EN16001 Internal Audit Guide

8/7/2019 EN16001 Internal Audit Guide

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Internal Audit Guide

I.S. EN 16001:2009Energy management systems Requirements with guidance for use


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The Internal Auditors Guide to:

Auditing an energy-management system to the requirements of I.S.

EN 16001:2009 the Irish Energy Management System Standard

November 2009


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Table of Contents

1. Introduction .............................................................................................................................................................42. The internal auditor ...............................................................................................................................................5

2.1. Who is an EMS internal auditor? ........................................................................................................5

2.3. Are you independent enough to perform an EMS audit? .........................................................5

3. EMS internal audit ..................................................................................................................................................5

3.1. What an EMS audit is not! .....................................................................................................................5

3.2. What is an EMS internal audit? ...........................................................................................................6

4. What does an EMS audit examine? ..................................................................................................................7

5. Steps in conducting an EMS internal audit ....................................................................................................8

6. Tips for planning, conducting and reporting on EMS internal audits ..................................................9

6.1. Planning the audit ..................................................................................................................................9

6.2. Starting the audit ....................................................................................................................................9

6.3. Conducting the audit ............................................................................................................................9

6.4. Note-taking ............................................................................................................................................ 10

6.6. Audit findings ....................................................................................................................................... 10

6.7. Closing meeting ................................................................................................................................... 10

6.8. Audit follow-up .................................................................................................................................... 11

7. Types of EMS audit .............................................................................................................................................. 12

7.1. Compliance audits ............................................................................................................................... 12

7.2. Process audits ....................................................................................................................................... 14

7.3. Performance audits ............................................................................................................................. 18

8. Conclusion ............................................................................................................................................................. 20

9. Appendix A: Sample Checklists ...................................................................................................................... 21


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1. IntroductionThe European Standard EN 16001:2009 has been adopted in Ireland as I.S. EN 16001:2009. It sets outthe requirements for an Energy Management System (EMS) and has been developed to assist

organisations to improve their energy efficiency in a logical, controlled and systematic way.

The standard promotes:

the analysis of real energy usage data the identification of the specific locations, times and underlying requirements (referred to as

factors) that dictate the magnitude of this energy use

By adopting the standard, organisations can accurately identify, understand and prioritise

opportunities to improve their energy efficiency. This analysis, coupled with a management systemapproach, has a long and proven success record in all industry sizes and sectors.

The Irish energy standard has been developed to align with other common industry management

standards, such as those for quality, health & safety and environmental systems. Companies can thus,

where appropriate, integrate an EMS with their current management system(s).

The purpose of this internal auditors guide is to provide a number of recommended approaches to

performing internal audits, and to act as an aid for auditors as they audit an I.S. EN 16001 EMS.

This guide has been specifically developed for individuals who have been nominated to audit their

organisations I.S. EN 16001 EMS. Before performing such audits, it is important for a prospective

auditor, and a requirement of the standard, that you have been deemed competent to performinternal audits of the EMS. This guide is an important step towards building that competence.


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2. The internal auditor2.1.Who is an EMS internal auditor?

An EMS internal auditor is anyone who can fulfil two important criteria: first, they must be competent,

and secondly they must be independent.

2.2.Are you competent to perform an EMS audit?Organisations should define their own specific competence criteria for internal auditors. To be

competent, the internal auditor(s) must have a reasonable technical understanding of:

their EMS the I.S. EN 16001 standard the processes they are examining

The internal auditor(s) must also know how to conduct an audit. This ability will be developed

through a combination of training (internal and/or external) and experience of observing,

participating in, and leading audits.

This guide is designed to be an aid to novice and mature internal auditors alike in conducting EMS

internal audits. In many cases, to demonstrate the required competence, an audit team with different

skill sets will be required. This may be achieved by combining personnel with good auditing skills and

good technical skills.

2.3.Are you independent enough to perform an EMS audit?You can usually verify your independence as an internal auditor by the simple question: Am I

auditing my own work or the work of an individual that reports to me directly? If the answer is yes, it

is possible that the audit will not provide an unbiased picture of the activities under review. You may

not be the best person to audit that particular part of the system.

3. EMS internal auditThere is often a misconception in industry about what an EMS audit actually is. For the purposes of

this guide, we will first clarify what it is not, and then explain what it is and what it examines.

3.1.What an EMS audit is not!An EMS audit is not:

an assessment of a buildings energy rating a technical review of the cost benefits of introducing power-factor-correction electronic

equipment into the organisation

an identification of the optimised chiller running temperature in the factory heating, coolingand air-conditioning system

a feasibility study of the benefits of installing energy-efficient lighting


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a wind and solar resource assessment with the intention of becoming an electrical auto-producer

a sizing and redesigning of the water-heating system using solar technologiesAn internal auditor of an I.S. EN 16001 EMS is not required to carry out any of these or other such

tasks, but might be asked to assess these issues if they are being implemented by someone else in

the organisation.

3.2.What is an EMS internal audit?An EMS internal audit is an independent review of part or all of an organisations EMS.

The purpose of the audit is to determine if the plans, activities and procedures/processes described in

the management system are being conducted in the manner that the system requires.

In adopting I.S. EN 16001, an organisation has committed itself to achieving improved energy

efficiency and to setting objectives and targets to attain this. The internal audit is a crucial check to

verify if the EMS is effective, if it is operating as intended, and if it is achieving its objectives.

Auditing is therefore crucial to the success of any EMS as it will provide answers to these important

questions:

Is the organisations EMS working as intended? Is the EMS meeting the requirements of the I.S. EN 16001 energy standard? Are the plans and controls established by the organisation being followed as intended? Are the expected targets being achieved? Is it realistic to expect that the EMS will achieve its stated objectives?

While conducting an audit, you may find that plans or procedures are not being followed as intended.

In such a case, you can raise a finding or recommendation for improvement. The organisation can

then take corrective action to address the problem, or identify and implement a preventive action to

stop the problem from recurring.


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4. What does an EMS audit examine?An internal audit reviews and examines systematically each or all of the components of the EMS,

including:

The objectives, targets and plans Legislation, regulations, standards, and corporate agreements, particularly if they relate to

energy use or management

The policies and procedures, records, and operational controls, including:o Identification of significant energy aspectso Identification of legal obligations and other requirementso Evaluation of compliance with legal obligations and other requirementso Awareness training and competenceo Communicationo Document controlo Record controlo Non-conformance corrective and preventive actiono Internal auditso Energy performance statementso Management review minutes or associated presentations

As an internal auditor, you should also examine the systems and records associated with monitoring

and measurement of the organisations energy performance, such as significant energy usage,

relationships between usage and the factors associated with it, performance against set objectives

and targets, energy performance indicators (EPIs) and key performance indicators (KPIs).

Records to be examined may include calibration records of any monitoring and measurement

equipment, as well as the maintenance/operational records of any area, equipment or machinery that

has been identified as significant in terms of energy.


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5. Steps in conducting an EMS internal auditOverview of the typical activities carried out by an internal auditor

Prepare for the audit

Verify which element(s) of the energy-management system or process you havebeen requested to audit

Identify the sources of information required in the audit(people, processes, documents, records, data, etc)

Check that the people, information and other resources you need for the audit areavailable at the time allocated to the audit

Review any findings or corrective/preventive actions from the previous audit of theelement(s) of the energy-management system or process

Prepare audit check sheets as a reminder for use during the audit (see the end ofthis audit guide for examples)

Conduct the audit

Collect and verify objective evidence Establish any audit findings Have a final closing meeting with the person who has direct responsibility for the

area/process being audited, communicate your audit findings, and agree any

corrective actions

Audit report

Prepare and distribute the audit report Log any corrective actions agreed

Audit follow-up

Corrective and preventive actions: review progress

Starting the audit

Meet with the person who has direct responsibility for the element(s) of the energy-management system or process you have been requested to audit

Explain the purpose of the audit


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6. Tips for planning, conducting and reporting on EMS internalaudits

6.1.Planning the audit Before you begin the audit, verify the section of the standard or process you have been

tasked to audit.

Identify the sources of information needed to complete the audit. These may includedocuments, people, measurement results, records, monitoring systems, project plans, etc.

Before conducting an internal audit, a good auditor will verify if the people, places anddocumentation required for the audit will be available during the audit.

6.2.Starting the audit At the beginning of your internal audit, explain the purpose of the audit to the people whose

impact on energy performance is under review.

Emphasise that the purpose of the audit is to check the effectiveness of the EMS and not toassess their performance.

Explain what information you will be looking for during the audit and how long it shouldtake.

As an auditor, you should always remember that your role is to find and report on facts that you have

verified from evidence obtained during the audit. An auditor should never find fault in individuals,attribute blame or impose a predetermined corrective action. Most important is the conduct of the

auditor:

Always be mannerly Always be courteous Never pass judgement or be judgmental Do not argue agree to disagree Explain issues as they occur doing this saves time and will prevent disagreements when

clarifying findings at the end of an audit

Keep your composure and maintain a good sense of humour!

6.3.Conducting the auditWhile conducting the audit you will need to:

Control the time spent on the audit Control the sample size (keep it small 3 to 5 records will usually suffice) Strive to focus all conversation on the audit subject matter, to use the time available

effectively


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Avoid looking at things outside your audit plan until after you have audited all items in yourplan

6.4.Note-taking

Avoid excessive note-taking. It can make people nervous! Keep your notes short Use the notes as memory aids only Limit the notes to items that can verify what you have seen and your findings6.5.What should you record?

You should record notes relating to findings and memory aids, including:

Job roles Documents and records sampled Machinery names and numbers Sources of data and analysis samples Areas visited Objectives and targets information

6.6.Audit findings

Always base your findings on facts that you have observed/identified in your audit, and use the EMSor the I.S. EN 16001 standard to back up your findings, such as:

Processes or procedures being followed or not Compliance with policies or not Objectives and targets being met or not Energy programmes being followed or not Critical data being monitored or not

You should ensure that all your findings can be backed up by the evidence gathered and that all

findings gathered during the audit are agreed at the closing meeting.

6.7.Closing meeting

Explain each finding from the audit Explain why each finding is a non-conformance or an observation Always give evidence to back up your finding Agree a timeframe for corrective and preventive actions

Explaining findings:

1. State the requirement to which the finding relates, eg:


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I.S. EN 16001 section 3.4.2 for training awareness and competence states that or

The procedure for training states that

2.

State what you found! For example:There was no energy training scheduled for the employees in the die-cast area. Give

the evidence for this finding.

3. Give an indication as to the seriousness of the finding. For example, you could gradeyour findings on a scale of 1-3, using 1 for a serious finding and 3 for minor findings or

general comments.

6.8.Audit follow-up

Review the progress towards completing the corrective and preventive action, after theagreed time has passed Review the findings of this audit during the next audit


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7. Types of EMS auditAn internal auditor can use two main methods of auditing during an assessment of the EMS: a

compliance auditand aprocess audit. A third type, aperformance audit,uses the methods used in both

compliance and process auditing.

7.1.Compliance auditsCompliance audits are used to ensure that all the requirements of the energy-management standard

have been considered and met in the organisations energy system. The compliance audit is a review

of the organisations EMS documentation such as: Manual, Procedures, Policies, Legal Requirements,

Energy Objectives, Targets and Programmes/Project Plans, and associated records.

A compliance audit aims to answer two main questions:

(a) Are the requirements of I.S. EN 16001 being met by the organisations EMS?

(b) Are all the plans and processes that the organisation has outlined to meet the requirements of

I.S. EN 16001 being followed in practice?

For example:

You have been requested to audit the training section of the organisations EMS.

1. You start by preparing for the audit by identifying what information you will need toconduct the audit. The Compliance Audit Checklist(see Appendix A) may be useful in this task.

The compliance audit checklist indicates that you should review the following

documentation: the Energy Manual, the Training Process description and/or Procedure; the

Training Needs Analysis and the Training Schedule; the Energy Awareness Training Records

and any Communication Meeting Minutes and Noticeboard displays.

The Training Process/Procedure will give you an overview of the training activities relevant

to the EMS.

2. Take the Training Process/Procedure and analyse what it says that the organisation doeswith regard to energy-management training.

3. Check if the process/procedure addresses the stated policy on energy training, eg: The organisation will make personnel aware of the energy policy The organisation will make personnel aware of the operational controls and plans in

place to improve energy use

The organisation will make personnel aware of the impact of their work with regardto energy

The organisation will make personnel aware of the benefits of improved energyperformance


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The organisation will identify personnel who have a significant impact on energyuse and ensure that they are competent in their role by providing appropriate

training

The organisation will identify training needs associated with the significant energyaspects of the EMS

4. Test what the process/procedure says the organisation does against what the organisation isactually doing in practice.

Check 1: Have all relevant staff in the organisation been trained or informed of the existence

of the energy policy, energy objectives, energy targets and energy teams; of the benefits,

and of their responsibility in terms of energy performance.

Ask for the training records for between three and five people in each department.

If you find that the records for some of the personnel sampled show that they have not been

trained, or if you find that few or no-one in a department has been trained, take another

sample of three to five people in the department to determine the magnitude of the

problem (or, to use the auditing term, non-conformance), or check if there is a training plan

in place to carry out this training in the near future.

If you find that personnel have not been trained in the policy, objectives, energy controls

and their roles, your audit finding could be:

Not all required personnel in the stores area have been trained on the energy policy, objectives,

energy usage, controls and their roles with respect to energy.

Then detail your evidence:

An analysis of the training records for the production and stores department found that neither

the production supervisor nor any of the stores personnel have received energy awareness

training. This finding was substantiated through discussion with the relevant staff.

The associated action will be:

Action 1. The production supervisor and stores personnel should receive energy awareness

training as soon as possible, in line with our Training Procedure.

Check 2: The Training Process/Procedure might say how the organisation has deemedcertain personnel competent to perform specific tasks that have a significant impact on

energy usage. You now need to ask, Who are these people?

The register/list of energy aspects, the initial energy review and/or energy manual may tell

you the people that have a significant effect on energy usage. If you cannot identify these

individuals within the documented EMS, refer to the compliance audit checklist provided, for

a list of people who may be able to identify these personnel for you.

If you cannot identify the relevant personnel, your audit finding could be:

The organisation has not identified or recorded which personnel can have a significant impact

on energy usage.


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Then detail your evidence:

The initial energy review or related documents do not specify the persons whose actions can

have a significant impact on energy consumption and nor could the energy manager or the HR

manager tell me who they were.

The associated action will be:

Action 2. The organisation must identify personnel who may have a significant impact on

energy usage and assess what competency is required for their roles. The organisation should

identify and implement the necessary operational controls and training for these personnel.

Check 3: Has the organisation identified the training needs associated with the control of

significant energy aspects and the management system?

Has the organisation identified the training needs for all staff and roles that can have animpact on energy usage? Look for a training needs analysis. If you find that this analysis has

been completed for all staff, determine if any identified gaps in current training have been

translated into a training plan.

If no plan exists, your finding might be:

The training gaps identified in the training needs analysis have not been addressed.

Now detail your evidence:

There is no training plan to address the training gaps identified in the training needs analysis nor

any records of any such training being completed.

The associated (corrective) action will be:

Action 3. A training plan should be developed and completed to meet the training gaps

identified in the training needs analysis.

For further examples of how to structure a compliance audit, see the sample compliance audit

checklist in Appendix A.

7.2.Process auditsInstead of auditing a clause or a section of a standard in isolation, in a process audit you audit an

actual operating process in your organisation.

Since all companies are organised around particular business functions, such as departmental,

production or service processes, it is often best to audit using a process rather than compliance

approach.

The process audit can often identify gaps that a compliance audit fails to identify, such as failures of

information flow between departments or levels within the organisation.

As all companies use different types of process in their daily operations, it is up to your organisation

to identify which process to audit and where each of your processes starts and ends.

Types of processes that your organisation may identify could include:


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Operational departmentsEg, Production, Engineering, Maintenance, Stores, Dispatch and Transport

Utilities processesEg, gas or biomass heating systems, office air-conditioning systems, production compressed-

air systems, production electrical use, transport fuel use, refrigeration processes, or drying

processes

Business departmentsEg, Purchasing, Sales, Customer Services and Finance

Process audits are assessments of any system of operation with a set of defined inputs and a desired

output or result.

Conducting the process audit

Regardless of the nature or scale of the process you are required to audit, it is important to first

identify the following:

The energy inputs required for the process to operate This may include the heating, cooling, electricity or fuels required. These inputs may bemonitored or measured. You should check how the process is performing in this regard bychecking the energy usage results against any targets or trends.

The energy controls your organisation has established to operate the process efficiently These may include: IT systems, procedures, documented responsibilities and authority,training of and communication with staff associated with the process or checks, inspections,audits, or maintenance and calibration records associated with the process.

The energy measures your organisation has in place to assess the performance of theprocess

Including: benchmarks, targets, trend analysis, energy performance indicators (EPIs), energyand fuel use data, or outputs versus energy expended in the process

If energy project plans or programmes have been identified to improve the energyefficiency of the process you are to audit

These may include organisation or process objective project plans that detail tasks forindividuals or teams, with target dates for completion.

By identifying the energy inputs, energy controls, energy measures and energy plans, any process in

your organisations EMS can be audited effectively using the process approach.

Process audit example

The following is an example of a process audit on a production process.

A factory production process produces plastic bottles. The process has a number of defined steps, as

follows:

1. Plastic raw material is put into the hopper of the moulding machine by an operative


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The inspection procedure says bottles are inspected every three hours, and the average

inspection takes 10 minutes. After the inspection the light should be turned off, as laid down

in the inspection procedure.

Process Input 3: Staff(observation of conformance to procedures, communication, training

awareness and competence, responsibilities & resources)

Here you see the effect that staff can have on each stage of the bottle production process:

From discussions held with the production operator and the fork truck driver, you discover that

neither of these staff members was made aware of the changes to the standard operating procedures

for the moulding process. These changes included: the temperature settings for the electrical

elements on the moulding machine procedure, the factory constant temperature objective and the

requirement to turn off the inspection light after the inspection procedure.

You see from an inspection of the training records that neither the bottle machine operator nor the

fork truck operator has been trained in the operating procedures for the production line. Thus they

were not aware of the revised running temperatures for the electric extruders, the chiller cooling

temperatures, and the factory required ambient temperature of 20OC. Nor were they aware that the

factory door should be kept closed and the inspection light be turned off after use.

The flat tyres on the fork truck and the cooling water leak were recently reported to the stores and

maintenance supervisors, and are awaiting repair.

No-one has reported that the fork truck requires a service.

Process Input 4: Energy Aspects, Objectives, Targets, Project Plans & Operational Controls

Here you will see the effect that energy aspects, objectives/targets project plans & operational

controls can have on each stage of the bottle production process.

The bottle production process has been identified as a significant energy aspect and is on the Energy

Aspects list. The monitoring and measurement results of oil and electrical usage for this process were

reviewed before the audit.

The objective for the bottle production process is to reduce the primary energy use. The programme

to achieve this includes: install energy-efficient electrical elements, set optimised melt temperatures

for electrical elements, set optimum chiller temperatures, control factory heating and lighting, and

train staff. (detailed in the Energy Aspect programme of work list).

The energy aspects of the bottle production process have specified energy performance indicators

(EPIs) identified for the process. For example, the targeted amount of energy used per 1,000 bottles

produced has been set at 0.5MWh. Currently the process is using 0.84MWh of electricity per 1,000

bottles produced. This target is not being met despite energy programme improvements, including

the introduction of high-efficiency boilers and new plastic heating elements (as outlined in the

objective project plans).

A review of the training project plans shows that the training is not being carried out as quickly as

required in the project plan. To date only 50% of the planned training has been completed. (See the

table of example process audit activities in the Appendix.)


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Summary of the example process audit

In this process audit, you have found several examples of non-conformance with the requirements of

the sample EMS. These are valuable findings, as each issue has a direct impact on energy usage.

Following a process approach in the audit allowed you to identify the process inputs. With the aid of

the process audit checklist, you examined these inputs at each step of the production process. You

thus identified poor energy performance even after significant investment in new and electrical

heating elements and in replacement of the oil boiler.

Secondly, using the process approach, you found that operational controls surrounding the process

were failing to achieve the desired results due to one main root cause: the failure to follow the

training project plan. (Note that the root cause of many non-conformances identified in internal audits is

lack of investment in staff training.)

At the closing meeting of this audit, you communicated all findings to the production supervisor, theproduction manager and the engineering manager. You explained to the management team how

you arrived at each of the findings and you discussed their impact on energy usage. You also

discussed appropriate corrective actions for each individual finding. You pointed out that the failure

of many of the operational controls in place was a direct result of delays in implementing the project

plan for training. Therefore your discussions focused on the need to implement the training plan

without delay to ensure that the operational controls work effectively.

For an example of how to structure a process audit, see the sample process audit check sheet in

Appendix A.

You may also find it helpful to tabulate a record of your audit activities against your aspects (see Table

C).

7.3.Performance auditsIn performance auditing, you can use the compliance and process audit methods that have been

described earlier to identify further opportunities for improving the EMS and thus the energy

performance of your organisation.

In performance auditing, you aim to establish two main points:

1. To verify and determine the effectiveness of the EMS in achieving the expected energy-reduction targets as stated in the company energy objectives

2. To determine if it is realistic to expect that the organisations processes and plans willachieve the stated objectives of the EMS

As the internal auditor, you will seek to assess the actual energy performance of the organisation

compared to its objectives, targets and energy indicators, benchmarks or any other EPIs that your

organisation has set for itself. If these points cannot be verified, you may have cause to raise a finding.

To assess the performance of the organisation, you will seek to identify the degree to which the

organisation is exceeding, meeting or failing to meet its targets, as outlined in the EMS.


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For example:

Your company has set a key performance indicator (KPI) for electrical usage per hour of operation in

an office environment. This energy indicator increases and decreases throughout the year depending

on varying natural daylight levels and the seasonal heating requirements of the office.

Using the compliance audit approach in a performance audit

1. Check if the electrical usage targets in the office are being achieved or not. Verify if theoperational controls designed to achieve this target (as described in the office procedures)

are being followed or not.

2. Check if the internal audits are being carried out on the procedures and objectives in thisarea as planned. Have any audit findings relating to this area been raised to date?

3. Check if corrective or preventive actions have been raised that may affect energy usage inthe office, and determine if these actions have been addressed and completed on time.

4. Determine if there is evidence available showing that these corrective or preventive actionswere effective in reducing energy usage in the offices, by comparing with the appropriate

monitoring and measurement results.

Using the process audit approach in a performance audit

Audit the monitoring and measurement process that provides the key performance indicator or

performance measurement information for the office electrical use target.

1. Check if the calibration records of the electrical sub-meters, which are used to identify andrecord office electrical usage, are up to date.2. Go through each step of energy usage in the office to determine if the energy operational

controls and project plans associated with the office energy objective are being followed.

3. Check if calculations are required to translate energy monitoring information into energytargets that are reported to management. Check if these calculations are correct and that

they are consistent over time (eg, has the method of calculation changed?).

4. Can you verify that the energy performance information being reported to management inthe management review or performance statement is accurate?


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8. ConclusionIn the previous section, various auditing techniques are described that you can use in your role as

an internal auditor of an EMS.

This guide and the examples in it demonstrate in general and in some detail how an internal

audit process can play a crucial part in improving your EMS.

You will find that the process of auditing becomes easier with practice. Try to conduct audits

regularly. It is better to conduct small audits frequently, rather than large audits with long periods

between them.

Remember that your role is not to find fault with people but to carry out the audit in a courteous

manner. You will probably find your audit work highly rewarding, both for yourself and for your

organisation. You are ultimately improving the EMS, saving money for your organisation and

making a strong contribution to increasing energy efficiency.


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9.

AppendixA:SampleChecklists

TableA:SampleComplianc

eAuditChecklistforanISEN16001:2009EnergyManag

ementSystemStandard

ISEN1600

1

standardc

lause

Samplequestions

Whatd

ocuments?

Whotoask?

Evidence

gathered

Find

ing

3.1General

Requireme

nts

Isthereadocumenteden

ergy-management

systeminplace?

Doestheenergy-managementsystemexplainhow

theorganisationwillimproveitsenergyefficiency

withinadefinedscope/bo

undary?

Energy

manual

Allprocedures

Registe

rs

Docum

ent&records

List(s)

Management

representative

3.2Energy

Policy

Doestheenergypolicysu

pportthescopeand

provideacommitmentto

continuallyimprovethe

organisationsenergyefficiency?

Hasmanagementsigned

offonprovidingthe

necessaryresources?

Istheenergypolicycomm

unicatedtoallstaff?

Energy

policy

Minute

sofmanagement

review

Anymemberof

staffincl.

contractors

3.3.1

Identification&

ReviewofE

nergy

Aspects

Doestheorganisationhaveaprocessinplaceto

regularlyreviewitspastandpresentenergyusage?

Doesthereviewincludetheanalysisofdata?Have

thefactorsaffectingusagebeenidentified?

Hasequipmentwithasignificantenergyusebeen

identified?

Areopportunitiesforimprovementidentifiedin

thereviewandisthisprocessactive?

Energy

manual

Proced

ureforidentifying

&evalu

atingenergy

aspects

Review

ofenergyaspects

Monito

ring&

Measurementprocedures

Registe

rofopportunities

forimp

rovement

Management

representative

Engineering/

Energy/Utilities

manager

Energyteam


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3.3.2Legal

Obligations&

Other

Requireme

nts

Hastheorganisationdeve

lopedaprocessto

explainhowitidentifiesrelevantlegalandother

requirements?

Istheorganisationstopm

anagementcommitted

tocomplyingwithallrelevantlegislationand

regulationswithrespectt

oenergy?

Energy

manual

Legalregister

Managementreview

minute

s

Management

representative

Energyteam

Sampleoftop

management

3.3.3Energ

y

Objectives,

Targets&

Programmes

Haveenergyobjectivesandtargetsforthe

organisationbeenidentifiedanddocumented?

Werelegalrequirementsrelevanttothe

organisationconsideredw

hensettingthe

objectivesandtargets?

Arethedocumentedobje

ctivesmeasurableandis

thereatimeframesetforachievingthese

objectives?

Haveenergy-managemen

tprogrammesbeen

developedthat,whencom

pleted,willachievethe

organisationsstatedobje

ctivesandtargets?

Havethepeopleresponsi

blefortheseprogrammes

beenidentified?

Energy

manual

Legalregister

Objectives&programmes

list

Energy

&management

meetin

gminutes

Management

representative

Engineering/

Energy/Utilities

manager

Energy&Functional

managers

Energyteam

3.4.1Resou

rces,

Roles,

Responsibility&

Authority

Hasamanagementrepresentativebeenallocated

toensurethesystemisim

plementedandtoreport

onitsperformance?

Havetheroles,responsibilitiesandauthorityof

everyonewithanimpactonenergyusagebeen

identified,documentedandcommunicated?

Energy

manual

Energy

policy

Docum

entedrolesand

responsibilities

Minute

sfrom

manag

ement

reviews/performance

statements

Management

representative

Functional

managers

Supervisors

Productionstaff

3.4.2Awareness

Training&

Hasanenergytrainingplanbeendeveloped?

Areallemployeesawaret

hattheorganisation

Energy

manual

HRmanager


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23

Competence

intendstoimproveitsenergyperformance?

Hastheroleofemployeesinimprovingthe

organisationsenergyefficiencybeen

communicatedtothem?

Doesthetrainingprocess

extendto

contractors/suppliers?

Doestrainingextendtoalllevelsofcompany

management?Havemanagerscontributedto

definingtheenergyobjec

tivesofthecompanyor

registeredideasforimpro

vement?

Energy

training

process/procedures

Trainingneedsanalysis&

schedu

le

Trainingrecords

Communicationmeeting

minute

s&noticeboard

display

s;registerof

opport

unities

Management

representative

Functional

managers

Supervisors

Productionstaff

Teamleaders

3.4.3

Communic

ation

Haveprocessesbeendevelopedtocommunicate

tostafftheenergyperformanceofthe

organisation?

Aretheseprocessesbeing

followed?

Istheorganisationcommunicatingexternally

aboutitsenergyperformance?

Energy

manual

Communicationmeeting

minute

s&noticeboard

display

s

Energy

procedures

trainingrecords

Communicationplan

Corporate

services/Mark

eting

Management

representative

Functional

managers

Supervisors

Productionstaff

HRmanager

3.4.4Energ

y

Manageme

nt

System

Documentation

Doestheenergy-managementsystem

documentationdescribethecoreelementsofthe

system?

Dothesedocumentsprov

idedirectiontoother

relateddocuments,incl.technicaldocuments?

Energy

manual

Anyrelevant

proced

ures/registers

Record

s

Document

controller

Management

representative

Utilitiesstaff

3.4.5Controlof

Documents

Isthereaprocessinplace

forcontrolling

Alldocumentsand

records

Energymanager


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24

documentsandrecords?

Arerequireddocumentsavailable(seesection

3.4.4)?

Isitstatedwhererecords

arestoredandforhow

long?

3.4.6Opera

tional

Control

Hastheorganisationestablishedcriteriafor

operatingandcontrolling

allequipment,facilities,

buildings,etc?

Isthereaprocesstoevalu

ateusageintheeventof

anyplannedchangetoin

frastructure,etc?

Istherearequirementtoconsiderenergyefficiency

aspartoftheevaluationp

rocessforprocurement?

Doesthisrequirementapplytoequipment,

materials,etc?

Energy

manualandwork

instructions

Design

process;CapEx

process;Corporate

require

ments

Purcha

singprocedures

Energy,Purch

asing

&Engineering

managers

Functional

managers

Supervisors

3.5.1Monitoring&

Measurement

Isthereaclearoutlineofthemonitoring,metering

andtargetingthatarereq

uired?

Isenergyusagebeingmo

nitored&measured

regularly?

Ismonitoring&measurem

entequipmentbeing

calibrated?Isthiscalibrationuptodate?

Istherelationshipbetwee

nusageandtherelevant

factorsbeingreviewedan

dwherenecessary

amended?

Aresignificantaccidental

deviationsfromexpected

consumptionbeingrecorded,investigatedand

resolved?

Energy

manualandwork

instructions

EMS/BMS

SCADA

systems

Calibra

tionregisters/certs

Trenda

nalysis

Review

&Energymeeting

agenda

s&minutes

Energy&

Engineering

managers

Functional

managers

Supervisors

Utilitiesengin

eers

3.5.2Evaluationof

Isthereaprocessinplace

toevaluatecompliance

Evaluationofcompliance

Management


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25

Compliance

withthelegalandotherrequirementstowhichthe

organisationsubscribes?

Arethererecordstoprovethattheseevaluations

havetakenplace?

proced

ure

Energy

manual

Legalregister

Legale

valuationrecords

Managementreview

minute

s

representative

Compliance

managers

Energy&

Engineering

managers

Functional

managers

3.5.3Non-

Conforman

ce,

CorrectiveAction

&Preventiv

e

Action

Isthereaprocessforhand

lingcorrectiveand

preventiveactions?

Arethecriteriathatconstitutenon-conformance

clear?

Isthereevidencetoshow

thatallcorrectiveand

preventiveactionsarebeingtakeninaspecified

timeframe?

Energy

manual

Corrective&preventive

actionprocedure

CAPAlog

Managementreview

minute

s

Energy&Functional

managers

3.5.4Controlof

Records

Areallrecordsrequiredbytheorganisations

energy-managementsyst

emlegible,retrievable,

traceableandidentifiable

?

Docum

entcontrol&

record

controlprocess(es)

Record

slist

Administrator

Teamleaders

Utilities

3.5.5Intern

al

Audits

Isthereaninternal-auditprocesstocomplete

auditsasrequired?

Hasanauditschedulebeendeveloped?Doesit

takeintoaccounttheimp

ortanceofprocessesand

areastobeaudited?

Areimpartialityandindep

endencefactoredinto

theauditorselectionproc

ess?

Areauditfindingsandrep

ortsdocumented?

Arefindingsfolloweduponandaddressed?

Auditp

rocedure/process

Correctiveaction

proced

ure

Audits

chedule

Aspectslist

CAPAlog

Auditreports

Internalaudit

manager

QEHSmanager

Auditteam

3.6Management

Hastheorganisationcarriedoutitsmanagement

Energy

manual

Management

team


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26

Review

reviewsoftheenergy-managementsystematthe

requiredplannedinterval

s?

Doesthemanagementre

viewincludeallthe

requiredinputs?

Istherearecordoftheou

tputsofthemanagement

reviewprocess?

Managementreview

minute

s

Perform

ancestatement

Objectiveslist

Management

representative


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27

TableB:SamplePro

cessAuditChecklistforanI

S393EnergyManagementS

ystemStandard

Processelement

Clauseof

IS393

Whattolookfor

Whattorecord

Findings

Plant/Equipment/

Machinery

3.4.1

3.4.6

3.5.1

Availabilityofnecessaryequipment

Ma

intenancestatusandplans

Calibration/certificationstatus

Mo

nitoringactivity/processcontrolsta

tus/

op

eratingprocedures

Equipmentname/serialno

.

Maintenancestatusdueor

not

Calibration/certificationstatusdueornot

Monitoringactivity/proces

scontrolstatus;whatare

theresultsandwhatdotheysuggest?

WorkEnvironment

3.3.1,3.4.6

Lig

ht,temperature,noise,vibration,

specifiedenvironmentalcontrols

Light,temperature,noise,vibration,issuesfound,

whereissuesfound

Staff

3.4.6

3.4.3

3.4.2

3.4.1

Ob

servationofconformancetoproced

ures

Co

mmunication

Tra

iningawarenessandcompetence

Responsibilities&resources

Namesofindividualsinterviewed

Observationofconformancetoprocedures

Evidenceofsufficientcommunicationtostaff

Trainingawarenessandco

mpetencerecorddetails

Responsibilities&resource

s:evidenceof

communicationandfulfilm

entofresponsibilitiesand

ofresourcesbeingprovide

d

EnergyAsp

ects,

Objectives,Targets,

ProjectPlans&

Programmes

Operationa

lcontrols

3.3.1

3.3.3

3.2,34.4.4,

3.5.4

3.63.5.3

Associatedenergyaspects

Associatedobjectives&targets

Energy-managementprogrammes

Specifiedpolicies&procedures

Records

Informationoneffectiveness

No

n-conformanceCAPA

Conformanceinrelationto

:

Associatedobjectives&targets

Energy-managementprog

rammes

Specifiedpolicies&proced

ures(nameandrevision

number)

Records(nameandrevisionnumber)

Non-conformance

Corrective/preventiveaction


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28

ProcessInp

uts

3.6

3.63.63.63.4.5

Ch

angestotheprocesssincethelasta

udit,

anynewcontrols

Ne

wcontractors,employeesorsupplie

rs

Ad

herencetoenergyprocurementpolicy,

procurementspecifications/guidelines

Mo

nitoringofenergyuseintheproces

s

Changestotheprocesssin

cethelastaudit,anynew

controls

Newcontractors,employeesorsuppliers

Adherencetoenergyprocurementpolicy,

procurementspecification

s/guidelines

Names,equipmentID,materialID,documentnos.

andrevisions


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29

Tab

leC:SummarisingAuditActivitiesagainstObjectives,Ta

rgets,

Programmes,Indicators,

OperationalControl,and

Monitoring&Measure

mentanExample

Energyaspect

Objective

Target

Programme

Indicator

O

perational

control

Monitoring&

measuremen

t

PlasticBott

lePlant

Reduceenergyuse

Reduceenergyuse

by8%oncurrent

levelbyyearend

Installenerg

y-efficient

electricalele

ments

Setoptimum

melt-point

temperature

forelectrical

elements

Setoptimum

chiller

temperature

forcoolant

water

Workarea:

Replaceheatingboiler

withmoreefficientheating

equipment

Installenerg

y-efficient

lighting

Staffenergy

training

Electricity

usage:

kWhper1,000

bottles

S

tandardoperating

p

rocedure

Electricitysub

-

meteringforplant

Electronicoil

monitor


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30

Summaryofauditactivitiesundertaken

Energyaspect

Objective

Target

Programme

Indicator

O

perational

control

Monitoring&

measuremen

t

AuditofthePlastic

BottlePlant

Theauditw

as

conducted

onsite

Auditobjectiveisto

confirmthatenergy-

management

systemissupporting

theenergyusage

reductionobjective

Examinedprogress

againsttarget

Examineden

ergy

programme

projectplan

Examined

usagereport

and

production

records

E

xaminedSOP

Examinedusa

ge

report


33/36

31


34/36

32


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