritas Energy Audit Summary Report 390 Benmar Drive, Suite 100 Houston, TX (281)

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1 Bureau Veritas Energy Audit Summary Report 390 Benmar Drive, Suite 100 Houston, TX (281) Company Name IBM Contact Person Patrick Aurrichio/Jay Dietrich Address Route 100 Somers, NY Phone / Fax / Reference Number US & US Energy Audit Summary IBM has engaged Bureau Veritas Certification (US ) to conduct audits of the energy management process, energy conservation projects and energy reporting at IBM locations relative to IBM internal requirements defined in Statement of Work ("SOW") # and IBM Energy Audit Briefing Notes. The purpose of this IBM Energy Audit programme is to provide assurance of the accuracy and reliability of energy data collected and reported by IBM. Locations chosen for energy audits were sites to be audited during ISO 14001:2004 surveillance audits and chosen by IBM and Bureau Veritas. IBM defined the sample size and process for reviewing the energy management process, energy conservation projects and energy usage/billings. During 2013, Bureau Veritas Certification performed Energy Audits at eleven (11) IBM entities worldwide as given in the table below: Americas RESO Canada RESO Columbus OH Europe/ Middle East/ Asia Brazil (Dec2012) Israel Hong Kong Hungary Sales/Service La Gaude, France Slovakia Spain Zurich Research Australia In addition, IBM engaged Bureau Veritas Certification (US ) to conduct audits of the IBM World Wide Energy Management Program (WW EnMP) relative to the requirements of ISO50001: The purpose of this audit program is to evaluate conformance with the requirements of ISO50001 and IBM EnMP. Locations chosen for ISO50001 energy audits were sites to be audited during ISO 14001:2004 surveillance audits and chosen by IBM and Bureau Veritas. IBM defined the sample size. Bureau Veritas conducted the audits using standard audit procedures. -1- Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06

2 During 2013, Bureau Veritas Certification performed Energy Audits at eight (8) IBM entities worldwide as listed in the table below: Americas South San Jose CA Bromont Ontario Burlington VT Corp. Environment Affairs NY Fishkill NY Guadalajara Mexico Research Triangle Park NC Yorktown Heights NY Europe/ Middle East/ Asia none Energy Audit Methodologies Audit methodology under contract US was based on the Statement of Work (SOW) # , dated 1 May 2009 which outlines requirements for conducting special energy conservation audits and preparation of reports. Details of the Energy Audits were given in Auditor Briefing Notes updated Feb The Bureau Veritas Energy Audits in this program consisted of the following activities: 1. Review of the Energy Management Process A description of the site energy management process and reference to relevant documents including energy checklists the site uses to manage the process. An overall review of the effectiveness of the process used for tracking energy usage, and compliance with the IBM Corporate Instruction ENV 108: Energy Management. 2. Energy Checklist Verification A review and verification that the correct energy checklists are completed annually, bi-annually or triannually depending on the amount of energy used each year. A verification that energy checklist findings were converted into energy conservation project plans. 3. Energy Conservation Project Audit Verification that a list of Energy Conservation Projects completed months prior to the audit is available. At least 4 of the top ten projects by savings are reviewed and at least 2 additional projects (one mid-range of saving and one from the bottom five) if the site has more than 20 projects identified. Project reviews covers IBM processes for calculation, verification and validation of data. Calculations are verified for the savings and a determination of the soundness of the calculations and measurements, as well as, observations of the installation and physical controls of the projects sampled. 4. Audit Utility Bill Tracking and Reporting A sample of energy bills are reviewed and compared to the data in the Utility Accountant database for facilities using more than 2,000MWH/yr. For entities audited during the first half of the year, January through June, all energy bills for the second half of the previous year and year-to-date (YTD) for the current year are reviewed by the auditor against Utility Accountant (UA) database inputs. For locations audited in the second half of the year, July through December, all energy bills YTD for the current year are reviewed by the auditor against UA database inputs. The UA totals for the location, as well as the -2- Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06

3 bills, which support the data are reviewed. If the usage and cost of the utility bills reviewed do not match the total in the UA then these discrepancies are documented and the errors are to be corrected by the facility. Audit methodology for the ISO50001 audit program involved opening and closing meetings, observation of the work-place and work practices, interviews with employees at all levels and review of documentation and records. All clauses of ISO50001 were covered during these audits as noted in Attachment 1. The audit covered both activities at the audited site and interactions with the Corporate World Wide EnMP. Results of the Energy Audits Eleven audits were conducted under contract US of internal IBM Energy Requirements (SOW# & IBM Energy Auditor Briefing Notes). Key findings are noted below: 1. An active energy management process consistent with IBM requirements is in place at all sites within the audit sample. 2. IBM energy checklists are properly implemented and result in determination of appropriate energy conservation projects at all sites within the audit sample. 3. A total of 48 projects were reviewed during the audits. All were found reasonable from a technical viewpoint and had properly stated savings. However, the audit auditor in the Zurich audit noted Validations of the Building Management System calculations of the COP are beyond the scope of this review. 4. No discrepancies were found between energy bills and Utility Accountant database entries at any site within the audit sample. All audited entries were found to be accurate. Only one noteworthy opportunity-for-improvement (OFI) was noted from a review of the eleven energy audit reports. The OFI is from the IBM Hungary report and is stated as: It would be advisable to further analyse the 2012 data in order to find out what was the main reason of energy saving: the executed actions did not have such a high potential. This is a site-specific issue and is not systemic. Eight audits were conducted under the ISO50001 contract US All found a very high degree of conformance to the requirements of ISO50001 and IBM EnMP. The overall conclusion of the ISO50001 audit program as stated in the CEA audit report section 24 is: conformant to ISO50001 First Edition and all sites that are part of the 2013 extension to scope are recommended for certification approval. The audit program verified a high degree of implementation of the IBM Energy Policy throughout the audit sample. One auditor statement summarized this general conclusion as: Policy commitment has been achieved at the site level as evidenced by top management support, communication programs throughout the site, senior level approval of energy master plans and testing of employee awareness of the policy through the internal audit program. Three minor nonconformance items (NCs) were noted in the audit program. These occurred during the South San Jose audit and are given below: Project plans for ARC and SVL do not contain the method by which an improvement in energy performance shall be verified or a statement of the method of verifying the results. (clause 4.4.6) Internal audit served as the initial evaluation of compliance; however, internal audit does not contain a record of results of the evaluation of compliance. (clause 4.6.2) ARC/SVL does not have a documented process by which employees and any person working for, or on behalf of IBM, can make comments or suggest improvements to the WW EnMP. -3- Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06

4 (clause 4.5.3) All of these NCs were primarily a result of incomplete documentation rather than substance. All have been fully addressed and closed. In addition, as noted in the RTP audit, effective corrective action regarding these NCs was taken across the World Wide EnMP. The ISO50001 audit program validated the following important points: The IBM energy planning process is effective in evaluating energy use and improvement opportunities. Defined objectives and targets for energy are in place at all sites within the audit sample. Because this was the first audit no effort was made to quantify results of energy objectives. However, it was noted in several audit reports that energy savings have been achieved over numerous years. The IBM internal audit process for ISO50001 is effective in identifying nonconformance. Effective corrective action was taken on the results of both IBM and Bureau Veritas audits. The audit program noted system strengths across the WW EnMP as: Long history of understanding and controlling energy usage as well as achieving numerous energy usage improvement projects Good leveraging and integration of EnMS into Environmental Management System. High degree of integration of energy management throughout all site operational processes. Formation of energy management teams and participation by all levels of the site organization. Leading edge use of automation to optimize energy use according to environmental and internal customer requirements. Management control program has identified monitoring and measurement requirements, reporting of energy performance to management and energy performance indicators for users. The audit program also identified several opportunities-for-improvement (OFI). These are noted on a site-by-site basis below: 1. South San Jose OFI The internal audit needs additional field observation and interviews of more employees to assure the EnMP is effectively implemented. OFI Verify manufacturer s instructions for recommendation on electrical meter accuracy/repeatability/calibration. 2. Burlington VT OFI - Question on energy conservation posed during the employee awareness audit should be improved to solicit awareness of participation and involvement in energy reduction activities. 3. East Fishkill NY OFI - Consider providing energy performance information for significant energy use areas in more detail. OFI - Consider adding the energy measurement plan as a reference document in the Monitoring and measurement table in Guadalajara Mexico OFI - Consider providing energy performance information for significant energy use areas in more detail. 5. Research Triangle Park NC OFI - Consider additional opportunities to communicate actual energy performance and savings overall and on business and/or process specific basis. -4- Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06

5 Overall Assessment The audit program covering SOW# verified the IBM energy management process is in place and operational in accordance with IBM energy policies and procedures in all eleven entities of the audit sample. IBM management and personnel appeared knowledgeable of IBM expectations and dedicated to continually pursuing energy conservation and accuracy of data collection and reporting. The IBM Energy Checklists were verified to be used appropriately and leading to improvement projects. All energy projects that were reviewed were found to be based upon good engineering principles and with properly quantified savings. Finally, data reporting was found to be accurate for all locations within the audit sample. In summary, the audit verified proper implementation of the IBM energy management practices with no significant deviations. Of course, this conclusion is based upon the limited audit sample. Bureau Veritas provides this limited assurance over this data based on a site sample chosen by IBM. The audit program for ISO50001 covering eight sites verified a high degree of conformance to ISO50001 and IBM WW EnMP resulting in recommendation for certification for all sites within the audit sample. Statement of independence, impartiality and competence Bureau Veritas Certification is an independent professional services company that specializes in Quality, Health, Safety, Social and Environmental management with over 180 years history in providing independent assurance services. BVC has confirmed that no member of the assurance team has a business relationship with IBM, its Directors or Managers beyond that required for auditing and verification purposes. We conducted this verification independently and to our knowledge there has been no conflict of interest. Bureau Veritas has implemented a Code of Ethics across our business to maintain high ethical standards among staff in their day-to-day business activities. The combined BVC global assurance team for 2013 has almost 150 years of combined experience in conducting assurance over environmental, social, ethical and health and safety information, systems and processes. Summary report prepared by John Pyeha, Senior Lead Auditor (RABQSA/IRCA) for HSE on behalf of Bureau Veritas Certification 21 January Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06

6 Totals Yorktown Heigths NY Research Triangle Park NC Guadalajara East Fishkill NY Corporate Env Affairs Burlington VT Bromont Ontario South San Jose CA IBM Attachment 1 Company / Site: Date: Month/Yr 6/13 2/13 7/13 10/13 3/13 6/13 11/13 11/ General Requirements X X X X X X X X 4.2 Management Responsibility Top Management X X X X X X X X Management Representative X X X X X X X X 4.3 Energy Policy X X X X X X X X 4.4 Energy Planning General X X X X X X X X Legal and Other Requirements X X X X X X X X Energy Review X X X X X X X X Energy Baseline X X X X X X X X Energy Performance Indicators X X X X X X X X Energy Objectives, Energy Targets and Energy Management Action Plans 1 X X X X X X X General X X X X X X X X Competence Training and Awareness X X X X X X X X Communication 1 X X X X X X X Documentation X X X X X X X X Operational Control X X X X X X X X Design X X X X X X X X Procurement of Energy Services, Products, Equipment and Energy X X X X X X X X 4.6 Checking Monitoring, Measurement and Analysis X X X X X X X X Evaluation of Legal Requirements and Other Requirements 1 X X X X X X X Internal Audit of the EnMS X X X X X X X X Nonconformities, Correction, Corrective and Preventive Action X X X X X X X X Control of Records X X X X X X X X 4.7 Management Review X X X X X X X X TOTALS Bureau Veritas Certification ISO 14001:2004 Audit Report - Rev. 3 Dec-06