02 Slides - ENM03001ENIN - v4 (AD02) - Oct2021
02 Slides - ENM03001ENIN - v4 (AD02) - Oct2021
Training Academy
ISO 50001:2018 Internal Auditor Training Course
Copyright © 2019 BSI. All rights reserved. ENM03001ENIN v4.0(AD01) Aug 2019
The course is aimed at personnel who already have an understanding and are familiar with ISO
50001:2018, its structure, terms and definitions, and its requirements. The requirements of this
standard are not specifically taught on this internal auditor’s course.
The BSI Training Academy, on this course, will also cover the areas your Certification Body (CB) will
be generally looking for to comply with generic internal auditing requirements in Management System
Standards. This will include the meanings and intention of certification criteria and associated
theories, methodologies, techniques or tools.
Your Tutor will cover the above, along with a handout, at a suitable point in this course.
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ISO 50001:2018 Internal Auditor Training Course
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ISO 50001:2018 Internal Auditor Training Course
Benefits to you
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Organizations today do not just sell/offer a product or service to a customer/user locally. In the rapid
evolution of a global market place, having a set of common auditing guidelines is therefore critical to
facilitating organizational performance. At the same time, these rules have to be flexible enough to be
applicable to any organization anywhere in the world. The skills and knowledge you gain in this course
can therefore be applied anywhere in the world.
Furthermore, experience has shown that auditing ISO 50001:2018 inspires and channels the creativity of
all members of an organization, making them active agents of change, promoting improved Energy
Performance (EnP) and Energy Management Systems (EnMS) performance. When all members in an
organization are challenged to think differently, it leads to the creation of a low energy working
environment. As an internal auditor you will help contribute to this process, and the promotion of new
ideas and improvements to EnP and EnMS performance.
Your learning will be through an activity-based, delegate centred approach. This will help you share
experiences and knowledge with other attendees; bringing alive the information presented and resulting
in enhanced retention and application to your own workplace.
You have the full support and training from a world-class BSI tutor also at your disposal.
We hope you very much enjoy the course and take back valuable knowledge and skills to your
workplace.
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ISO 50001:2018 Internal Auditor Training Course
Welcome
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Copyright © 2019 BSI. All rights reserved.
For your personal safety, please be aware of the emergency exits from your classroom and the
building.
Please do not leave valuable items unattended in the classroom. Keep them with you, or make other
arrangements for their safekeeping.
Please be considerate of other delegates and avoid distractions from the beeping/flashing of your
mobile telephone.
Please do not use recording devices since they may restrict free discussion.
The tutor will inform you of the lunch and break schedule. Please return to class on time.
The tutor will inform delegates of any area(s) known to be available for smoking.
If there are any special needs (dietary etc.) please inform the tutor now.
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ISO 50001:2018 Internal Auditor Training Course
Delegate introductions
Introductions
10 minutes
Click here to start
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• Delegate name?
• Organization and product, or service?
• Job position or role?
• Experience of any management system auditing and knowledge of ISO 50001:2018?
• Any specific questions/problems to be answered/expectation from the course?
• Something interesting about YOU?
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ISO 50001:2018 Internal Auditor Training Course
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ISO 50001:2018 Internal Auditor Training Course
Course aim
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The course is broken down into a combination of knowledge and skills. This will help increase your
knowledge of the guidelines for auditing management systems, and how an EnMS can be audited.
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ISO 50001:2018 Internal Auditor Training Course
Learning objectives
Knowledge Skills
6
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Learning objectives describe in outline what you will know, and be able to do, by the end of the
course.
Be able to:
• Explain and apply the guidelines of management system auditing according to ISO 19011:2018
• Explain the application of these guidelines to auditing ISO 50001:2018
Please note that it is not possible to cover internal auditing relevant to every subclause
in detail on this course. This course covers only the key concepts and requirements
listed. Any questions relating to specific subclauses, or concerns, can be discussed so please do let
your tutor know.
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ISO 50001:2018 Internal Auditor Training Course
Course structure
Materials:
• Delegate Workbook
• Loan copy of ISO 50001:2018
• Loan copy of ISO 19011:2018
(Guidelines for auditing
management systems)
Course format:
• Activities
• Classroom discussions
• Case Study
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Copyright © 2019 BSI. All rights reserved.
This course includes a detailed Delegate Workbook, practical activities and classroom discussions.
The contents of the Delegate Workbook includes an agenda, slides and associated notes (like
these), activities, references and case study materials.
Model answers (in your References section) are included in this folder for reference only after
completing the activity, not for copying from during the activities. The activities are designed for
creating knowledge & skills of the key learning points; for the delegate to look at the answers prior
to the activity will cause the effect to be lost.
The loan copies of ISO 50001:2018 and ISO 19011:2018 will be collected at the end of the course,
please do not mark these documents.
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ISO 50001:2018 Internal Auditor Training Course
Planning
Support
A Improvement and D
Leadership Operation
Performance
evaluation
C
Intended outcomes of the EnMS
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Plan Do
Clause 4 Context of the organization
• Understanding the organization and its context Clause 8 Operation
• Understanding the needs and expectations of interested • Operational planning and control
parties • Design
• Determining the scope of the EnMS
• Procurement
• Energy Management System
Clause 5 Leadership
• Leadership and commitment
• Energy policy Check
• Organization roles, responsibilities and authorities
Clause 9 Performance evaluation
Clause 6 Planning
• Monitoring, measurement, analysis and evaluation of
• Actions to address risks and opportunities energy performance and the EnMS
• Objectives, energy targets and planning to achieve them
• General
• Energy review
• Evaluation of compliance with legal requirements and
• Energy performance indicators other requirements
• Energy baseline • Internal audit
• Planning for collection of energy data • Management review
Clause 7 Support
Act
• Resources
Clause 10 Improvement
• Competence
• Nonconformity and corrective action
• Awareness
• Continual improvement
• Communication
• Documented information
British Standards can be obtained in PDF or hard copy formats from the BSI online shop: www.bsigroup.com/Shop or by contacting
BSI Customer Services for hardcopies only: Tel: +44 (0)20 8996 9001, Email: [email protected].
ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 8
ISO 50001:2018 Internal Auditor Training Course
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Traditionally, energy savings are considered from the perspectives of increasing energy efficiency.
This provides a limited view and options for energy savings.
Using lighting as example, energy performance can be improved by changing either energy use,
consumption, efficiency, or a combination of all. For example:
1) An energy use can be the most efficient (e.g. LED lighting), but there may be no use or need
for it (e.g. daytime hours)
2) Reducing energy use and energy consumption tends to involve lower costs than investing in
energy efficiency
For these reasons, ISO 50001 uses the term “energy performance” to capture all three ways of
energy savings.
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ISO 50001:2018 Internal Auditor Training Course
10
Copyright © 2019 BSI. All rights reserved.
As an auditor, it is very important that you are aware of the intended outcome of the particular
management system you are auditing against.
For ISO 50001:2018, the intended outcome is to enable an organization to follow a systematic
approach in achieving continual improvement of energy performance and the EnMS.
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ISO 50001:2018 Internal Auditor Training Course
Refresh quiz
ISO 50001:2018
true or false?
F
_ _
T 20 minutes
Click here to start
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This course is aimed at personnel who already have an understanding of ISO 50001:2018; as the
requirements of this standard and energy management fundamentals are not specifically taught on
this internal auditor’s course. However, your tutor will now provide a platform for the refresh of
some of this knowledge through a quiz.
Duration:
20 minutes class activity
Directions:
Your tutor will give each delegate a pair of laminated ‘true’ or ‘false’ cards for each delegate (green
card = true, red = false), and a laminated yellow ‘spare life’ card for each delegate.
The tutor will ask the whole class a “true or false" question. Everyone has to answer true or false by
holding up their green card if they think the answer is true, or holding up their red card if they think
it is false.
If you are not sure, you have only one ’spare life’ card; after you have used it you must answer the
next question(s), as it cannot be used twice.
The tutor will then reveal the answer. Everyone who answered wrongly must then sit down,
everyone who got it right (or used their ‘spare life’ card) remains standing.
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ISO 50001:2018 Internal Auditor Training Course
Clause 9.2
12
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Within ISO 50001:2018, Clause 9.2 states that the organization shall conduct internal audits at
planned intervals to provide information on whether the EnMS:
a) Improves EnP
b) Conforms to:
• The organization’s own requirements for its EnMS
• Energy policy, objectives and energy targets established
• The requirements of this document
c) Is effectively implemented and maintained
The keyword here is shall. It means it is a requirement, and not a guideline or a suggestion.
It doesn’t dictate the period of time between internal audits, but states that the audit programme(s)
(basically a schedule of audits over a time period) shall take into consideration the:
• Importance of the processes concerned
• The results of previous audits
An ‘audit programme’ will be formally defined in the terms and definitions activity coming up.
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ISO 50001:2018 Internal Auditor Training Course
ISO 19011:2018
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This International Standard provides guidance on auditing management systems, including the
principles of auditing, managing an audit programme(s) and conducting management system
audits; as well as guidance on the evaluation of competence of individuals involved in the audit
process (including the person managing the audit programme(s), auditors and audit teams).
It is applicable to all organizations that need to conduct internal or external audits of management
systems, or manage an audit programme(s).
The application of this International Standard to other types of audits is possible, provided that
special consideration is given to the specific competence needed.
Your tutor will provide you with a loan copy later. These will be collected at the end of the course.
Please do not mark on the loan copies.
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ISO 50001:2018 Internal Auditor Training Course
Activity 1
15 minutes
Click here to start
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Purpose:
To familiarize delegates with the common auditing terms and definitions within ISO 19011.
Duration:
15 minutes in groups
5 minutes class discussion
Directions:
The tutor will hand out laminated flashcards of two colors. Put the flashcards into pairs, one term
and one definition.
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ISO 50001:2018 Internal Auditor Training Course
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ISO 50001:2018 Internal Auditor Training Course
Important definition
15
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In the context of an energy management system, there is a need to distinguish between an “energy
audit” and a “management systems audit”.
It is the systematic analysis of energy use and energy consumption within a defined energy audit
scope, in order to identify, quantify and report on the opportunities for improved energy
performance.
(Clause 3.3, ISO 50002: Energy audits - Requirements with guidance for use)
It is the systematic, independent and documented process for obtaining objective evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled.
(Clause 3.1, ISO 19011)
Both concepts are different, ISO 50002 is about identifying opportunities to improve EnP. Internal
auditing is to identify conformity and effectiveness (thus nonconformity) with an organization’s
EnMS and ISO 50001:2018.
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ISO 50001:2018 Internal Auditor Training Course
REPORT
Pellentesque mollis felis dolor, quis aliquet
sapien
dapibus tempus lectus. Nulla sed posuere
v elit, ut grav ida nibh.
am interdum v elit sed lacus tristique
lorem. Praesent sollicitudin non odio eget
leo.
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Systematic:
• An audit is based around the acronym P.E.R.C. – Plan, Execute, Report, Close out
• Each of these areas will be covered in this order during the course
• It acts like a process – one leads into the next
• This also links to PDCA – continual improvement
• The audit is not complete or effective unless these four activities have been completed
Another acronym that can be used is P.E.T.E.C. – Plan, Establish, Test, Evaluate and Conclude.
Your tutor will explain these terms.
Independent:
• Auditors should be independent of the activity being audited wherever practicable, and should in
all cases act in a manner that is free from bias and conflict of interest
• For internal audits, auditors should be independent from the operating managers of the function
being audited
• Auditors should maintain objective throughout the audit process to ensure that the audit findings
and conclusions are based only on the audit evidence
For small organizations, it may not be possible for internal auditors to be fully independent of the
activity being audited, but every effort should be made to remove bias and encourage objectivity.
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ISO 50001:2018 Internal Auditor Training Course
OPERATING CRITERIA
(enacted by a control or procedure)
Resources
(to enable transformation to occur)
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A process is a: ‘Set of interrelated or interacting activities that use inputs to deliver an intended
result’.
The below process contains a set of activities that are interrelated (showing links from/to),
interacting (showing inputs/outputs), and the transformation of process inputs into process outputs.
OTHER PROCESSES
XYZ Process
DETERMINED INPUTS (a-c)
a b c
(Activity) 1
(interacting – inputs/outputs)
d
n o p
DETERMINED OUTPUTS (n – p)
OTHER PROCESSES
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ISO 50001:2018 Internal Auditor Training Course
AUDIT CRITERIA
(REQUIREMENTS)
EVALUATION
18
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In general terms, applicable to all audits against whatever criteria, the auditor gathers objective
audit evidence (next slide) which is verifiable, and evaluates it against an audit criteria (following
slide). The auditor then makes a decision based on the evaluation, to derive the output (audit
findings). The output then feeds into the audit report which we will come to later.
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ISO 50001:2018 Internal Auditor Training Course
Objective
evidence
Documented information
19
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Objective audit evidence is evidence that can be verified normally through sight, sound or
documented information.
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ISO 50001:2018 Internal Auditor Training Course
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The preceding slides hopefully makes the definition of an audit clearer now?
**Your tutor may ask you questions now, before moving on, to confirm your understanding of this
important definition.**
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ISO 50001:2018 Internal Auditor Training Course
Activity 2
Principles of auditing
10 minutes
Click here to start
21
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Purpose:
To introduce the principles of auditing, as documented in ISO 19011:2018 – Guidelines for auditing
management systems.
Duration:
10 minutes individually
5 minutes classroom discussion
Directions:
Working individually, review and match the examples with the principle overleaf.
Once complete, compare with your colleagues and note any differences.
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ISO 50001:2018 Internal Auditor Training Course
Principle Explanation
Integrity
Fair presentation
Confidentiality
Risk-based approach
Independence
Evidence-based approach
Explanation:
a) Security of information
b) Rational method for reaching reliable and reproducible audit conclusions in a systematic
audit process
c) Obligation to report truthfully and accurately
d) Basis for the impartiality of the audit and objectivity of the audit conclusions
e) Foundation of professionalism
f) Application of diligence and judgement in auditing
g) Considers risks and opportunities
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ISO 50001:2018 Internal Auditor Training Course
Your tutor will now direct the class to ISO 19011:2018 Clause 6 (Conducting an audit), and provide
an overview of the above subclauses with you.
‘6.1 General
This clause contains guidance on preparing and conducting a specific audit as part of an audit
programme….. The extent to which the provisions of this clause are applicable depends on the
objectives and scope of the specific audit.’
Therefore, please note, all these activities may not be required for an internal audit.
These activities will be explored further (as applicable to an internal audit), in the forthcoming
slides, but first an introduction into what an audit programme is.
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ISO 50001:2018 Internal Auditor Training Course
Audit programme
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
General office
processes
Transport processes
Stores processes
Production processes
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Copyright © 2019 BSI. All rights reserved.
‘Arrangements for a set of one or more audits planned for a specific time frame and directed
towards a specific purpose.’
An internal audit tends to be just one item on the audit programme, which itself will cover the
complete management system scope.
Within your organization, there should be a person managing your audit programme (this could be
you). This person will identify the resources needed (including the auditor assigned) for each audit.
They will inform you of the specific objective, scope and criteria for your audit, and provide the
resources necessary to accomplish the audit objective.
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ISO 50001:2018 Internal Auditor Training Course
Terms of Reference
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When developing an audit programme, there are three aspects to be considered and a decision
required by the individual managing the audit programme.
The audit objectives define what is to be accomplished by the audit and can include the following
(from ISO 19011:2018):
• Identify opportunities for the improvement of a management system and its performance
• Evaluate the capability of the auditee to determine its context
• Evaluate the capability of the auditee to determine risks and opportunities and to identify and
implement effective actions to address them
• Conform to all relevant requirements, e.g. statutory and regulatory requirements, compliance
commitments, requirements for certification to a MS Standard
• Obtain and maintain confidence in the capability of an external provider
• Determine the continuing suitability, adequacy and effectiveness of the auditee’s MS
• Evaluate the compatibility and alignment of the MS objectives with the strategic direction of the
organization.
Secondly, the ‘Scope’ of the audit. The activities to which an organization addresses through its
EnMS, which may extend through several boundaries, that needs to be audited. The audit scope
generally includes a description of the physical locations, organizational units, activities and
processes, as well as the time period covered.
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ISO 50001:2018 Internal Auditor Training Course
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ISO 50001:2018 Internal Auditor Training Course
Auditor competence
Energy Management
management system
knowledge knowledge
and skills and skills
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To be an effective internal auditor, he or she should develop, maintain, and improve two types of
knowledge and skills: Energy management and management systems.
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ISO 50001:2018 Internal Auditor Training Course
Activity 3
Auditor responsibilities
20 minutes
Click here to start
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Purpose:
To introduce the typical responsibilities/authorities that internal auditors should have, and the
required competencies.
Duration:
20 minutes in pairs
10 minutes classroom discussion
Directions:
Working in pairs, identify:
1. Your responsibilities/authorities as an internal auditor in your organizations
2. The competency you should have to be a competent internal auditor
Be prepared to brief the rest of the class and defend your answers.
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ISO 50001:2018 Internal Auditor Training Course
CALL
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With the audit objective, scope, criteria, dates and contacts provided, the auditor can start to
initiate the audit.
This will involve establishing initial contact with the auditee and determining if the audit is feasible
e.g. is the auditee(s) happy with the arrangements, including who the auditor is (objectivity for
example), times, dates, places, scope, criteria, duration, etc.
Please see subclauses 6.2.1 to 6.2.3 (ISO 19011:2018) for further details.
If the audit is deemed not to be feasible by the auditor e.g. auditees are not available, processes
cannot be evidenced, lack of time/cooperation etc., this then needs to be reported back to the
individual(s) managing the audit programme immediately to resolve.
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ISO 50001:2018 Internal Auditor Training Course
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Assuming the audit is feasible the auditor can start performing a document review, in preparation
for the audit.
This will involve gathering information to prepare audit work documents (checklists etc. coming up)
and establishing an overview of documentation to detect possible gaps.
Clearly, the extent of the review will depend upon the familiarity, size, nature, and complexity of
the EnMS including the audit objective and scope.
This activity can also give an indication of the effectiveness of the document control processes
within the EnMS.
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ISO 50001:2018 Internal Auditor Training Course
Audit sampling
Sampling from activities?
Techniques?
Audit locations?
Sample size?
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When preparing for audit activities, the auditor should be aware of appropriate sampling
techniques, (see Clause A.6 of 19011:2018).
Audit sampling takes place when it is not practical or cost effective to examine all available
information during an audit, e.g. documented information is too numerous, or too dispersed
geographically, to justify the examination of every item in the population. Audit sampling of a large
population is the process of selecting less than 100% of the items within the total available data set
(population): to obtain and evaluate evidence about some characteristic of that population, in order
to form a conclusion concerning the population.
The objective of audit sampling is to provide information for the auditor to have confidence that the
audit objectives can, or will be achieved. ISO 50003 (Refer to ISO 50001:2018 Bibliography)
provides the formulas for calculating the minimum sampling requirements from a certification
perspective. The same principle can be applied to internal auditing and is as follows:
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ISO 50001:2018 Internal Auditor Training Course
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An audit plan (‘description of the activities and arrangements for an audit’ - Taken from ISO
19011:2018 Clause 3.6) based on the information from the document review, and initiating the
audit, should now be prepared by the auditor.
This should facilitate the effective scheduling and coordination of the audit activities, so as to
achieve the audit objectives. However, the scale/complexity and amount of detail in the audit plan
should reflect the complexity and scope of the audit (and between initial and subsequent audits).
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ISO 50001:2018 Internal Auditor Training Course
No matter how simple or complex an audit is, there should be some form of plan.
Plans help the auditor manage the audit, but they should also be communicated to the auditee so
that they can prepare and plan themselves for the audit.
Flexibility should be built into the audit plan to permit changes which may become necessary as the
audit progresses.
The essence of a plan includes: Time for opening and closing meetings, a site/area tour, coverage
of the audit criteria, interviews, observations and reviewing documented information with the
manager, and those performing tasks within the activities, timescales for each discussion, and
possibly time for report writing.
It is always recommended that the audit plan is offered for review to the auditee’s management.
Any objections should be resolved prior to audit commencement.
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ISO 50001:2018 Internal Auditor Training Course
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ISO 50001:2018 Internal Auditor Training Course
Activity 4
Audit plan
45 minutes
Click here to start
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Purpose:
Prepare for your audit of the case study organization and review a proposed audit plan.
Duration:
45 minutes individually review Case Study
20 minutes in groups review audit plan
Directions:
Your tutor will introduce/familiarize yourselves with the BSIKopitiam Inc Case Study (A).
Individually, then spend some time reading for yourself Case Study (A).
Then in your allocated groups, review a sample audit plan in your References, and comment on its
suitability as a means to achieve:
• Audit objective: To evaluate the implementation & effectiveness of (1) competence and
improvement within the EnMS (2) the store’s energy review (3) the main operational controls
and associated monitoring & measurement for the SEUs
• Audit scope: All activities within BSIKopitiam Inc Oxford Street store
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ISO 50001:2018 Internal Auditor Training Course
34
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The auditor should prepare audit work documents for reference and for recording audit evidence.
Such work documents may include for example: Checklists, and forms for recording information.
(See ISO 19011:2018 - A.13)
Checklist
A document that is created during the preparation of audit activities. Created using the audit plan, it
can essentially be a list of open questions the auditor wishes to ask the auditee, e.g. who, what,
where, when, why, how.
They lose effectiveness when used as purely tick-sheets or questionnaires, and should not restrict
the extent of audit activities, which can change as a result of information collected during the audit.
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ISO 50001:2018 Internal Auditor Training Course
Checklist preparation
35
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Please remember, the auditor should be looking for objective evidence of conformity, effectiveness
and improvement (not nonconformity); therefore the checklist preparation stage should not lose
sight of this … you are not there to catch the auditee out!
You will undoubtedly find yourself auditing processes, so please consider the above in your
checklists.
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ISO 50001:2018 Internal Auditor Training Course
Activity 5
Checklists
30 minutes
Click here to start
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Activity 5: Checklists
Purpose:
To give delegates the opportunity to create checklists for assessing an EnMS process.
Duration:
30 minutes group work
Feedback and discussion will be provided during your audit tomorrow.
Directions:
In your groups, using the audit objective, scope & criteria from Activity 4, record some:
• ‘Open’ questions that you would ask, during an interview with personnel from the store
• Documented information you would like to see during the internal audit, covering the audit
objective, criteria & scope
• Observations you would like to see during your audit
Your tutor may allocate each group with just one of the audit objectives below (but a different one
to each group): To evaluate the implementation & effectiveness of (1) competence and
improvement (including store refurbishment) within the EnMS (2) the store’s energy review (3) the
main operational controls and associated monitoring & measurement for the SEUs
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ISO 50001:2018 Internal Auditor Training Course
37
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An opening meeting should be held with the auditee’s management and, where appropriate, those
responsible for the functions or processes to be audited. During the meeting, an opportunity to ask
questions should be provided.
The degree of detail should be consistent with the familiarity of the auditee with the audit process.
In many instances the opening meeting may simply consist of communicating that an
audit is being conducted and explaining the nature of the audit.
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ISO 50001:2018 Internal Auditor Training Course
Communication skills
38
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During the audit, the auditor should periodically communicate the progress and any concerns to the
auditee. Evidence suggesting an immediate and significant risk to the auditee should be reported
without delay to the auditee.
Perhaps the biggest challenge for the auditor is the fact that finding out information depends,
amongst other things, on communication skills. Within a very short time of meeting someone, the
auditor needs to have developed a degree of rapport with that person to obtain the facts essential
to the audit whilst remaining objective. If these facts are indicative of a lack of management control
in the area, then the auditor needs to be tactful in the way these findings are presented.
Do not:
• Argue
• Say you understand when you don't
• Ask loaded, leading, trick, vague or close-ended questions
• Ask too many questions at once
• Criticize individuals
• Take obtrusive notes
Do:
• Give prior notification
• Ask the right person
• Ensure questions are clear and understood
• Give the auditee time to answer
• Stay impartial
• Keep the auditee informed of your concerns and findings, so there are no surprises
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ISO 50001:2018 Internal Auditor Training Course
Interpersonal communication
Don’t: Lean back in your chair Don’t: Lean too far forwards.
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Listening techniques
Stop talking, concentrate and look interested.
Things to consider:
• Eye contact, facial expression
• Relative positions, voice tone
DO: DO NOT:
• Put the speaker at ease • Be judgmental
• Show you want to listen • Cause interference
• Remove distractions • Be close minded (attitude)
• Keep calm • Have wishful hearing
• Stop talking • Talk excessively
• Give praise when deserved
• Be empathetic
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ISO 50001:2018 Internal Auditor Training Course
Activity 6
Auditing EnMS, processes, and EnP
improvements
20 minutes
Click here to start
40
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Auditing the organizations’ EnMS, its processes, and improvements in EnP, are an integral part of
an ISO 50001 internal audit. The approach and data required for carrying out an internal audit on
these are very different.
Purpose:
To introduce the approaches for auditing EnMS, processes, and energy performance improvements.
Duration:
20 minutes in groups
10 minutes classroom discussion
Directions:
Your tutor will assign the following scenarios to different group:
1. Ensure alignment of planned activities action plans objectives and targets policy
intended outcome of EnMS context of the organization.
2. Identified legal and other requirements are comprehensive, complete, relevant and have been
integrated into the relevant processes.
3. Criteria for operational planning and controls is suitable and has been implemented.
Working in groups, identify the approach and criteria you’d take when auditing the organization’s
EnMS.
Be prepared to brief the rest of the class and defend your answers.
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ISO 50001:2018 Internal Auditor Training Course
Sources of information?
41
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The review may be combined with other audit activities, and may continue throughout the audit. As
mentioned earlier, ISO 50003 provides the formulas for calculating the minimum sampling
requirements from a certification perspective. The same principle can be applied to internal auditing
and is as follows:
Your tutor will now explain the concept of ‘random independently selected sampling’.
This concept forms the foundation of a sound audit report, and an audit conducted with integrity.
Remember, sampling applies to areas/processes as well as documented information and interviews.
Verifying information
Only information relevant to the audit objective, scope and criteria should be collected. Also, only
information that is verifiable should be accepted as audit evidence. Audit evidence should be
recorded.
An audit is not a search for nonconformities, but it is to verify conformity & effectiveness with
specified requirements (audit criteria).
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ISO 50001:2018 Internal Auditor Training Course
As objective evidence
Must be Must be legible
retrievable
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It is important to take complete notes. They provide objective evidence of what happened.
Checklists define samples to be looked at, but notes record samples actually looked at - they may be
different.
Some notes may not be included in the formal audit report, but are still used as documented
information.
Notes taken now may be useful later, for instance: Should findings be unclear, or their accuracy
challenged.
The auditor’s work documents should be used to record the audit and provide the basis for later
conclusions. Notes should include:
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ISO 50001:2018 Internal Auditor Training Course
Activity 7
Personal behaviour
15 minutes
Click here to start
43
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Purpose:
To increase the delegate’s knowledge of the professional behaviour that makes a good auditor.
Duration:
15 minutes in pairs
15 minutes classroom discussion
Directions:
In pairs, as directed by the tutor, come up with examples of professional behaviour an individual
should exhibit during the performance of an audit (e.g. ethical etc.). Document your thoughts, and
prepare to brief the other delegates.
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ISO 50001:2018 Internal Auditor Training Course
44
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Your tutor will now show you an extract from an internal audit. Please observe and comment on the
auditor’s approach.
The audit video is intended to be a simple generic audit to cover the audit techniques involved, and
is not specific to any management system standard. You will be asked to comment on the approach
and techniques employed.
Please note/ Auditors should apply professional judgement during the audit process and avoid
concentrating on the specific requirements of each clause of the standard at the expense of
achieving the intended outcome of the management system. Some ISO management system
standard clauses do not readily lend themselves to audit in terms of comparison between a set of
criteria and the content of a procedure or work instruction. In these situations, auditors should use
their professional judgement to determine whether the intent of the clause has been met.
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ISO 50001:2018 Internal Auditor Training Course
30 minutes
Click here to start
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Welcome to day 2!
Your tutor will now quickly review the contents from day 1, by running a short quiz with you.
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ISO 50001:2018 Internal Auditor Training Course
46
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All audit evidence needs to be evaluated against the audit criteria provided (typically in the slide
above). This may give rise to conformity, or nonconformity with audit criteria.
If there is any doubt as to whether a nonconformity exists the auditee should be given
the benefit of the doubt, and no nonconformity raised.
If in doubt leave it out, but you may consider raising it as a concern. Certification bodies
tend to use findings like: ‘Opportunities for improvement (OFI’s)’ or ‘Observations’ for this situation.
Your tutor will explain these, but you are free to call it whatever you like.
However, for the time being please ensure you document the audit evidence and the specific audit
criteria you are evaluating it against.
The tutor will help you with this by asking you to record these on a flipchart for your group, during
your audit next.
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ISO 50001:2018 Internal Auditor Training Course
Activity 8
Document review
40 minutes
Click here to start
47
Copyright © 2019 BSI. All rights reserved.
Purpose:
To give delegates the opportunity to generate audit findings, and practice the necessary skills
required for effective internal audit activities.
Duration:
40 minutes group work
Directions:
In your allocated groups, please now review BSIKopitiam Inc Case Study (B), and add/amend your
open questions already created (from Activity 5). Normally these documents would be provided
during your audit, through your own samples chosen, but these have been provided early to assist
you in your first audit.
Your tutor will provide coaching (as required) to familiarize delegates with the materials presented,
and possible areas of focus within the documented information.
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ISO 50001:2018 Internal Auditor Training Course
Activity 9
On-site audit
90 minutes
Click here to start
48
Copyright © 2019 BSI. All rights reserved.
Purpose:
To give delegates the opportunity to generate audit findings, and practice the necessary skills
required for effective internal audit activities.
Duration:
10 minutes read overleaf individually
80 minutes audit in groups
30 minutes overall summary feedback/reflection to own workplace
Direction:
Assume you have now completed your brief site tour, and overleaf are your observations.
Please now audit BSIKopitiam Inc, Oxford Street store, one group at a time, using your questions
generated earlier, and the site tour observations overleaf.
During the audit, your tutor will take on the various interviewees as necessary. At various relevant
and appropriate times, you tutor may give you a card with specific instructions. Understand the
instruction provided and continue with your internal audit accordingly.
At the end of the internal audit, your tutor will invite other groups to comment on your audit
approach.
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ISO 50001:2018 Internal Auditor Training Course
Auditor observations:
When you arrive at the store, a refurbishment is in progress; as it started 6 months later due to a
prolonged negotiation with the building owner. As part of the refurbishment, the building owner
installed photovoltaic panels on the roof of the store. According to the project manager, apart from
an esthetic value, there are no costs and financial benefit to the store as it is borne between the
building owner and a renewable investor.
The front glass windows have been removed and the refurbishment contractors are in the process
of securing the glass panels on the truck, the replacement windows will be installed after lunch and
is scheduled to take the whole day. You noticed that all air conditioning units are ON. When you
queried this with a few store employees, you were advised this is to ensure the first floor space is
comfortable for potential clients. The first floor glass will be replaced next week after signing off the
ground floor glass panels.
You’ve also observed that at this time, all customers are takeaway customers. There were no
customers consuming their food and beverages in the store. This would be normal as every
customer is purchasing drinks for consumption in their own offices. In-store consumption customers
tend to start coming in just before lunch.
In addition to the air conditioning, the lighting on both floors were also ON. When you casually
asked the store manager and a select few store employees, all said that there is only 1 switch for
lighting and 1 for air conditioning. This is in contradiction to the BSIKopitiam Inc design guidance
documentation, but you thought you would check with Felix later.
Your observations on beverage preparation and transport routes planned appears to be, by and
large, in accordance with the established operational controls. You did, however, notice that there
were small variation in the sterilization timing between employees – but nothing deviating from
process requirements.
As you were waiting in the staff room (Felix – the project manager is occupying a desk for the
duration of the refurbishment) the documentation for the newly installed air conditioning unit was
open on the table, you browse the air conditioning documentation. The old air conditioning had a
COP of 1.5. The replacement air conditioning unit has a COP of 2.5 and the store has 4 operating
zones (2 zones per floor – the same as the lighting zones).
[The coefficient of performance or COP (sometimes CP or CoP) of a heat pump, refrigerator or air
conditioning system is a ratio of useful heating or cooling provided to work required.
Higher COPs equate to lower operating costs.]
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ISO 50001:2018 Internal Auditor Training Course
Reminder – EnB
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As mentioned throughout this course, ISO 50001 requires the demonstration of improvements both
in EnP and the EnMS. As such, the internal audit should assess both EnP and EnMS to determine if
it is achieving its intended outcomes.
On demonstrating EnP improvements, ISO 50001 and the family of standards do not themselves
give specific guidance on how to demonstrate EnP improvements. However, it does states that
Energy Baselines (EnBs) are essential to detect and compare changes to EnP. Energy baselines are
defined as the ‘quantitative reference(s) providing a basis for comparison of energy performance’.
At the basic level, an energy baseline is established using energy consumption data and the
relevant variables – not static factors.
In general, there are 3 ways to determine if EnP improvements have been achieved:
1. For simple projects, by comparing the energy consumption before and after the
improvement project. For example, the lighting in an office is consuming XXX kWh. After
replacing the fluorescent tubes with LEDs, lighting is consuming YYY (less than XXX) kWh.
2. For normalized energy performance, by measuring the relevant variable and comparing
the expected energy consumption at (energy baseline data) with actual energy
consumption data. For example, at XXX production level, it should be consuming YYY kWh.
After the improvement project, at XXX production level, it is consuming ZZZ kWh.
3. For large or complex projects such as building new buildings or processes, by comparing the
actual energy consumption and the simulated energy performance.
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One important point to note is that some energy saving projects will result in:
It is also important to assess if the EnP improvement is as designed/intended. If the achieved EnP
improvement is as planned or better, this is good news. If the EnP is less than planned or intended
– what is the impact of the reduced EnP? What is the root cause? What can/should be done to
correct the reduced EnP improvement? Etc.
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Example nonconformity
Requirement: Organization process (123 v.3) stipulates
that persons doing work under the organization’s control
are aware of its energy policy. Such persons are required
to acknowledge understanding by signing the appropriate
training record (ABC v.1).
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Requirement – In this case we are using the organization's own process as the criteria, and the
corresponding requirements.
Discrepancy – What the gap is between the requirement and the evidence.
_________________________________________________________________
Auditor: xxxxxxxx Date: xxxxxx
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Documenting nonconformities
A
ABC
Accuracy
B Brevity
C Clarity
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Always make sure the statements contain accurate information and are clearly written. Here are
some examples, which ones do not include RED and why?
1. Interviewed all employees from XXX site. No employee was aware of the existence of an
organizational energy policy.
2. Observed work was not being performed in accordance with operational controls procedure
“EnMgt 45E”.
3. The purchasing manager stated that the purchase of a new ventilation unit (a SEU) was purely
based on price, and no EnP evaluation over its planned life was carried out.
4. Between the period of Jan – Jun 20XX, 10 significant deviation in EnP were reported by the
energy management team. However, there were no resolutions identified.
5. According to EnMS 101, only the site manager or internal auditor is authorized to close-out
nonconformity reports. However, nonconformity report (O55J) was closed out by the project
manager. EnMS 101 not complied with, regarding close-out of N/C.
Nobody likes to read through reams of information; so make sure the statements are as brief as
possible, without sacrificing relevant information.
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ISO 50001:2018 Internal Auditor Training Course
Important definition
Is an identified
nonconformity a
‘Major’ or a ‘Minor’?
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ISO 50001:2018 and ISO 19011:2018 do not make the distinction between a major or minor
nonconformity.
The focus in internal auditing is to identify conformity with requirements, effective implementation,
and EnP/EnMS improvement. We recommend that you treat all nonconformities equally, prioritize
and resolve them accordingly.
For completeness, ISO 50003, to which certification bodies have to conform to, do define what is
deemed as a major nonconformity:
Nonconformity that affects the capability of the EnMS to achieve its intended results, i.e.
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ISO 50001:2018 Internal Auditor Training Course
Activity 10
Nonconformities
30 minutes
Click here to start
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Purpose:
To practice the skills necessary to document concisely a nonconformity.
Duration:
30 minutes in groups (from the last activity)
15 minutes class discussion
Directions:
In your groups, please review the findings from your audit (using your completed flipchart). Pick
one nonconformity, and write on a flipchart a nonconformity statement (using the template
example just covered).
Get ready to feedback the nonconformity to the other groups, who will act as the auditee’s
management. The tutor will give you further opportunity to practice this important skill. (time
dependent).
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ISO 50001:2018 Internal Auditor Training Course
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The auditor should then review all findings (conformance and nonconformities) and determine the
audit conclusions against the audit objectives.
Audit conclusion can address, for example:
• The extent of conformity with the audit criteria
• Effective implementation, maintenance and improvement of the EnMS
• Achievement of audit objectives and coverage of scope
• Opportunities for improvement
Auditors should be focused on the intended result of the management system throughout the audit
process. While processes and what they achieve are important, the result of the management
system and its performance are what counts. Content of audit conclusions should address issues
such as the identification of risks and effectiveness of actions taken by the auditee to address risks.
If applicable, the auditor should advise the auditee of situations encountered during the audit that
may decrease the confidence that can be placed in the audit conclusions (e.g. an appointed auditee
was not available and a substitute was found, observations of certain work activities were not
possible because they were not taking place at the time etc.).
If defined in the management system, or by agreement with the auditees’ management, the
participants should agree on the timeframe for an action plan to address any audit findings, and
when the documented audit report will be prepared, and who it will be distributed to.
The degree of detail should be consistent with the familiarity of the auditee with the audit process.
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ISO 50001:2018 Internal Auditor Training Course
Activity 11
Closing meeting
35 minutes
Click here to start
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Purpose:
To practice the skills necessary to conduct an effective closing meeting.
Duration:
15 minutes preparation, whole class
20 minutes, closing meeting, whole class
10 minutes class discussion
Directions:
The tutor will select one (or two) delegates to act as the audit team leader.
The team leader(s) is to run the meeting following a typical agenda covered earlier. Assume the
auditees’ management are not familiar with the audit process.
The closing meeting will relate to the audit you just carried out, and related findings. Management
will be in attendance.
Other delegates are to select one nonconformity from their groups findings (please each select a
different one) and write the nonconformity out, as per the last Activity (in your notebook). These
will be individually presented (read out), as directed by the team leader(s) in the closing meeting.
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ISO 50001:2018 Internal Auditor Training Course
Typical contents
DATE:
REVIEW:
APPROVAL:
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The audit report should provide a complete, accurate, concise and clear record of the audit. Please
draw out conclusions which are both positive and negative. Organizations typically tend to have
their own template for their audit reports.
The method of actually providing a copy of the report (and to whom/when) will typically depend on
the policy of your own organization, and decisions in the closing meeting.
The audit report should be dated, reviewed and approved, as appropriate, and is normally
confidential.
Please refer to an example audit report template which you can use, in your References section.
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KEY
Conducting audit follow-up Auditor Auditee
Purpose?
Corrective action plan
(CAP) issued
Identification of (Auditee)
nonconformities
found during the Audit report Evaluation of
Audit (Auditor) prepared/agreed date response to
of corrective action plan nonconformities in
(Auditor/Auditee) CAP (escalation if necessary)
(Auditor)
Completion of Documented
corrective action Verification of information
(Auditee) Completion retained
(Auditor) of each stage
in this process
Evaluation of Escalation
effectiveness (if necessary)
(Auditee)
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The conclusions of the audit can indicate the need for corrections, and for corrective, or
improvement actions. Such actions are usually decided and undertaken by the auditee within an
agreed timeframe. As appropriate, the auditee should keep the individual(s) managing the audit
programme, and the auditor, informed of the status of these actions.
The completion and effectiveness of these actions should be verified. This verification may be part
of a subsequent audit.
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ISO 50001:2018 Internal Auditor Training Course
Activity 12
Audit follow-up
30 minutes
Click here to start
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Purpose:
To enhance your ability to review/respond to an auditee’s proposed corrective action.
Duration:
30 minutes in pairs
5 minutes summary
Directions:
In pairs, decide on a particular nonconformity (from your audit) where corrective actions will be
necessary. On a flipchart, provide a response detailing your proposed corrective action.
Each pair’s proposed corrective action will be presented to another pair (acting as auditors), where
you (the auditors) will decide if this is appropriate.
The tutor may request certain elements of your corrective action to change, or be omitted, to draw
out the learning points from each pair.
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ISO 50001:2018 Internal Auditor Training Course
Reflection quiz
20 minutes
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In teams or individually as assigned, come up with two/three questions, from the learning during
this course, to which you know the answer.
The below commentary may also provoke thought and possible questions/answers:
ISO 19011:2018 has a theme regarding process audits against risk to achieve intended
outcomes, and not ensuring that the details of every clause are audited. Audit
programmes & plans should support process audits and a risk-based approach to
auditing – so the activities/products/services within a MS scope should be broken
down into the audit programme/plans appropriately to support process audits.
Process audits may cover many clauses for each activity/area within an MS scope
boundary.
Professional judgement and performance results are important. (A.3 & A.4):–
“Auditors should apply professional judgement during the audit process and avoid
concentrating on the specific requirements of each clause of the standard at the
expense of achieving the intended outcome of the management system. Auditors
should be focused on the intended result of the management system throughout the
audit process. While processes and what they achieve are important, the result of the
management system and its performance are what counts.”
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ISO 50001:2018 Internal Auditor Training Course
Knowledge Skills
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Learning objectives describes an outline of what knowledge you will gain and what you will be able
to do when you complete this course.
Be able to:
• Explain and apply the guidelines of management system auditing according to ISO 19011:2018
• Explain the application of these guidelines to auditing ISO 50001:2018
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ISO 50001:2018 Internal Auditor Training Course
Contact Information
Address:
Telephone:
Fax:
Email:
<general training email>@bsigroup.com
Links:
http://<local web address>
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