ISO 50001 AUDITOR CHECKLIST
NAME:
RABQSA NUMBER:
About the ISO 50001 Auditor Checklist:
Applicants applying for, or expanding to, the ISO 50001 Auditor level must complete the following checklist as documentation of the application of their confirmed knowledge competencies during their Energy Management System Audits. All audits must be
conducted under the observation of an RABQSA certified ISO 50001 Lead Auditor. This checklist is aligned with the Test
Specifications of the ISO 50001 Auditor National Exam (see Annex C of PCD67 QB ISO 50001 Auditor Certification Requirements). Instructions for completing the checklist:
1. Have this checklist available during each of your Energy Management System audits where you are part of the audit team. 2. Write the date of your first Energy Management System audit at the top of the first column and write the name and contact
information for that audit’s ISO 50001 Lead Auditor.
3. Provide this checklist to the ISO 50001 Lead Auditor to complete.
4. The ISO 50001 Lead Auditor places a checkmark for each knowledge competency applied by you during that audit. 5. The ISO 50001 Lead Auditor signs the end of that column stating s/he observed your knowledge competencies.
6. Continue to use this checklist for each subsequent Energy Management System Audit until all knowledge competencies in the checklist have been applied.
NOTE: While there are 5 columns in this checklist, you may submit your checklist at any time all knowledge competencies have been applied (e.g., if you apply all competencies in 3 audits, you may submit this checklist with your application or expansion application.). Should you require more than 5 audits to apply the knowledge competencies shown, continue your documentation on another checklist.
Competencies
Energy
Evaluate how an organization has identified and applied regulations to the energy management system. (4.4.2)
Evaluate an energy review. (4.4.3)
Evaluate the comprehensiveness and correctness of the organization's analysis of energy use. (4.4.3 a) Enumerate and assess the significance of energy sources not identified by the organization. (4.4.3 a) Evaluate the comprehensiveness and correctness of the organization's identification of energy uses and consumption. (4.4.3 a)
Enumerate and assess the significance of energy uses not identified by the organization. (4.4.3 b) Evaluate the methodology used to identify and address the relevant variables in the organization's energy use analysis. (4.4.3 b)
Evaluate the methodologies used to identify
opportunities for energy performance improvements. (4.4.3 b)
Evaluate the methodologies used to prioritize
opportunities for energy performance improvements. (4.4.3 c)
Evaluate the methodology used to develop and maintain the energy baseline. (4.4.4)
Assess whether the organization has developed energy performance indicators (EnPI) that are relevant to the organization’s energy management system. (4.4.5)
Competencies
Assess the organization’s methodology for the update and maintenance of an energy review. (4.4.3)
Assess whether the objectives, targets and action plans established are appropriate to the organization's energy performance improvement opportunities. Assess the organization’s methodology for addressing major changes to facilities, equipment, systems and processes. (4.4.3)
Assess the appropriateness of the organization’s energy measurement plan. (4.6.1)
Evaluate the organization’s system for investigating and responding to significant deviations in energy performance. (4.6.1)
Evaluate the organization’s process for integrating energy performance considerations into their procurement practices. (4.5.7)
Management systems
Evaluate the adequacy of the organization's definition of the scope and boundaries of the energy
management system. (4.1, 4.2.1)
Evaluate the appropriateness of the identified management representative. (4.2.2)
Evaluate the resources provided to the energy team. (4.2.1)
Assess how roles and responsibilities are communicated to the organization. (4.2.2)
Evaluate the appropriateness of the energy policy. (4.3)
Evaluate the process which the organization uses to identify competencies needed to implement and maintain an energy management system. (4.5.2)
Competencies
Evaluate the organization's training plan to fill the gaps in competence. (4.5.2)
Evaluate the inclusion of energy performance criteria in the design of new facilities, equipment and
processes. (4.5.6)
Evaluate the effectiveness of the organization’s top management involvement in the energy management system and the management review process. (4.2.1, 4.7)
Audit Skills
Apply the principles, objectives and techniques of auditing management systems as outlined in ISO 19011.
Collect audit evidence and generate audit findings in accordance with the requirements of ISO 50001. Apply information security and confidentiality measures and techniques.
Use effective questioning methods when interviewing. Use effective communication methods within the audit team during the audit.
Use effective communication methods with the auditee as assigned during the audit.
Present audit findings during the closing meeting. Evaluate the organization's plan relating to the schedule to complete an internal audit of ISO 50001. (4.6.3)
Evaluate the organization's plan relating to the training to complete an internal audit of ISO 50001. (4.6.3) Evaluate the organization's plan relating to the actions to complete an internal audit of ISO 50001. (4.6.3)
SIGNATURE REQUIRED
Competencies
As the Lead Auditor for the above audit, I confirm that the applicant listed on page 1 of this checklist has applied the competencies checked in this checklist. I agree to be contacted to confirm the validity of this checklist via the phone and/or email address above.
