Internal Audit Guide

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

The Internal Auditors Guide to:

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

EN 16001:2009 – the Irish Energy Management System Standard

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November 2009

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Table of Contents
1. Introduction .............................................................................................................................................................4
2. The internal auditor ...............................................................................................................................................5
2.1. Who is an EMS internal auditor? ........................................................................................................5
2.3. Are you independent enough to perform an EMS audit?.........................................................5
3. EMS internal audit ..................................................................................................................................................5
3.1. What an EMS audit is not!.....................................................................................................................5
3.2. What is an EMS internal audit? ...........................................................................................................6
4. What does an EMS audit examine? ..................................................................................................................7
5. Steps in conducting an EMS internal audit....................................................................................................8
6. Tips for planning, conducting and reporting on EMS internal audits ..................................................9
6.1. Planning the audit ..................................................................................................................................9
6.2. Starting the audit ....................................................................................................................................9
6.3. Conducting the audit ............................................................................................................................9
6.4. Note-taking ............................................................................................................................................ 10
6.6. Audit findings ....................................................................................................................................... 10
6.7. Closing meeting ................................................................................................................................... 10
6.8. Audit follow-up .................................................................................................................................... 11
7. Types of EMS audit .............................................................................................................................................. 12
7.1. Compliance audits............................................................................................................................... 12
7.2. Process audits ....................................................................................................................................... 14
7.3. Performance audits ............................................................................................................................. 18
8. Conclusion ............................................................................................................................................................. 20
9. Appendix A: Sample Checklists ...................................................................................................................... 21

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1. Introduction
The European Standard EN 16001:2009 has been adopted in Ireland as I.S. EN 16001:2009. It sets out
the requirements for an Energy Management System (EMS) and has been developed to assist
organisations to improve their energy efficiency in a logical, controlled and systematic way.

The standard promotes:

• the analysis of real energy usage data

• the identification of the specific locations, times and underlying requirements (referred to as
factors) that dictate the magnitude of this energy use

By adopting the standard, organisations can accurately identify, understand and prioritise
opportunities to improve their energy efficiency. This analysis, coupled with a ‘management system’
approach, has a long and proven success record in all industry sizes and sectors.

The Irish energy standard has been developed to align with other common industry management
standards, such as those for quality, health & safety and environmental systems. Companies can thus,
where appropriate, integrate an EMS with their current management system(s).

The purpose of this internal auditors guide is to provide a number of recommended approaches to
performing internal audits, and to act as an aid for auditors as they audit an I.S. EN 16001 EMS.

This guide has been specifically developed for individuals who have been nominated to audit their
organisation’s I.S. EN 16001 EMS. Before performing such audits, it is important for a prospective
auditor, and a requirement of the standard, that you have been deemed competent to perform
internal audits of the EMS. This guide is an important step towards building that competence.

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2. The internal auditor
2.1. Who is an EMS internal auditor?
An EMS internal auditor is anyone who can fulfil two important criteria: first, they must be competent,
and secondly they must be independent.

2.2. Are you competent to perform an EMS audit?

Organisations should define their own specific competence criteria for internal auditors. To be
competent, the internal auditor(s) must have a reasonable technical understanding of:

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

The internal auditor(s) must also know how to conduct an audit. This ability will be developed
through a combination of training (internal and/or external) and experience of observing,
participating in, and leading audits.

This guide is designed to be an aid to novice and mature internal auditors alike in conducting EMS
internal audits. In many cases, to demonstrate the required competence, an audit team with different
skill sets will be required. This may be achieved by combining personnel with good auditing skills and
good technical skills.

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

You can usually verify your independence as an internal auditor by the simple question: “Am I
auditing my own work or the work of an individual that reports to me directly?” If the answer is ‘yes’, it
is possible that the audit will not provide an unbiased picture of the activities under review. You may
not be the best person to audit that particular part of the system.

3. EMS internal audit

There is often a misconception in industry about what an EMS audit actually is. For the purposes of
this guide, we will first clarify what it is not, and then explain what it is and what it examines.

3.1. What an EMS audit is not!

An EMS audit is not:

• an assessment of a building’s energy rating

• a technical review of the cost benefits of introducing power-factor-correction electronic

equipment into the organisation

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

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

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

• a sizing and redesigning of the water-heating system using solar technologies

An internal auditor of an I.S. EN 16001 EMS is not required to carry out any of these or other such
tasks, but might be asked to assess these issues if they are being implemented by someone else in
the organisation.

3.2. What is an EMS internal audit?

An EMS internal audit is an independent review of part or all of an organisation’s EMS.

The purpose of the audit is to determine if the plans, activities and procedures/processes described in
the management system are being conducted in the manner that the system requires.

In adopting I.S. EN 16001, an organisation has committed itself to achieving improved energy
efficiency and to setting objectives and targets to attain this. The internal audit is a crucial check to
verify if the EMS is effective, if it is operating as intended, and if it is achieving its objectives.

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

• Is the organisation’s EMS working as intended?

• Is the EMS meeting the requirements of the I.S. EN 16001 energy standard?

• Are the plans and controls established by the organisation being followed as intended?

• Are the expected targets being achieved?

• Is it realistic to expect that the EMS will achieve its stated objectives?

While conducting an audit, you may find that plans or procedures are not being followed as intended.
In such a case, you can raise a finding or recommendation for improvement. The organisation can
then take corrective action to address the problem, or identify and implement a preventive action to
stop the problem from recurring.

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

• The objectives, targets and plans

• Legislation, regulations, standards, and corporate agreements, particularly if they relate to

energy use or management

• The policies and procedures, records, and operational controls, including:

o Identification of significant energy aspects

o Identification of legal obligations and other requirements
o Evaluation of compliance with legal obligations and other requirements
o Awareness training and competence
o Communication
o Document control
o Record control
o Non-conformance corrective and preventive action
o Internal audits
o Energy performance statements
o Management review minutes or associated presentations

As an internal auditor, you should also examine the systems and records associated with monitoring
and measurement of the organisation’s energy performance, such as significant energy usage,
relationships between usage and the factors associated with it, performance against set objectives
and targets, energy performance indicators (EPIs) and key performance indicators (KPIs).

Records to be examined may include calibration records of any monitoring and measurement
equipment, as well as the maintenance/operational records of any area, equipment or machinery that
has been identified as significant in terms of energy.

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5. Steps in conducting an EMS internal audit

Overview of the typical activities carried out by an internal auditor

Prepare for the audit

• Verify which element(s) of the energy-management system or process you have
been requested to audit
• Identify the sources of information required in the audit
(people, processes, documents, records, data, etc)
• Check that the people, information and other resources you need for the audit are
available at the time allocated to the audit
• Review any findings or corrective/preventive actions from the previous audit of the
element(s) of the energy-management system or process
• Prepare audit check sheets as a reminder for use during the audit (see the end of
this audit guide for examples)

Starting the audit

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

Conduct the audit

• Collect and verify objective evidence

• Establish any audit findings
• Have a final closing meeting with the person who has direct responsibility for the
area/process being audited, communicate your audit findings, and agree any
corrective actions

Audit report

• Prepare and distribute the audit report

• Log any corrective actions agreed

 
Audit follow-up
 
• Corrective and preventive actions: review progress
 

 
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6. Tips for planning, conducting and reporting on EMS internal
audits
6.1. Planning the audit

• Before you begin the audit, verify the section of the standard or process you have been
tasked to audit.
• Identify the sources of information needed to complete the audit. These may include
documents, people, measurement results, records, monitoring systems, project plans, etc.
• Before conducting an internal audit, a good auditor will verify if the people, places and
documentation required for the audit will be available during the audit.

6.2. Starting the audit

• At the beginning of your internal audit, explain the purpose of the audit to the people whose
impact on energy performance is under review.
• Emphasise that the purpose of the audit is to check the effectiveness of the EMS and not to
assess their performance.
• Explain what information you will be looking for during the audit and how long it should
take.

As an auditor, you should always remember that your role is to find and report on facts that you have
verified from evidence obtained during the audit. An auditor should never find fault in individuals,
attribute blame or impose a predetermined corrective action. Most important is the conduct of the
auditor:

• Always be mannerly
• Always be courteous
• Never pass judgement or be judgmental
• Do not argue – agree to disagree
• Explain issues as they occur – doing this saves time and will prevent disagreements when
clarifying findings at the end of an audit
• Keep your composure and maintain a good sense of humour!

6.3. Conducting the audit

While conducting the audit you will need to:

• Control the time spent on the audit

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

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

6.4. Note-taking

• Avoid excessive note-taking. It can make people nervous!

• Keep your notes short
• Use the notes as memory aids only
• Limit the notes to items that can verify what you have seen and your findings

6.5. What should you record?

You should record notes relating to findings and memory aids, including:
• Job roles
• Documents and records sampled
• Machinery names and numbers
• Sources of data and analysis samples
• Areas visited
• Objectives and targets information

6.6. Audit findings

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

• Processes or procedures being followed or not

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

You should ensure that all your findings can be backed up by the evidence gathered and that all
findings gathered during the audit are agreed at the closing meeting.

6.7. Closing meeting

• Explain each finding from the audit

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

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

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 “I.S. EN 16001 section 3.4.2 for training awareness and competence states that …“ or
“The procedure for training states that …”
2. State what you found! For example:
“There was no energy training scheduled for the employees in the die-cast area.” Give
the evidence for this finding.
3. Give an indication as to the seriousness of the finding. For example, you could grade
your findings on a scale of 1-3, using ‘1’ for a serious finding and ‘3’ for minor findings or
general comments.

6.8. Audit follow-up

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

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7. Types of EMS audit
An internal auditor can use two main methods of auditing during an assessment of the EMS: a
compliance audit and a process audit. A third type, a performance audit, uses the methods used in both
compliance and process auditing.

7.1. Compliance audits

Compliance audits are used to ensure that all the requirements of the energy-management standard
have been considered and met in the organisation’s energy system. The compliance audit is a review
of the organisation’s EMS documentation such as: Manual, Procedures, Policies, Legal Requirements,
Energy Objectives, Targets and Programmes/Project Plans, and associated records.

A compliance audit aims to answer two main questions:

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

(b) Are all the plans and processes that the organisation has outlined to meet the requirements of
I.S. EN 16001 being followed in practice?

For example:

You have been requested to audit the training section of the organisation’s EMS.

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

The compliance audit checklist indicates that you should review the following
documentation: the Energy Manual, the Training Process description and/or Procedure; the
Training Needs Analysis and the Training Schedule; the Energy Awareness Training Records
and any Communication Meeting Minutes and Noticeboard displays.

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

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

3. Check if the process/procedure addresses the stated policy on energy training, eg:

• The organisation will make personnel aware of the energy policy

• The organisation will make personnel aware of the operational controls and plans in
place to improve energy use

• The organisation will make personnel aware of the impact of their work with regard
to energy

• The organisation will make personnel aware of the benefits of improved energy
performance

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

• The organisation will identify training needs associated with the significant energy
aspects of the EMS

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

Check 1: Have all relevant staff in the organisation been trained or informed of the existence
of the energy policy, energy objectives, energy targets and energy teams; of the benefits,
and of their responsibility in terms of energy performance.

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

If you find that the records for some of the personnel sampled show that they have not been
trained, or if you find that few or no-one in a department has been trained, take another
sample of three to five people in the department to determine the magnitude of the
problem (or, to use the auditing term, ‘non-conformance’), or check if there is a training plan
in place to carry out this training in the near future.

If you find that personnel have not been trained in the policy, objectives, energy controls
and their roles, your audit finding could be:

“Not all required personnel in the stores area have been trained on the energy policy, objectives,
energy usage, controls and their roles with respect to energy.”

Then detail your evidence:

“An analysis of the training records for the production and stores department found that neither
the production supervisor nor any of the stores personnel have received energy awareness
training. This finding was substantiated through discussion with the relevant staff.”

The associated action will be:

Action 1. “The production supervisor and stores personnel should receive energy awareness
training as soon as possible, in line with our Training Procedure.”

Check 2: The Training Process/Procedure might say how the organisation has deemed
certain personnel competent to perform specific tasks that have a significant impact on
energy usage. You now need to ask, “Who are these people?”

The register/list of energy aspects, the initial energy review and/or energy manual may tell
you the people that have a significant effect on energy usage. If you cannot identify these
individuals within the documented EMS, refer to the compliance audit checklist provided, for
a list of people who may be able to identify these personnel for you.

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

“The organisation has not identified or recorded which personnel can have a significant impact
on energy usage.”

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 Then detail your evidence:

“The initial energy review or related documents do not specify the persons whose actions can
have a significant impact on energy consumption and nor could the energy manager or the HR
manager tell me who they were”.

The associated action will be:

Action 2. “The organisation must identify personnel who may have a significant impact on
energy usage and assess what competency is required for their roles. The organisation should
identify and implement the necessary operational controls and training for these personnel.”

Check 3: Has the organisation identified the training needs associated with the control of
significant energy aspects and the management system?

Has the organisation identified the training needs for all staff and roles that can have an
impact on energy usage? Look for a training needs analysis. If you find that this analysis has
been completed for all staff, determine if any identified gaps in current training have been
translated into a training plan.

If no plan exists, your finding might be:

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

Now detail your evidence:

“There is no training plan to address the training gaps identified in the training needs analysis nor
any records of any such training being completed.”

The associated (corrective) action will be:

Action 3. “A training plan should be developed and completed to meet the training gaps
identified in the training needs analysis.”

For further examples of how to structure a compliance audit, see the sample compliance audit
checklist in Appendix A.

7.2. Process audits

Instead of auditing a clause or a section of a standard in isolation, in a process audit you audit an
actual operating process in your organisation.

Since all companies are organised around particular business functions, such as departmental,
production or service processes, it is often best to audit using a process rather than compliance
approach.

The process audit can often identify gaps that a compliance audit fails to identify, such as failures of
information flow between departments or levels within the organisation.

As all companies use different types of process in their daily operations, it is up to your organisation
to identify which process to audit and where each of your processes starts and ends.

Types of processes that your organisation may identify could include:

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 • Operational departments

Eg, Production, Engineering, Maintenance, Stores, Dispatch and Transport

• Utilities processes

Eg, gas or biomass heating systems, office air-conditioning systems, production compressed-
air systems, production electrical use, transport fuel use, refrigeration processes, or drying
processes

• Business departments

Eg, Purchasing, Sales, Customer Services and Finance

Process audits are assessments of any system of operation with a set of defined inputs and a desired
output or result.

Conducting the process audit

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

• The energy inputs required for the process to operate

This may include the heating, cooling, electricity or fuels required. These inputs may be
monitored or measured. You should check how the process is performing in this regard by
checking the energy usage results against any targets or trends.
• The energy controls your organisation has established to operate the process efficiently
These may include: IT systems, procedures, documented responsibilities and authority,
training of and communication with staff associated with the process or checks, inspections,
audits, or maintenance and calibration records associated with the process.
• The energy measures your organisation has in place to assess the performance of the
process
Including: benchmarks, targets, trend analysis, energy performance indicators (EPIs), energy
and fuel use data, or outputs versus energy expended in the process
• If energy project plans or programmes have been identified to improve the energy
efficiency of the process you are to audit
These may include organisation or process objective project plans that detail tasks for
individuals or teams, with target dates for completion.
By identifying the energy inputs, energy controls, energy measures and energy plans, any process in
your organisation’s EMS can be audited effectively using the process approach.

Process audit example

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

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

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

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 2. The plastic is melted using electrical elements

3. The molten plastic is injected into water-cooled moulds (supplied by the electric chillers)
where the bottle is formed

4. The formed bottle is trimmed (a sample is quality-control-inspected)

5. The bottles are moved on a conveyor belt to the packing machine

6. The bottles are packed for distribution by the packing machine

7. Cardboard-packed bottles are moved to the warehouse by diesel-powered fork trucks

The effect of energy process inputs on the production process can be seen by following each step of
the process from start to finish:

Process Input 1: Plant/Equipment/Machinery

Here you see the effect that plant/equipment/machinery has on each stage of the bottle
production process.

You examine the machinery used in the bottle-making process and find the process to be exactly as
described in the defined steps above. You now refer to the standard operating procedures for the moulding
process (obtained when you were preparing for the audit). When you compare the process settings as
detailed in the procedures to the settings on the machinery, you find that:

1. The electrical elements used to melt the plastic granules had their temperature set too high
(identified from machine standard operating procedure, revised last month)

2. The electrical chiller temperature was set too low (identified from standard machine
operating procedure, revised last month)

3. The cooling water in the moulds is leaking (you noticed water on the floor and asked the
operative where the water was coming from)

4. The fork truck taking the bottles away has two almost flat tyres and has not been serviced for
a year (you noticed the flat tyres and inspected the truck maintenance records)

Process Input 2: Work Environment (light, temperature, noise, vibration)

You examine the work environment and refer to the inspection procedures and energy objectives
and project plans for the process and its area. You discover that:

1. The temperature display says it is currently 16OC (there is an overall energy objective to keep
the factory temperature constant at 20OC to minimise heating oil usage)

2. One of the factory doors is left open

3. Another door has a large hole caused by a fork truck collision

4. The lighting used for QC inspection of the bottles is on. The last inspection took place two
hours ago (as recorded in the inspection record). There is thus unnecessary use of electricity.
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 The inspection procedure says bottles are inspected every three hours, and the average
inspection takes 10 minutes. After the inspection the light should be turned off, as laid down
in the inspection procedure.

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

awareness and competence, responsibilities & resources)

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

From discussions held with the production operator and the fork truck driver, you discover that
neither of these staff members was made aware of the changes to the standard operating procedures
for the moulding process. These changes included: the temperature settings for the electrical
elements on the moulding machine procedure, the factory constant temperature objective and the
requirement to turn off the inspection light after the inspection procedure.

You see from an inspection of the training records that neither the bottle machine operator nor the
fork truck operator has been trained in the operating procedures for the production line. Thus they
were not aware of the revised running temperatures for the electric extruders, the chiller cooling
temperatures, and the factory required ambient temperature of 20OC. Nor were they aware that the
factory door should be kept closed and the inspection light be turned off after use.

The flat tyres on the fork truck and the cooling water leak were recently reported to the stores and
maintenance supervisors, and are awaiting repair.

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

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

Here you will see the effect that energy aspects, objectives/targets project plans & operational
controls can have on each stage of the bottle production process.

The bottle production process has been identified as a significant energy aspect and is on the Energy
Aspects list. The monitoring and measurement results of oil and electrical usage for this process were
reviewed before the audit.

The objective for the bottle production process is to reduce the primary energy use. The programme
to achieve this includes: install energy-efficient electrical elements, set optimised melt temperatures
for electrical elements, set optimum chiller temperatures, control factory heating and lighting, and
train staff. (detailed in the Energy Aspect programme of work list).

The energy aspects of the bottle production process have specified energy performance indicators
(EPIs) identified for the process. For example, the targeted amount of energy used per 1,000 bottles
produced has been set at 0.5MWh. Currently the process is using 0.84MWh of electricity per 1,000
bottles produced. This target is not being met despite energy programme improvements, including
the introduction of high-efficiency boilers and new plastic heating elements (as outlined in the
objective project plans).

A review of the training project plans shows that the training is not being carried out as quickly as
required in the project plan. To date only 50% of the planned training has been completed. (See the
table of example process audit activities in the Appendix.)

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Summary of the example process audit

In this process audit, you have found several examples of non-conformance with the requirements of
the sample EMS. These are valuable findings, as each issue has a direct impact on energy usage.
Following a process approach in the audit allowed you to identify the process inputs. With the aid of
the process audit checklist, you examined these inputs at each step of the production process. You
thus identified poor energy performance even after significant investment in new and electrical
heating elements and in replacement of the oil boiler.

Secondly, using the process approach, you found that operational controls surrounding the process
were failing to achieve the desired results due to one main root cause: the failure to follow the
training project plan. (Note that the root cause of many non-conformances identified in internal audits is
lack of investment in staff training.)

At the closing meeting of this audit, you communicated all findings to the production supervisor, the
production manager and the engineering manager. You explained to the management team how
you arrived at each of the findings and you discussed their impact on energy usage. You also
discussed appropriate corrective actions for each individual finding. You pointed out that the failure
of many of the operational controls in place was a direct result of delays in implementing the project
plan for training. Therefore your discussions focused on the need to implement the training plan
without delay to ensure that the operational controls work effectively.

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

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

7.3. Performance audits

In performance auditing, you can use the compliance and process audit methods that have been
described earlier to identify further opportunities for improving the EMS and thus the energy
performance of your organisation.

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

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

2. To determine if it is realistic to expect that the organisation’s processes and plans will
achieve the stated objectives of the EMS

As the internal auditor, you will seek to assess the actual energy performance of the organisation
compared to its objectives, targets and energy indicators, benchmarks or any other EPIs that your
organisation has set for itself. If these points cannot be verified, you may have cause to raise a finding.

To assess the performance of the organisation, you will seek to identify the degree to which the
organisation is exceeding, meeting or failing to meet its targets, as outlined in the EMS.

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For example:

Your company has set a key performance indicator (KPI) for electrical usage per hour of operation in
an office environment. This energy indicator increases and decreases throughout the year depending
on varying natural daylight levels and the seasonal heating requirements of the office.

Using the compliance audit approach in a performance audit

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

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

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

4. Determine if there is evidence available showing that these corrective or preventive actions
were effective in reducing energy usage in the offices, by comparing with the appropriate
monitoring and measurement results.

Using the process audit approach in a performance audit

Audit the monitoring and measurement process that provides the key performance indicator or
performance measurement information for the office electrical use target.

1. Check if the calibration records of the electrical sub-meters, which are used to identify and
record office electrical usage, are up to date.

2. Go through each step of energy usage in the office to determine if the energy operational
controls and project plans associated with the office energy objective are being followed.

3. Check if calculations are required to translate energy monitoring information into energy
targets that are reported to management. Check if these calculations are correct and that
they are consistent over time (eg, has the method of calculation changed?).

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

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8. Conclusion

In the previous section, various auditing techniques are described that you can use in your role as
an internal auditor of an EMS.

This guide and the examples in it demonstrate in general and in some detail how an internal
audit process can play a crucial part in improving your EMS.

You will find that the process of auditing becomes easier with practice. Try to conduct audits
regularly. It is better to conduct small audits frequently, rather than large audits with long periods
between them.

Remember that your role is not to find fault with people but to carry out the audit in a courteous
manner. You will probably find your audit work highly rewarding, both for yourself and for your
organisation. You are ultimately improving the EMS, saving money for your organisation and
making a strong contribution to increasing energy efficiency.

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9. Appendix A: Sample Checklists

Table A: Sample Compliance Audit Checklist for an IS EN 16001:2009 Energy Management System Standard

IS EN 16001 Sample questions What documents? Who to ask? Evidence Finding

standard clause gathered

3.1 General Is there a documented energy-management Energy manual Management

Requirements system in place? representative
All procedures
Does the energy-management system explain how
Registers
the organisation will improve its energy efficiency –
within a defined scope/boundary? Document & records
List(s)

3.2 Energy Policy Does the energy policy support the scope and Energy policy Any member of
provide a commitment to continually improve the staff incl.
organisation’s energy efficiency? contractors

21
Minutes of management
Has management signed off on providing the
review
necessary resources?
Is the energy policy communicated to all staff?

3.3.1 Does the organisation have a process in place to Energy manual Management
Identification & regularly review its past and present energy usage? representative
Procedure for identifying
Review of Energy
Does the review include the analysis of data? Have & evaluating energy Engineering/
Aspects
the factors affecting usage been identified? aspects Energy/Utilities
manager
Has equipment with a significant energy use been Review of energy aspects
identified? Energy team
Monitoring &
Are opportunities for improvement identified in Measurement procedures
the review and is this process active?
Register of opportunities
for improvement

 
  

3.3.2 Legal Has the organisation developed a process to Energy manual Management
Obligations & explain how it identifies relevant legal and other representative
Legal register
Other requirements?
Energy team
Requirements Management review
Is the organisation’s top management committed
minutes
to complying with all relevant legislation and Sample of top
regulations with respect to energy? management

3.3.3 Energy Have energy objectives and targets for the Energy manual Management
Objectives, organisation been identified and documented? representative
Targets &
Were legal requirements relevant to the Engineering/
Programmes
organisation considered when setting the Legal register Energy/Utilities
objectives and targets? manager
Are the documented objectives measurable and is Energy & Functional
there a timeframe set for achieving these managers
objectives?
Objectives & programmes Energy team
Have energy-management programmes been list

22
developed that, when completed, will achieve the
Energy & management
organisation’s stated objectives and targets?
meeting minutes
Have the people responsible for these programmes
been identified?

3.4.1 Resources, Has a management representative been allocated Energy manual Management
Roles, to ensure the system is implemented and to report representative
Energy policy
Responsibility & on its performance?
Functional
Authority Documented roles and
Have the roles, responsibilities and authority of managers
responsibilities
everyone with an impact on energy usage been
Supervisors
identified, documented and communicated? Minutes from
management Production staff
reviews/performance
statements

3.4.2 Awareness Has an energy training plan been developed? Energy manual HR manager
Training &
Are all employees aware that the organisation

 
  

Competence intends to improve its energy performance? Energy training Management

process/procedures representative
Has the role of employees in improving the
organisation’s energy efficiency been Functional
Training needs analysis &
communicated to them? managers
schedule
Supervisors
Does the training process extend to
Training records
contractors/suppliers?
Production staff
Communication meeting
Does training extend to all levels of company
minutes & noticeboard Team leaders
management? Have managers contributed to
displays; register of
defining the energy objectives of the company or
opportunities
registered ideas for improvement?
3.4.3 Have processes been developed to communicate Energy manual Corporate
Communication to staff the energy performance of the services/Marketing
organisation?
Management
Communication meeting
representative
Are these processes being followed? minutes & noticeboard

23
displays Functional
Is the organisation communicating externally managers
about its energy performance?
Energy procedures Supervisors
training records
Production staff
Communication plan
HR manager

3.4.4 Energy Does the energy-management system Energy manual Document

Management documentation describe the core elements of the controller
System system? Any relevant
Documentation procedures/registers Management
Do these documents provide direction to other representative
related documents, incl. technical documents? Records
Utilities staff

3.4.5 Control of Is there a process in place for controlling All documents and Energy manager
Documents records

 
  

documents and records?

Are required documents available (see section
3.4.4)?
Is it stated where records are stored and for how
long?

3.4.6 Operational Has the organisation established criteria for Energy manual and work Energy, Purchasing
Control operating and controlling all equipment, facilities, instructions & Engineering
buildings, etc? managers
Is there a process to evaluate usage in the event of Design process; Cap Ex Functional
any planned change to infrastructure, etc? process; Corporate managers
requirements
Supervisors
Is there a requirement to consider energy efficiency
as part of the evaluation process for procurement?
Purchasing procedures
Does this requirement apply to equipment,

24
materials, etc?

3.5.1 Monitoring & Is there a clear outline of the monitoring, metering Energy manual and work Energy &
Measurement and targeting that are required? instructions Engineering
managers
Is energy usage being monitored & measured EMS/BMS
regularly? Functional
SCADA systems
managers
Is monitoring & measurement equipment being
Calibration registers/certs
calibrated? Is this calibration up to date? Supervisors
Trend analysis
Is the relationship between usage and the relevant Utilities engineers
factors being reviewed and where necessary Review & Energy meeting
amended? agendas & minutes

Are significant accidental deviations from expected

consumption being recorded, investigated and
resolved?

3.5.2 Evaluation of Is there a process in place to evaluate compliance Evaluation of compliance Management

 
  

Compliance with the legal and other requirements to which the procedure representative
organisation subscribes?
Compliance
Are there records to prove that these evaluations managers
Energy manual
have taken place?
Energy &
Legal register
Engineering
Legal evaluation records managers
Management review Functional
minutes managers

3.5.3 Non- Is there a process for handling corrective and Energy manual Energy & Functional
Conformance, preventive actions? managers
Corrective & preventive
Corrective Action
Are the criteria that constitute non-conformance action procedure
& Preventive
clear?
Action CAPA log
Is there evidence to show that all corrective and
Management review
preventive actions are being taken in a specified

25
minutes
timeframe?
3.5.4 Control of Are all records required by the organisation’s Document control & Administrator
Records energy-management system legible, retrievable, record control process(es) Team leaders
traceable and identifiable? Utilities
Records list
3.5.5 Internal Is there an internal-audit process to complete Audit procedure/process Internal audit
Audits audits as required? manager
Corrective action
Has an audit schedule been developed? Does it procedure QEHS manager
take into account the importance of processes and
Audit schedule Audit team
areas to be audited?
Aspects list
Are impartiality and independence factored into
the auditor selection process? CAPA log
Are audit findings and reports documented?
Audit reports
Are findings followed up on and addressed?
3.6 Management Has the organisation carried out its management Energy manual Management team

 
  

Review reviews of the energy-management system at the Management review

required planned intervals? minutes Management
representative
Does the management review include all the Performance statement
required inputs?
Objectives list
Is there a record of the outputs of the management
review process?

26
 
  

Table B: Sample Process Audit Checklist for an IS 393 Energy Management System Standard

Process element Clause of What to look for What to record Findings

IS 393

Plant/Equipment/ 3.4.1 Availability of necessary equipment Equipment name/serial no.

Machinery Maintenance status and plans Maintenance status due or not
3.4.6 Calibration/certification status Calibration/certification status due or not
Monitoring activity/process control status/ Monitoring activity/process control status; what are
3.5.1 operating procedures the results and what do they suggest?

Work Environment 3.3.1, 3.4.6 Light, temperature, noise, vibration, Light, temperature, noise, vibration, issues found,
specified environmental controls where issues found

Staff 3.4.6 Observation of conformance to procedures Names of individuals interviewed

Communication Observation of conformance to procedures
3.4.3 Training awareness and competence Evidence of sufficient communication to staff

27
3.4.2 Responsibilities & resources Training awareness and competence record details
3.4.1 Responsibilities & resources: evidence of
communication and fulfilment of responsibilities and
of resources being provided

Energy Aspects, 3.3.1 Associated energy aspects Conformance in relation to:

Objectives, Targets, 3.3.3 Associated objectives & targets Associated objectives & targets
Project Plans & Energy-management programmes Energy-management programmes
Programmes 3.2,34.4.4, Specified policies & procedures Specified policies & procedures (name and revision
Operational controls 3.5.4 Records number)
3.6 Information on effectiveness Records (name and revision number)
3.5.3 Non-conformance CAPA Non-conformance
Corrective/preventive action

 
  

Process Inputs 3.6 Changes to the process since the last audit, Changes to the process since the last audit, any new
any new controls controls
3.6 New contractors, employees or suppliers New contractors, employees or suppliers
3.6 Adherence to energy procurement policy, Adherence to energy procurement policy,
3.6 procurement specifications/guidelines procurement specifications/guidelines
3.4.5 Monitoring of energy use in the process Names, equipment ID, material ID, document nos.
and revisions

28
 
  

Table C: Summarising Audit Activities against Objectives, Targets, Programmes, Indicators, Operational Control, and
Monitoring & Measurement – an Example

Energy aspect Objective Target Programme Indicator Operational Monitoring &

control measurement

Plastic Bottle Plant Reduce energy use Reduce energy use Install energy-efficient Electricity Standard operating Electricity sub-
by 8% on current electrical elements usage: procedure metering for plant
level by year end Set optimum melt-point
kWh per 1,000
temperature for electrical
elements bottles
Electronic oil
Set optimum chiller monitor
temperature for coolant
water
Work area:

29
Replace heating boiler
with more efficient heating
equipment
Install energy-efficient
lighting
Staff energy training

 
  

Summary of audit activities undertaken

Energy aspect Objective Target Programme Indicator Operational Monitoring &
control measurement

Audit of the Plastic Audit objective is to Examined progress Examined energy Examined Examined SOP Examined usage
Bottle Plant confirm that energy- against target programme project plan usage report report
management and
The audit was system is supporting production
conducted onsite the energy usage records
reduction objective

30
 
  

31
 

 
  

32
 

 
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