This step is relevant to section 4.6.3 of the ISO 50001-2011 standard.
An internal audit checks on your energy performance and the implementation and effectiveness of your energy management system (EnMS). It is a systematic and independent process that must be documented. Internal auditors collect and objectively evaluate evidence to determine whether your organization is meeting the requirements of its EnMS and ISO 50001.
Management system audits are system-focused; they are very different from other types of audits with which you may be familiar, such as environmental compliance audits or financial audits. Hence, training in management system auditing is critical for internal auditors. Appropriate resources will be needed to ensure that this training is provided, either in-house or by an external training provider.
The energy management representative often has overall responsibility for the internal audit program. But some organizations assign an internal audit program manager who is not the management representative.
If your organization has an internal audit program in place for another management system (such as quality, environmental, safety and health), then leverage that existing process and the available in-house internal auditing expertise. However, if you do not already have an internal audit program in place, it is highly recommended that you attend an internal auditing training course to learn how to manage and conduct internal audits.
How to do it
There are seven tasks associated with developing and implementing internal audits:
4.4.1 Develop a documented internal audit procedure
ISO 50001 requires that you document your internal audit process. This process typically includes:
Purpose of the audit
Planning and scheduling the audit
Auditor training requirements
Conducting the audit
Documenting the audit results
Communicating the results to management
Maintaining records
You may have noticed that these topics track with the tasks of this Step. Consider the information provided here when developing an internal audit process that is suited for your organization. Make sure that the procedure clearly identifies the roles and responsibilities of the personnel involved. Structuring the procedure around what needs to be done, when it needs to be done, who needs to do it, and what records will be maintained helps to communicate clearly the expectations for the internal audit system.
4.4.2 Develop the audit schedule
Internal audits must be conducted at planned intervals. They are not surprise activities. The audit program manager (or the management representative) prepares an EnMS internal audit schedule that:
Addresses auditing both energy performance and the management system,
Considers the status and importance of the areas and processes, and
Considers the results of previous audits.
Since ISO 50001 requires that you consider the status and importance of areas and processes when developing the audit schedule, attention typically is given to the areas and processes associated with the:
Significant energy uses,
Energy objectives,
Energy targets,
Energy management action plans,
Operational and maintenance controls, and
Activities related to sustaining energy improvements over time.
The internal audit schedule usually covers an annual period, but may be for shorter or longer periods. You may decide to conduct one internal audit per year that covers the entire EnMS. Or, you may decide to conduct a series of shorter audits that together, cover all of the EnMS requirements within a defined period. Some organizations decide to conduct internal audits of energy performance separately from internal audits of the management system. Whatever approach you use, remember to schedule audits based on status and importance of the areas and processes. Following is an example highlighting the status and importance in developing an audit schedule:
XYZ Corporation implements a steam trap program as part of an action plan to reduce energy losses. The internal audit schedule indicates that the steam trap program will be audited twice within the timeframe covered by the audit schedule. The first internal audit will assess whether initial implementation of the steam trap program has been accomplished. Later in the audit schedule, the steam trap program will be re-audited to ensure that the routine inspections of the steam traps are being conducted as planned and that the program is effective in reducing steam losses.
Once you have conducted internal audits, adjustments to the audit schedule may be needed based on the results of those audits. Following is an example of adjustments to an audit schedule:
In this case, the organization’s annual internal audit schedule indicates two internal audits of a specific significant energy use (e.g. interior and exterior lighting across the building complex). If no nonconformities are identified when audits of that significant energy use are conducted, then next year’s internal audit schedule may be modified to include only one internal audit of that specific significant energy use. On the other hand, if the internal audits reveal a consistent lack of conformance with the organization’s EnMS requirements for that significant energy use, then the internal audit schedule for either the current year or next year (or both) may be revised to include additional audits of that significant energy use.
Examples of other reasons for modifying the audit schedule are:
New management initiatives,
Organizational changes,
Customer issues or needs,
Process changes,
EnPIs not being met, and
New or revised energy objectives or targets.
The internal audit schedule may be in any format that meets the needs of your organization. Often, the schedule identifies the processes and functions/areas to be audited and the planned date(s). Some audit schedules only indicate what EnMS processes and performance will be audited and when. In either case, it is important to ensure that:
The status and importance of the functions and areas is considered, and
All EnMS processes and ISO 50001 requirements are audited in all applicable functions or areas within a defined period of time.
An internal audit plan or agenda is prepared for each internal audit. Typically, this plan is prepared by the internal audit program manager, a lead auditor or audit team leader. It often includes the following basic information:
Date(s) of the audit
Objectives of the audit
Processes and area(s) to be audited
Auditor(s) responsible for auditing each process and area
Timing
Requirements (criteria) and references
Examples of common audit objectives are to evaluate:
Conformity with the requirements of ISO 50001 and the EnMS;
Conformity with the established energy objectives and targets;
Implementation and effectiveness of the EnMS; and
Energy performance improvement.
Examples of processes to be audited include, but are not limited to, those associated with:
Internal audits are conducted by personnel who have been trained in internal auditing for management systems. The pool of internal auditors should have cross-functional representation. The audits can be conducted by a single auditor or by one or more teams. In either case, the person(s) conducting the internal audit needs to be objective and impartial, and does not audit his or her own work. Internal auditors are usually trained by experienced internal auditors or by an external training course provider.
Auditor training typically consists of:
Requirements of ISO 50001
Objectives of the audit
How to develop and use a checklist
How to collect and assess objective evidence
How to document both positive and negative findings
How to prepare a report of the results
4.4.5 Conduct internal audits
Internal audits identify both areas of success and areas in need of improvement. In conducting the audit, the internal auditors focus on determining if your organization is:
Doing what it says it will do,
Conforms with its energy objectives and targets,
Continually improving its EnMS, and
Achieving improvement in energy performance.
Both the selection of auditors and the method for conducting the audits need to demonstrate that the process is objective and impartial. Each auditor is expected to carry out his or her assigned responsibilities as set out in the audit plan.
When conducting an internal audit, auditors collect objective evidence by:
interviewing personnel
observing activities
reviewing documents
examining records and data
Audit checklists are often used to help organize and document the evidence and the audit findings.
4.4.6 Report results to top management
The results of internal audits, both positive and negative, must be recorded and communicated to top management. Some organizations record audit findings on an audit finding form (for an example, see Audit Finding Form). Other organizations record negative findings directly onto a corrective action form (for an example, see Corrective Action Request Form) and list the positive findings within an audit report or other summary of the audit results. It is up to you how your audit results are to be recorded.
The reporting of audit results to top management is part of the management review process (see Step 5.1). The level of detail presented on the audit results should be appropriate to the needs of top management. Corrective action on the negative findings should be taken in a timely manner.
4.4.7 Maintain records of results
ISO 50001 requires you to maintain records of internal audit results, both positive and negative. Typical records consist of:
Audit schedule
Audit plan(s)
Auditor training records
Audit nonconformity reports or completed corrective action records
The following resource is designed primarily for organizations that plan to seek third-party certification to ISO 50001-2011. It helps you understand how to check and use your EnMS records to demonstrate the implementation of the system (you are doing what you say), and the effectiveness of the system in generating the intended results (what you are doing is working).
