ISO 50001 Audit Self Assessment Checklist

ISO 50001 energy management system implementation involves many steps with numerous activities involved like documentation, designing new systems and procedures, monitoring etc. The implementation also involves a lot of people holding different responsibilities. Even after rigorous cross-checking about all the activities, we could still notice few pending activities and some activities not meeting the requirements. Prioritizing the activity of preparing a self-assessment checklist will definitely be of great use in this regard. This checklist is a tool used to better organize the entire assignment and to verify easily all the most important tasks. Maintaining a self-assessment checklist will definitely reduce errors and ensure consistency and completeness in carrying out the implementation of ISO 50001.

ISO 50001 Audit Self Assessment Checklist - Categorywise:

General Requirements:

• Have you established, documented and implemented an EnMS that meets all the clauses of ISO 50001:2011   
• Have you defined the scope of the EnMS with regards to physical site limits and organizational boundaries and also considered the extent of business activities, facilities and decisions that may include several boundaries like purchasing activities off-site etcetera 

Energy Review:

• Have you developed & documented a robust methodology for producing an energy review that can be repeated/updated? 
• Have you produced an energy review to include an analysis of energy use and consumption based on direct measurement and other data? 
• Have all current energy sources been identified? 
• Has the review considered past and present energy use? 
• Does the review identify areas of significant energy use and consumption? 
• Does the review identify facilities and other equipment, systems and processes & people working for or on behalf of the organization who can affect energy use and consumption? 
• Have all other variables affecting significant energy use been identified 
• Has the review determined the current energy performance of facilities, equipment, systems and processes related to significant energy use Has the review included estimates of future energy use and consumption? 
• Does the review identify, prioritise and record opportunities for improving energy performance?

Energy Baseline: 

• Based on the energy review, has the energy baseline been produced? (changes in energy performance are measured against this baseline) 
• Has the baseline been maintained and recorded? 

Energy Performance Indicators:

• Have EnPI’s been identified for measuring energy performance e.g. kWhrs/square foot or kWhrs/widget produced 
• Has the methodology for determining & updating the EnPI’s been recorded and is it regularly reviewed? 

Energy Policy:

• Has the energy policy been documented by top management? 
• Does it include a commitment to continual improvement in energy performance? 
• Does it include a commitment to ensure the availability of information and of necessary resources to achieve the energy objective and targets? 
• Does it include a commitment to comply with all legal and other requirements that the organization subscribes related to energy use, consumption and efficiency? 
• Provides a framework for reviewing and setting objectives? 
• Supports the purchase of energy-efficient products and services and design for energy performance improvement? 
• Is documented and communicated throughout the organization? 
• Is regularly reviewed and updated? 

Management Representative:

• Have top management appointed a management representative? 
• Who has the responsibility for maintaining and establishing the EnMS? 
• Will report on top management on the performance of the system? 
• Will ensure that the planning of energy management is designed to meet the policy? 
• Will promote awareness of the policy? 
• Will Define and communicate responsibilities in order to facilitate effective energy management? 

Top Management:

• Has top management, (person or group of persons who directs and controls an organisation at the highest level):
• Demonstrated its commitment to support the EnMS?  
• Provided resources needed to implement and maintain the EnMS? 
• Communicated the importance of energy management to those in the organisation? 
• Communicated the importance of energy management to those in the organisation? 
• Ensured the EnPI’s are appropriate to the organisation? 
• Considered energy performance in long term planning? 
• Ensured that results are measured and reported at determined levels 
• Conducted management reviews? 

Legal Requirements:

• Is there a legal register relevant to energy use, consumption and efficiency? 2. Is it reviewed at defined intervals 
• Is there a procedure? 

Energy Objectives, Actions & Target Plans:

• Are objectives and targets documented and quantified consistently with the energy policy? 
• Are targets consistent with the objectives? 
• Do the objectives consider the legal obligations and significant energy uses and opportunities to improve energy performance? 
• Do action plans include named responsibility, deadlines and what is actually going to happen to meet the objectives? 
• Is there a statement of the method by which an improvement in energy performance is to be verified? 
• A statement of the method of verifying the actual results? 

Competence Training & Awareness:

• Have you identified who needs what training in order to implement your policy and objectives? 
• Are those working on your behalf, related to significant energy use, competent on the basis of education, training, skills or experience? 
• Do you keep records for the above? 
• Does everyone working for you …
• Realize the importance of working to the policy? 
• Their roles in achieving the requirements of the EnMS? 
• The benefits of improved energy performance? 
• How their behaviours can affect energy consumption and how deviation from procedures in the EnMS can affect the achievement of the objectives and targets? 

Communication:

• Have you implemented a process by which any person working on your behalf can suggest improvements or make comments on the EnMS? 
• Have you communicated internally on the requirements of the EnMS? 
• Have you made a decision about communicating externally on your energy policy? If you have decided that you will have you documented how you will do this? 

Documentation: (For List of Documentation Click Here)

• Have you documented the scope, boundaries, policy, objectives, targets, action plans and all other documents required by the standard? 

Document Control:

• Have you approved documents for adequacy prior to use? 
• Are they reviewed and updated regularly? 
• Do documents indicate changes and revision status? 
• Are the relevant versions available at points of use? 
• Are documents legible and identifiable?

Operational Control:

• Are all operations and maintenance activities related to significant energy use carried out under specified conditions by: 
• Setting criteria for operation and maintenance of significant energy uses where their absence could lead to a deviation of policy or objectives 
• Operating and maintaining facilities, processes and systems in accordance with operational criteria 
• Have the operational controls been communicated to those working for and on behalf of the organization? 

Design:

• Has energy performance been considered in the design of new, modified and renovated facilities, equipment, systems and processes that can have a significant impact on energy performance? 
• Results of the energy performance evaluation considered in the specification, design and procurement of the above projects? 
• Have results of the design activity been recorded? 

Procurement:

• Whilst procuring energy services, products and equipment that can have an impact on significant energy use, have you told suppliers that procurement is partly evaluated on the basis of energy performance? 
• Are there procedures & criteria for assessing energy use, consumption and efficiency over the expected lifetime when procuring energy-using products, equipment and services, which are expected to have a significant impact on the organization's energy performance? 
• Are procurement procedures and specifications defined and documented? 

Monitoring, Measuring & Analysis:

• Are the key characteristics of the organization’s operations monitored, measured and analysed? Key characteristics should include. 
• Significant energy use and other outputs of the review 
• Relevant variable relating to energy use EnPI’s 
• Effectiveness of action plans in achieving objectives and targets
• Evaluation of expected Vs actual energy consumption 
• Are all results from monitoring recorded? 
• An energy measurement plan should be defined and implemented 
• Measurement needs should be reviewed regularly and all equipment and calibration records and other means to establish accuracy and repeatability should be maintained. 
• Are responses to significant deviations in energy performance investigated and responded to? 

Internal Audits:

• Has an audit plan been scheduled taking into account the importance of processes and areas to be audited? 
• Are audits being completed? 
• Are internal auditors independent of the process they are auditing? 
• Are audit results recorded and reported to top management? 

NC's Corrective & Preventive Actions:

• Are actual and potential nonconformities addressed by making corrections and by taking corrective action and preventive action? 
• Are nonconformities and potential nonconformities reviewed? 
• Are nonconformities reviewed and action needed to prevent them from happening again taken? 
• Is appropriate action determined? 
• Are records kept of corrective and preventive actions? 
• Is the effectiveness of corrective and preventive action reviewed? 
• Is the EnMS changed as a result of corrective action and preventive action review? 

Management Review:

• Do top management review the EnMS at planned intervals? 
• Are records/minutes kept? 
• Do inputs to the review include:
• Actions from previous meetings?
• Review of policy?
• Review of energy performance and EnPI’s?
• Results of legal compliance evaluation?
• The extent to which objectives & targets have been met?
• Internal audit results?
• Status of corrective and preventive actions?
• Projected energy performance for the following period?
• Recommendations for improvement? 
• Do outputs from the review include:
• Changes in the energy performance of the organization?
• Changes in energy policy?
• Changes to the EnPI’s?
• Changes to objectives, targets and other elements of the system consistent with continual improvement?
• Changes to the allocation of resources?