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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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1
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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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¬iceboard
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¬iceboard
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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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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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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Review
reviewsoftheenergy-managementsystematthe
requiredplannedinterval
s?
Doesthemanagementre
viewincludeallthe
requiredinputs?
Istherearecordoftheou
tputsofthemanagement
reviewprocess?
Managementreview
minute
s
Perform
ancestatement
Objectiveslist
Management
representative
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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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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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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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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
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Sustainable Energy Ireland
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T. +353 1 8082100
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