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ISO 50001:2018 Internal Auditor Training Course

Training Academy
ISO 50001:2018 Internal Auditor Training Course

Copyright © 2019 BSI. All rights reserved. ENM03001ENIN v4.0(AD01) Aug 2019

Welcome to this 2-day ISO 50001:2018 internal auditor training course.

Your tutor(s) will introduce themselves.

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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 1
ISO 50001:2018 Internal Auditor Training Course

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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. ‹#›
ISO 50001:2018 Internal Auditor Training Course

Benefits to you

2
Copyright © 2019 BSI. All rights reserved.

The key benefits from completing this course will be to:


• Have the necessary knowledge and skills to carry out an internal audit of your organization’s energy
management system
• Apply and document internal audit activities and outputs in a concise, consistent and informative
manner
• Assess and attest that your energy management system is in conformity with ISO 50001 and it is
implemented effectively
• Be confident that your organization is demonstrating energy performance improvements
• Prepare your organization for a third-party audit of its energy management system

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.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 2
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.

The tutor will inform you of the nearest restrooms.

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.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 3
ISO 50001:2018 Internal Auditor Training Course

Delegate introductions

Introductions

10 minutes
Click here to start

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Copyright © 2019 BSI. All rights reserved.

Please introduce yourselves:

• 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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. ‹#›
ISO 50001:2018 Internal Auditor Training Course

Course aim

To provide guidance and practical


experience in planning, executing, reporting
and audit follow-up of an internal audit,
when monitoring the effectiveness and
conformity of an EnMS (ISO
50001:2018)

5
Copyright © 2019 BSI. All rights reserved.

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

• Explain and apply the • Plan an internal audit of


guidelines of ISO 50001:2018
management systems • Prepare internal audit
auditing according to ISO activities
19011:2018 • Conduct an internal audit
• Explain the application of • Prepare and distribute
these guidelines to
the internal audit report
auditing ISO 50001:2018
• Complete the audit
• Audit follow-up

6
Copyright © 2019 BSI. All rights reserved.

Learning objectives describe in outline what you will know, and be able to do, by the end of the
course.

On completion delegates will gain the displayed knowledge and skills.

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

Have the skills to:


• Plan an internal audit of ISO 50001:2018
• Prepare internal audit activities
• Conduct an internal audit
• Prepare and distribute the audit report
• Complete the audit
• Audit follow-up

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.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 6
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.

Delegates are encouraged to participate, experiment, and question in a stress-free environment.

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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 7
ISO 50001:2018 Internal Auditor Training Course

Reminder – ISO 50001 components overview


Internal Context of the organization Needs and
and expectations
external Scope of the EnMS of
issues P interested
parties

Planning

Support
A Improvement and D
Leadership Operation

Performance
evaluation

C
Intended outcomes of the EnMS
8
Copyright © 2019 BSI. All rights reserved.

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

Reminder – Energy performance

“measurable result(s) related to


energy efficiency, energy use, and
energy consumption”

• Energy performance improvement


occurs by:
• Reducing energy use
• Reducing energy consumption
• Increasing energy efficiency
• Or a combination of the above

9
Copyright © 2019 BSI. All rights reserved.

Traditionally, energy savings are considered from the perspectives of increasing energy efficiency.
This provides a limited view and options for energy savings.

From an organizational perspective, energy performance improvement can be achieved from


reducing energy use, reducing energy consumption from energy use, and increasing energy
efficiency of the energy use.

Using lighting as example, energy performance can be improved by changing either energy use,
consumption, efficiency, or a combination of all. For example:

Reduce energy use  reduce the number of light fittings


Reduce energy consumption  reduce the number of hours lights are ‘ON’
Increase energy efficiency  replace with LED

It is important to note that:

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.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 9
ISO 50001:2018 Internal Auditor Training Course

Reminder – Intended outcome

Intended outcome: ISO 50001:2018

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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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 10
ISO 50001:2018 Internal Auditor Training Course

Refresh quiz

ISO 50001:2018
true or false?
F
_ _

T 20 minutes
Click here to start

11
Copyright © 2019 BSI. All rights reserved.

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.

Start with everyone standing up.

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.

The last person standing is the winner.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 11
ISO 50001:2018 Internal Auditor Training Course

Requirement for internal audits

Clause 9.2

12
Copyright © 2019 BSI. All rights reserved.

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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 12
ISO 50001:2018 Internal Auditor Training Course

ISO 19011:2018

Guidelines for auditing


management systems

13
Copyright © 2019 BSI. All rights reserved.

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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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 13
ISO 50001:2018 Internal Auditor Training Course

Activity 1

Auditing terms and definitions

15 minutes
Click here to start

14
Copyright © 2019 BSI. All rights reserved.

Activity 1: Auditing terms and definitions

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.

Be prepared to brief the rest of the groups on your answers.

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ISO 50001:2018 Internal Auditor Training Course

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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. ‹#›
ISO 50001:2018 Internal Auditor Training Course

Important definition

What do you think a management system audit is?

15
Copyright © 2019 BSI. All rights reserved.

In the context of an energy management system, there is a need to distinguish between an “energy
audit” and a “management systems audit”.

What is an energy 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)

What is a management systems audit?

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.

We are now going to explore each area underlined above.

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ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 15
ISO 50001:2018 Internal Auditor Training Course

Plan, Execute, Report, Close-out (Systematic)


PLAN
Pellentesque mollis felis
dolor, quis aliquet sapien
dapibus tempus lectus.
Nulla sed posuere v elit,
ut grav ida nibh.

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.

16
Copyright © 2019 BSI. All rights reserved.

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.

Documented (information) – ISO 50001:2018


• ‘Information required to be controlled and maintained by an organization and the medium on
which it is contained’
• Documented information can be in any format and media, and from any source
The management systems audit will need documenting.

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 16
ISO 50001:2018 Internal Auditor Training Course

Reminder: What is a ‘process’?

OPERATING CRITERIA
(enacted by a control or procedure)

Input PROCESS Output


(Set of interrelated or interacting
activities that use inputs to deliver
an intended result)

Resources
(to enable transformation to occur)

Monitoring and measurement opportunities


(before, during, and after the process)

17
Copyright © 2019 BSI. All rights reserved.

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

3 e (interrelated - links) Set of activities


2
k g f (1 – 7)
4
h
5 i 6

n o p
DETERMINED OUTPUTS (n – p)

OTHER PROCESSES

ENM03001ENIN v4.0(AD01) Aug 2019 Copyright © 2019 BSI. All rights reserved. 17
ISO 50001:2018 Internal Auditor Training Course

So, what is the audit process?

INPUTS AUDIT ACTIVITY OUTPUTS

AUDIT CRITERIA
(REQUIREMENTS)

OBJECTIVE EVIDENCE AUDIT FINDINGS


(AUDIT EVIDENCE)

EVALUATION

18
Copyright © 2019 BSI. All rights reserved.

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

What is objective audit evidence?

Objective
evidence

Documented information

19
Copyright © 2019 BSI. All rights reserved.

Objective audit evidence is evidence that can be verified normally through sight, sound or
documented information.

So, how in practice are we going to obtain objective audit evidence?

There are three main methods:


1. We can visually see a process being carried out (perhaps also witnessed by a guide, or indeed a
photo if permitted)
2. We can be told a ‘statement of fact’ from an interview with a responsible individual from the
area that we are auditing
3. We can inspect relevant documented information

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ISO 50001:2018 Internal Auditor Training Course

What is an ‘audit criteria’?

• ISO 50001:2018 • Codes of practice/guidelines


• EnMS documented information • Contract/other requirements
• Legal requirements • Corporate policies/requirements

20
Copyright © 2019 BSI. All rights reserved.

Audit criteria (ISO 19011:2018):


‘Set of requirements used as a reference against which objective evidence is compared’.

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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Activity 2: Principles of auditing

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

Due professional care

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

6.2 Initiating audit ISO 19011:2018


6.2.1 General (audit Team Leader responsibility) Clause 6:
6.2.2 Establishing contact with auditee Conducting an
6.2.3 General
6.2.1 Determining feasibility of audit audit
6.2.2 Establishing initial contact with the auditee
6.3 Preparing audit activities
6.2.3 Determining
6.3.1 Performing the feasibility
review of the information
of documented audit
6.3.2 Audit planning
6.3.2.1 Risk-based approach to planning
6.3.1 Performing
6.3.2.2 document
Audit planning detailsreview in preparation for the audit
6.3.2 Preparingwork
6.3.3 Assigning the audit planteam
to audit
6.3.3 Assigning documented
6.3.4 Preparing work to the information
audit team6.3.4 Preparing work
for audit
documents
6.4 Conducting audit activities
6.4.1 General (sequence may be varied)
6.4.2 Assigning roles and responsibilities of guides and observers
6.4.3 Conducting opening meeting
6.4.4 Communicating during audit
6.4.5 Audit information availability and access
6.4.6 Reviewing documented information while conducting audit
6.4.7 Collecting and verifying information
6.4.8 Generating audit findings
6.4.9 Determining audit conclusions
6.4.9.1 Preparation for closing meeting
6.4.9.2 Content of audit conclusions
6.4.10 Conducting closing meeting
6.5.1 Preparing the audit report
6.5.2 Distributing the audit
6.5 Preparing andreport
distributing audit report
6.5.1 Preparing audit report
6.5.2 Distributing audit report

6.6 Completing audit

6.7 Conducting audit follow-up


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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      

Call centre processes 


HR processes  
Maintenance

processes
Training processes    
Goods in/out
     
processes

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Each audit will need to be scheduled according to an audit programme(s).

The definition of an audit programme (from Activity 1) was:

‘Arrangements for a set of one or more audits planned for a specific time frame and directed
towards a specific purpose.’

(As described in ISO 19011:2018)

An internal audit tends to be just one item on the audit programme, which itself will cover the
complete management system scope.

Auditing a management system is auditing an organization’s processes and their


interactions in relation to one or more management system standard(s).

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

Audit objective, scope, and criteria

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.

Firstly, the ‘objective of the audit’. Is it to:


1. Assess an organization’s processes for conformance and effectiveness, in relation to its EnMS
and relevant EnMS Standard?
2. Determine where EnP opportunities lie?
3. Determine the organization’s ability to control its EnMS risks and opportunities?
4. Follow-up on nonconformities reported at a previous audit?

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

Thirdly, the ‘audit criteria’ which we discussed a few slides back.

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ISO 50001:2018 Internal Auditor Training Course

Auditor competence

Knowledge and skills of an internal auditor

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.

Management systems competence could include:


• Management system and reference documents
• Organizational context and situations
• Organizational processes
• Laws, regulations, and other requirements
• Audit principles, procedures, and techniques

Energy management competence could include:


• Energy specific terminology, energy units and conversions
• Energy data measurements and analysis
• Energy management techniques and their application
• Energy audit, energy monitoring and targeting techniques
• Opportunities to improve energy performance

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ISO 50001:2018 Internal Auditor Training Course

Activity 3

Auditor responsibilities

20 minutes
Click here to start

27
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Activity 3: Auditor responsibilities

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

Initiating the audit

Determine the feasibility

Establish initial contact

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.

Assuming the audit is feasible, the auditor can start to prepare.

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

Preparing audit activities (1)

Document review in preparation for the audit

29
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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.

Typical areas to consider during the document review will include:


• Data - Is the information complete, correct, consistent and current?
• Reviewing all relevant sources of information
• Familiarization with the relevant parts of the EnMS, processes, instructions, and areas to be
audited
• Priorities - What is important to management?
• Data analysis - Does the energy and other data analysis meet the requirements of the standard?
Does the data and analysis add up? Do the opportunities line up with the objectives, energy
targets and action plans?
• Previous internal audits - To review previous nonconformities, corrective action and follow-ups
• If any changes have arisen to work activities and controls
• [Optional] Preliminary visit - Sometimes useful for auditors to familiarize themselves with an
area, and to deal with any practical concerns e.g. need for protective clothing, arrangements for
access etc.

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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:

Sample size = square root of total sample size

Sampling will be revisited later (conducting the audit activities).

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ISO 50001:2018 Internal Auditor Training Course

Preparing audit activities (2)

Preparing the audit plan

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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).

An audit plan should include (or reference) as appropriate:


a) Audit objectives
b) Audit scope
c) Audit criteria and any reference documents
d) Locations (physical and virtual) and activities to be audited, audit time/duration, meetings and
date
e) Need for familiarization with processes etc.
f) Audit methods to be used
g) Roles and responsibilities
h) Allocation of appropriate resources

Auditing a management system is auditing an organization’s processes and their


interactions in relation to one or more management system standard(s). Audit planning
should address or reference the organization’s processes to be audited.
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ISO 50001:2018 Internal Auditor Training Course

Preparing the audit plan (example)


Audit Plan Page: 1 of 1
Audit Objective – To assess call centre process in relation to EnP & org EnMS Audit Criteria – EnMS Process 6 and 7.1
Scope: Site ‘X’ involving all Call Centre activities, duration 1 day
Audit start date/time: 03/xx/xx 09.00 Auditor: J Bloggs
Audit finish date/time: 03/xx/xx 14.00 Report write up: 03/xx/xx 14.45 – 15.15
Review of report: 03/xx/xx 15.15 – 15.30 Audit methods: On-site, human interaction
Department representatives: Miss Energy Manager Roles/responsibilities and See general Audit Process ‘AP1’
Mr Operations Manager resources required:

Date Time Auditor Area/process


03/xx/xx 09.00 J Bloggs Opening meeting (all), follow-up actions from previous audit
09.30 Operations & Energy manager - Overview of call centre process in relation to EnMS requirements
10.00 Energy manager – SEU’s, objectives & energy targets for call centre process
11.15 Coffee Break
11.30 Operations Manager – Process operational controls, competence, and M/M of SEU results
12.30 Lunch
13.00 Energy Manager – Process (es) EnP improvement in relation to objectives & baseline(s) set
14.00 (Flexibility if needed)
14.45 Report write up
15.15 Closing meeting (All) and finish

Signed by Auditor: Accepted by Auditee:


Form No 1 – Issue 1/February 20XX
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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

33
Copyright © 2019 BSI. All rights reserved.

Activity 4: Audit plan

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

• Audit criteria: BSIKopitiam Inc EnMS & ISO 50001:2018

Your tutor will then provide feedback on your responses.


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ISO 50001:2018 Internal Auditor Training Course

Preparing audit activities (3)

Preparing audit work documents

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.

Its main functions/benefits are to:


• Keep the audit objectives clear
• Provide evidence of audit planning
• Maintain the audit pace and continuity
• Reducing workload during the audit
• Reduce risk of auditor bias

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

WITH WHAT? WITH WHO?


Resources Personnel

INPUTS? PROCESS OUTPUTS?


From (Specific value- To
whom/where added activities) whom/where

HOW DONE? WHAT RESULTS?


Methods/ Performance
documentation indicators

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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!

Examples of audit evidence supporting improvements are in your References.

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

36
Copyright © 2019 BSI. All rights reserved.

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

Conducting the audit activities (1)

Conducting the opening meeting

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The main purpose of an internal audit opening meeting is to:


• Confirm the agreement of all participants (e.g. auditee, auditor) to the audit plan, and ensure
that all planned audit activities can then be performed.

Other areas to be covered, as appropriate, might include:


• An overview of the audit process, if necessary
• Confirmation of the status of the EnMS documentation
• Confirmation of the time and date (if necessary) for the closing/interim meetings
• Any clarifications needed
• Will you need any guides?

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.

(ISO 19011:2018 6.4.3)

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Conducting the audit activities (2)

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.

General considerations will help ensure a successful interview.

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.

This can crowd a


This can suggest person, suggesting
boredom or lack of aggressiveness or
interest. over-eagerness.

BE AWARE OF THE MESSAGES YOUR BODY IS SENDING

Do: Assume a straight, neutral spine

This shows confidence and makes you appear taller,


a trait interpreted positively around the world.

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Listening techniques
Stop talking, concentrate and look interested.

Consider non-verbal communication:


• Gestures, posture, mannerisms, body language

What are you signaling?


• Your appearance?
• Your attitude?

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.

Activity 6: Auditing the EnMS, processes, and EnP improvements

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.

4. Documented information to demonstrate an overall improvement in EnP.

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

Conducting the audit activities (3)


Document review during the audit and
verifying information

Sources of information?

Collecting by appropriate sampling


and verifying information

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Reviewing documented information while conducting audit:


The auditees relevant documented information should be reviewed to:
• Determine the conformity of the process, as far as documented, with the audit criteria
• Gather information to support the audit activities

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:

Sample size = square root of total sample size

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.

Samples should be chosen using the following points:


• By the auditor
• Permission sought
• Establish and agree the facts
• Remain impartial

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

Recording the facts

As objective evidence
Must be Must be legible
retrievable

For investigation For investigation


now later

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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.

Information must always be clear, retrievable and traceable to origin.

The auditor’s work documents should be used to record the audit and provide the basis for later
conclusions. Notes should include:

• Important visual observations


• Names of auditees (but not in the audit report)
• Processes of the organization audited
• Lists of documented information reviewed
• Conclusions relating to EnMS process implementation, process effectiveness, and EnP
improvements
• Where nonconformance is identified, areas of possible improvement, and EnP improvements.

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ISO 50001:2018 Internal Auditor Training Course

Activity 7
Personal behaviour

15 minutes
Click here to start

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Activity 7: Personal behaviour

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

Internal audit video

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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

Review of day 1 quiz

Review of day 1 – quiz!

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

Conducting the audit activities (4) –


(Generating audit findings)

Fulfilment or non-fulfilment of a requirement?

Management Legal and


system Organization’s other
standard EnMS requirements

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.

Remember, from Activity 1, a nonconformity is defined as a: ‘Non-fulfillment of a requirement’. It is


important to keep reminding yourself during an audit that you are not looking for nonconformance,
but conformance against the criteria, and good practices. However you will undoubtedly, at some
point in time, discover a nonconformity.

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.

We will revisit formally documenting a nonconformity after your audit (next).

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

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Copyright © 2019 BSI. All rights reserved.

Activity 8: Document review

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.

Activity 9: On-site audit

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

“Quantitative reference(s) providing a basis for comparison of


energy performance”

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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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ISO 50001:2018 Internal Auditor Training Course

One important point to note is that some energy saving projects will result in:

• Reducing energy baseload


• Reducing specific (or marginal) energy consumption (normalized to relevant variable)
• Moving baseload to marginal consumption or v.v.

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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ISO 50001:2018 Internal Auditor Training Course

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).

Evidence: A contractor (DEF company) is an approved


contractor and currently services our air conditioning units.
Training records (ABC v.1) do not have any evidence that
employees from DEF company are aware of the energy policy.

Discrepancy: Our company has not ensured that


contractors are aware of our energy policy prior to their
commencement of work (123 v.3, EnMS, ISO 50001:2018:
7.3 and 8.1)

52
Copyright © 2019 BSI. All rights reserved.

This is an example of a nonconformity statement, it has the 3 main elements.

Requirement – In this case we are using the organization's own process as the criteria, and the
corresponding requirements.

Evidence – The objective evidence is clearly identified here.

Discrepancy – What the gap is between the requirement and the evidence.

EnMS xxx Nonconformity statement NC No: x


________________________________________________________________
Area under audit: xxxxxxxxxxxxx Process under audit: xxxxxxxxx
_________________________________________________________________
ISO 50001:2018 Clause: xxxxxx
_________________________________________________________________
Requirement:
xxxxxxxxxxxxxxxxxxxxxxxxx
_________________________________________________________________
Objective evidence:
xxxxxxxxxxxxxxxxxxxxxxxxx
_________________________________________________________________
Discrepancy/Nonconformity:
xxxxxxxxxxxxxxxxxxxxxx

_________________________________________________________________
Auditor: xxxxxxxx Date: xxxxxx

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ISO 50001:2018 Internal Auditor Training Course

Documenting nonconformities

Which examples have ‘ABC’? When writing


nonconformities
remember

A
ABC
Accuracy

B Brevity

C Clarity

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When writing nonconformities, do also remember ABC:


Accuracy
Brevity
Clarity

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’?

54
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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.

1. Audit evidence that EnP improvement was not achieved


2. Significant doubt that effective process control is in place
3. A number of minor nonconformities associated with the same requirement or issue could
demonstrate a systematic failure

(Clause 3.6, ISO 50003)

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ISO 50001:2018 Internal Auditor Training Course

Activity 10

Nonconformities

30 minutes
Click here to start

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Activity 10: Nonconformities

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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ISO 50001:2018 Internal Auditor Training Course

Conducting the audit activities (5)

• Preparing audit conclusions


• Closing meeting

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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.

Conducting the closing meeting


A closing meeting should be held to present the audit findings and conclusions. Participants in the
closing meeting should include the management of the auditee and, where appropriate, those
responsible for the functions or processes which have been audited.

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

Typical agenda for an internal audit closing meeting:


1. Attendees
2. Thanks and confidentiality (as applicable)
3. Objective/scope/criteria
4. Limitations, sample (as applicable)
5. Summarise findings, nonconformities, positives encountered
6. Agreement/diverging opinions (as applicable)
7. Action plan timeframes (as applicable)
8. Audit report timeframes and distribution (if not already written)
9. Clarification (as applicable)
10. Depart

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ISO 50001:2018 Internal Auditor Training Course

Activity 11

Closing meeting

35 minutes
Click here to start

58
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Activity 11: Closing meeting

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

Preparing and distributing the audit report

Typical contents

AUDIT REPORT RELEASE

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.

Typical contents of an internal audit report include, or refer to:


• Date(s), locations, audit objectives, scope, and criteria
• Auditee(s) and auditor details
• Audit conclusions, and the degree to which audit criteria has been fulfilled
• Audit findings, related evidence
• Nonconformity reports/statements

The audit report may also include/refer to (as appropriate):


• Audit plan, summary of the audit process, including any obstacles encountered
• Any unresolved diverging opinions, and any areas in audit scope not covered
• Confirmation that audit objectives were accomplished
• Opportunities for improvement, and good practices identified
• Agreed follow-up plan, and a statement of confidentiality
• Implications for the audit programme(s)/subsequent audits, and a distribution list

Please refer to an example audit report template which you can use, in your References section.

Completing the audit


The audit is complete when all planned activities have been carried out, documents retained or
destroyed, and lessons learnt entered into the continual improvement process(es).

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ISO 50001:2018 Internal Auditor Training Course

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.

Audit follow-up options can include:


• Limited re-audit
• Submission and review of amended documentation
• Roll over until the next internal audit

A summary of the process, including follow-up, is as follows:


• Identification of nonconformities found during the audit (auditor)
• Audit report prepared/agreed date of corrective action plan (auditor/auditee)
• Corrective action plan (CAP) issued (auditee)
• Auditor evaluates response to nonconformities in CAP (escalation if necessary)
• Completion of corrective action by auditee
• Evaluation of effectiveness by auditee
• Verification of completion by auditor
• Escalation (if necessary)
• Documented information retained of each stage in this process

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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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Activity 12: Audit follow-up

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

……………………………………………………………………………………………………

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ISO 50001:2018 Internal Auditor Training Course

Reflection quiz

20 minutes
Click here to start

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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.

As directed, ask your questions of others and provide answers to theirs.

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

Course review and final questions

Knowledge Skills

• Explain and apply the • Plan an internal audit of


guidelines of ISO 50001:2018
management system • Prepare internal audit
auditing according to ISO activities
19011:2018 • Conduct an internal audit
• Explain the application of • Prepare and distribute
these guidelines to the audit report
auditing ISO 50001:2018
• Complete the audit
• Audit follow-up

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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.

On completion delegates will gain the displayed knowledge and skills.

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

Have the skills to:


• Plan an internal audit of ISO 50001:2018
• Prepare internal audit activities
• Conduct an internal audit
• Prepare and distribute the audit report
• Complete the audit
• Audit follow-up

What will you now do differently?

Were your expectations/specific questions/problems answered?

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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>

Add local/country contact information

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