ISO 50001 internal audit checklist

Has the organisation identified the internal and external issues that affect its ability to achieve the intended outcomes of the energy management system and to improve energy performance?

Evidence: Context analysis covering tariffs, regulation, technology, climate and operating conditions; review date

Has the organisation decided whether climate change is a relevant issue for its energy management system, and recorded the reasoning?

Evidence: Context analysis naming climate change and the conclusion, for example rising cooling loads

Are interested parties relevant to energy performance and the system identified, with their requirements, including climate-related ones?

Evidence: Interested parties register: regulators, utilities, owners, tenants, customers, lenders

Has the organisation identified and got access to the legal and other requirements related to its energy efficiency, energy use and consumption, determined how they apply, and does it review them at defined intervals?

Evidence: Energy legal register (efficiency regulations, audit and reporting obligations, building codes); review records

Are the scope and boundaries of the system documented, and does the organisation avoid excluding any type of energy within the scope?

Evidence: Scope and boundary statement; site plans showing boundaries; list of energy types (electricity, fuel, district cooling, renewables)

Is the energy management system established with the processes needed, including their interactions, and does it continually improve energy performance in practice?

Evidence: Process map or manual; sample of records from each process

Can top management show accountability for the system, that the policy, objectives and targets fit the strategic direction, and that energy is integrated into business processes?

Evidence: Interview with top management; business plans referencing energy targets; investment decisions

Has top management formed an energy management team, and does it make sure resources are available and that EnPIs properly represent energy performance?

Evidence: Team appointment with members and terms of reference; meeting minutes; resource allocation

Does the energy policy commit to continual improvement in energy performance, to available information and resources, to meeting legal and other requirements, and support the procurement of energy-efficient products and services and design that considers energy performance?

Evidence: Signed, dated policy checked against each required commitment

Is the policy documented, communicated within the organisation, available to interested parties and periodically reviewed?

Evidence: Policy on notice boards and intranet; review date

Are responsibilities and authorities assigned and communicated, with the energy management team given authority to run the system, implement action plans, report performance to top management and set criteria for effective operation?

Evidence: Job descriptions; energy team terms of reference; performance reports to top management

When planning, has the organisation considered its context, interested parties and the activities that affect energy performance, and determined risks and opportunities, with actions planned and their effectiveness evaluated?

Evidence: Risk and opportunity register for the system; action plans and reviews

Are objectives and energy targets set at relevant functions and levels, consistent with the policy, measurable where practicable, considering significant energy uses and improvement opportunities, monitored, communicated and updated?

Evidence: Objectives and targets register; link to SEUs and the opportunity list

Do action plans state what will be done, with what resources, who is responsible, when it will be completed, and how results will be evaluated, including the method used to verify energy performance improvement?

Evidence: Action plans with verification method; measurement and verification records for completed projects

Does the energy review identify the current types of energy and evaluate past and current energy use and consumption, based on measurement and other data?

Evidence: Energy review report; utility bills and meter data for at least the past year; energy balance or breakdown by end use

Are significant energy uses identified on the basis of the analysis, using defined criteria, and are the criteria and the resulting list documented?

Evidence: SEU criteria (for example share of consumption or improvement potential); SEU list such as chillers, compressed air, furnaces, lighting

For each significant energy use, are the relevant variables and current energy performance determined, and are the people whose work affects it identified?

Evidence: SEU sheets listing variables (cooling degree days, production volume, occupancy), current performance, and responsible operators

Are opportunities for improving energy performance determined and prioritised, and is future energy use and consumption estimated?

Evidence: Opportunity register with savings, cost and payback; energy forecast or budget

Is the energy review updated at defined intervals and after major changes in facilities, equipment, systems or energy-using processes, with its methods and criteria documented?

Evidence: Dated energy review versions; documented methodology; update after recent plant changes

Are EnPIs determined that are appropriate for measuring energy performance and able to demonstrate improvement, with the method for setting and updating them documented and relevant variables taken into account?

Evidence: EnPI list and method (for example kWh per tonne, kWh per square metre, kW per tonne of refrigeration); regression models where variables matter

Are EnPI values recorded, reviewed and compared with their energy baselines?

Evidence: EnPI trend reports against baseline

Is an energy baseline established from the energy review over a suitable period, and are EnPIs and baselines normalised where relevant variables significantly affect energy performance?

Evidence: Baseline period and data; normalisation model and its statistical validity

Is the baseline revised when EnPIs no longer reflect energy performance, when static factors change significantly, or under a pre-determined method, with baseline data, variable data and changes retained?

Evidence: Baseline adjustment records with reasons, for example a new building wing or a change in operating hours

Is there an energy data collection plan suited to the organisation's size, complexity and metering, stating which data are collected, how and how often, and how long they are retained?

Evidence: Data collection plan; metering hierarchy diagram; BMS or SCADA data exports

Does the data collected include relevant variables for SEUs, energy consumption for SEUs and the organisation, SEU operating criteria, static factors where applicable, and data specified in action plans, and is the plan reviewed at defined intervals?

Evidence: Sample of collected data for each category; plan review record

Does the equipment that measures key characteristics give accurate and repeatable data, with records of calibration, verification or other means of establishing accuracy?

Evidence: Meter calibration certificates; meter checks against utility meters; sub-meter verification records

Are the resources needed for the system and for improving energy performance determined and provided?

Evidence: Energy budget; staffing; metering and software investment

Are competence needs defined for people whose work affects energy performance, including operators of SEUs, and are they competent, with the effectiveness of training evaluated?

Evidence: Competence matrix; training records for chiller, boiler or compressor operators; energy manager qualifications

Are people aware of the energy policy, their contribution to objectives and targets, the benefits of improved energy performance, the effect of their own activities and behaviour on energy performance, and the consequences of not conforming?

Evidence: Operator interviews; awareness campaigns; induction content

Are internal and external communications planned, is the information dependable, and is there a process for anyone working for the organisation to comment or suggest improvements to energy performance?

Evidence: Communication plan; suggestion scheme records; energy performance notices

Does the system include the documented information required by the standard and what the organisation needs to demonstrate energy performance improvement?

Evidence: Master list of documents and records

Are documents identified, in a suitable format and media, and reviewed and approved before issue?

Evidence: Document control procedure; approval history

Is documented information available where needed, protected, and controlled for distribution, changes and retention, including external documents such as equipment manuals and tariff contracts?

Evidence: Spot checks at plant rooms; retention schedule; external documents register

Are criteria set for the effective operation and maintenance of facilities, equipment and processes related to SEUs, where their absence could cause a significant deviation from intended energy performance, and are the criteria communicated to the people concerned?

Evidence: Operating set points (chilled water temperature, compressor pressure); maintenance schedules for SEU equipment; criteria posted at the point of use

Are SEU processes operated and maintained in line with the criteria, with records kept to show they were carried out as planned?

Evidence: Operating logs; BMS trend data; completed maintenance work orders

Are planned changes controlled and unintended changes reviewed, and are outsourced SEUs or processes related to them controlled?

Evidence: Change records with energy review; facility management contracts with energy criteria

Are energy performance improvement opportunities and operational control considered in the design of new, modified and renovated facilities, equipment, systems and processes with a significant energy impact over their operating life, with the results built into specifications?

Evidence: Design review records with energy criteria; lifecycle cost analysis; specifications for recent projects

Are criteria in place for evaluating energy performance over the expected operating life when buying energy-using products, equipment and services with a significant impact, and are suppliers told that energy performance is an evaluation criterion?

Evidence: Procurement procedure; tender documents stating energy criteria; bid evaluations with lifecycle cost

Where applicable, are specifications defined and communicated for the energy performance of procured equipment and services and for the purchase of energy?

Evidence: Equipment specifications with efficiency ratings; energy supply contracts and tariff reviews

Does the organisation monitor and measure at least the effectiveness of action plans, EnPIs, the operation of SEUs, and actual against expected energy consumption, with defined methods and timing?

Evidence: Monitoring schedule; monthly energy reports; expected versus actual consumption analysis

Is improvement in energy performance evaluated by comparing EnPI values against the corresponding baselines, and is the effectiveness of the system evaluated?

Evidence: EnPI versus baseline reports; verified savings

Are significant deviations in energy performance investigated and responded to, with the results retained?

Evidence: Deviation alerts; investigation records; corrective actions on abnormal consumption

At planned intervals, is compliance evaluated with legal and other requirements related to energy efficiency, use, consumption and the system, with results and actions retained?

Evidence: Compliance evaluation records; submissions to regulators; actions on gaps

Are internal audits carried out at planned intervals to check whether the system improves energy performance, conforms to the organisation's own requirements, policy, objectives and targets and the standard, and is effectively implemented and maintained?

Evidence: Audit reports covering the full scope over the cycle, including an opinion on energy performance improvement

Does the audit programme consider the importance of processes and previous results; are auditors objective and impartial; and are results reported to management and acted on?

Evidence: Audit programme; auditor independence; findings followed up

Does top management review the system at planned intervals, considering previous actions, changes in context and risks, energy performance and EnPIs, compliance evaluation, objectives and targets, audit results, nonconformities, the status of action plans, and resources?

Evidence: Management review minutes checked against each required input

Do the outputs include decisions on improving energy performance and the system, changes to the policy, EnPIs, baselines, objectives, targets and action plans, resource allocation, and better integration with business processes?

Evidence: Minutes with decisions, owners and dates; follow-up at the next review

When a nonconformity occurs, does the organisation correct it, find the root cause, check for similar cases, take action, review its effectiveness and change the system where needed, with records retained?

Evidence: Corrective action records with root cause; effectiveness checks

Can the organisation demonstrate continual improvement in energy performance, as well as in the suitability, adequacy and effectiveness of the system?

Evidence: EnPI improvement against baseline over several years; completed projects with verified savings