Internal auditors training Course - ISO ,50001

It's internal audit training course for ISO 50001 - energy audit. It's very useful for new persons.

1. Internal auditors
Training Program on
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EnMS
ISO 50001:2018 –
Energy Management system
LIFE GIVER PROFESSIONAL SERVICE, LLP

2. WHAT IS AN AUDIT ?
•Systematic, independent and documented
process for obtaining audit evidence and
evaluating it objectively to determine the
extent to which the audit criteria are
fulfilled.
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3. TERMS AND
DEFINITION
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AUDIT CRITERIA:Set of policies, procedures,
standards or requirements.
AUDIT CONCLUSION
Outcome of an audit, provided by
the audit team after consideration
of the audit objectives and all audit
findings.
AUDITEEPersonnel being audited
AUDITOR:Competent Person who conducts
an audit
AUDIT EVIDENCE:
Records, statements of fact or
other information, which are
relevant to the
audit criteria and verifiable.

4. TERMS AND
DEFINITION
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AUDIT FINDINGS
Results of evaluation of
collected audit evidence
against audit criteria.
AUDIT TEAM
One or more auditors
conducting an audit,
supported by technical
experts if needed.
TECHNICAL
EXPERT
Person who provides
specific knowledge or
expertise to the audit team
AUDIT PLAN
Description of the activities
and arrangements for an
audit.
AUDIT PROGRAM
Set of one or more audits
planned for a specific time
frame and directed towards
a specific purpose

5. TERMS AND
DEFINITION
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AUDIT SCOPEExtent and boundaries of an
audit.
NON-CONFORMITYThe non-fulfillment of a
requirement.
MAJOR NON-
CONFORMANCE
Absence or total breakdown
to meet the requirements of
the standard. A number of
minor non-conformances
against one requirement.
MINOR NON-
CONFORMANCE
A failure in some part of the
company’s documented
EnMS relative to the
requirement of the
standards. A single
observed lapse in following
one item of a company’s
EnMS
CORRECTIVE
ACTION:
Action to eliminate a
detected nonconformity to
avoid reoccurrence.

6. TYPES OF AUDIT
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Based on who is
doing
❖First party (Internal)
❖Second party (External)
❖Third party (Extrinsic)
Based on audit
process
❖Adequacy audit
❖Compliance audit
❖Follow-up audit
❖Surveillance audit
❖Re-certification audit

7. STEPS OF INTERNAL AUDIT PROCESS
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❑The Audit Schedule.
❑Process Audit Planning.
❑Performing Audit Planning.
❑Audit Reporting.
❑Follow Up on the Audit Issues and Improvement.

8. STEPS OF INTERNAL AUDIT PROCESS
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The Audit Schedule :
To have an overall schedule of when you are
planning to audit each process that will be
audited for system conformance.
No surprise audits.
Process Audit Planning :
How well the process is performing against the
plans for the environmental aspects associated
with the process.

9. STEPS OF INTERNAL AUDIT PROCESS
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Performing Audit Planning :
Are the environmental aspects monitored when
applicable?
Are any required environmental operational
controls in place and
maintained?
Are NC, CAPA against the process being
addressed?
Audit Reporting:
In general, share the important and sensitive
findings with responsible
managers immediately upon verification by the
auditors.
Prepare a first draft of the final report and
discuss it with responsible managers
immediately following the field work.

10. STEPS OF INTERNAL AUDIT PROCESS
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Finalize Audit Work:
“Exit Meeting” with the Top Management to
discuss the findings and Send final copy of the
report to the Top Management and ask the top
management for CAPA
Follow Up :
It is the least well done parts of the internal
audit process.
Ensure that a problem that was previously
identified is actually fixed can prevent the futile
reporting of the same problem again and again.

11. CORRECTIVE ACTION AND FOLLOW-UP
•Steps involved,
•Identify the correction required to eliminate the detected nonconformity
•Identify the root cause of the nonconformance
•(Lack of System/ Lack of awareness/ Lack of resources)
•Identify the corrective action to eliminate the root cause of
the nonconformance
•Have a defined time-plan for completing correction and corrective action
•Verify the implementation of the actions taken
•Verify the effectiveness of the actions taken, over a period of time
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12. INTERNAL AUDIT REQUIREMENT
•Internal Audit Programme
•Organization shall establish, implement and maintain internal audit programme(s)
•Audit Procedure shall include,
•Frequency , Method, Responsibility, Planning and reporting
•Define audit criteria and scope
•Conduct audit to ensure objectivity and impartiality of the audit process
•Results of the audits are reported to top management.
•Retain the document the audited information as evidence like audit results
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13. AUDITING PROGRAM
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Establishing the audit programme
-Objectives and extent
-Responsibilities
-resources
-procedures
Implementing the audit programme
-scheduling audits
-evaluating auditors
-selecting audit team
-directing audit activities
-maintaining records
Monitoring and reviewing the audit programme
-monitoring and reviewing
-identifying needs for corrective and preventive actions
-Identifying opportunities for improvement
Improving the audit
programme
Competence
and
evaluation of
auditors
Audit
activitiesACT DO
PLAN
CHECK

14. INTERNAL AUDIT PROGRAMME
Initiating the audit
-appointing the audit team leader
-defining audit objectives, scope and criteria
-determine the feasibility of the audit
-selecting the audit team
-establishing initial contact with the auditee
Conducting document review
- reviewing relevant management system documents, including records, and determining
their adequacy with respect to audit criteria
Preparing for the on-site audit activities
-preparing the audit plan
-assigning work to the audit team
-preparing work documents
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15. INTERNAL AUDIT PROGRAMME
Conducting on-site audit activities
-conducting opening meeting
-communication during the audit
-roles and responsibilities of guides and observers
-collecting and verifying information
-generating audit findings
-preparing audit conclusions
-conducting closing meetings
Preparing, approving and distributing the audit report
Completing the audit
Conducting audit follow-up
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16. AUDIT CHECKLIST
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❑Purpose of the checklist
•Provide a guideline or direction for auditing
❑Requirements of a checklist
•Should cover the entire scope of the audit
•Should cover all the requirements
•Should follow a natural and logical flow
•Should be simple and easy to understand
•Should be reviewed and periodically updated

17. AUDIT REPORT WRITING
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•Record the Audit
observation during
the course of audit
•Cover the entire
scope of the audit
•Use the checklist –
cover all the
check-points
•Record the
specific evidences
sighted during the
audit
•Classify the
observations into
•Positive
observation
•Negative
observation
•Opportunity for
improvement
AUDIT OBSERVATION
SHEET

18. AUDIT REPORT WRITING
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TYPICAL NON CONFORMANCES –
•No written instructions
•Failure to follow instructions
•Unauthorized document changes
•Obsolete documents not removed
•Ineffective corrective actions
•Monitoring Equipment not calibrated
•No evaluation on trainings
•Noncompliance to legal requirements

19. AUDIT RESULTS CLASSIFICATION
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(For Internal Auditing – Major and Minor categorization is not
acceptable)

20. CLASSIFICATION OF NONCONFOMANCE:
•NONCONFORMANCE CAN BE:
•Related to the documented system
• Related to requirement of
standard
•Related to technical activities
•Failure to do something required
•Difference between work practices
and documented instructions
•Resource for carrying out a process
•Related to legal and Other
Requirements
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21. CLASSIFICATION OF NONCONFOMANCE:
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Major non conformance:
Absence of a procedure required by the standard
Significant failure to implement a procedure
Direct effect on Energy Performance
Non compliance to Legal and Other Requirements

22. CLASSIFICATION OF NONCONFOMANCE:
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Minor non conformance:
Sporadic deviation in implementation of a requirement of the
standard
Sporadic deviation in implementation a requirement of
established procedure
Negligible Impact on the Energy Performance
Deviation in achieving planned result

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STRUCTURE OF NONCONFORMANCE:
NON CONFORMITIES MUST
Be
factual/obj
ective
Be clear
and concise
Be
locatable
by other
auditors
Define the
exact
identifier
BE
CATEGORIZED
(e.g.. Minor/
major)
Be
accepted/si
gned by
Auditee

24. 1.Observation - Precise & witnessed by the
auditee for accuracy
2.Attribution - Against the standard and/or
Quality Manual or Procedure but only on one
clause that fits most closely.
3.Explanation - Why is it nonconformity? Usually
a restatement of the requirement.
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STRUCTURE OF
NONCONFORMANCE:
•Nonconformity shall contain:—
• description of or reference to audit criteria;
• nonconformity declaration;
• audit evidence
• related audit findings

25. REPORTING NON
CONFORMANCE:
•Non conformance Statements should Answer
the following Questions for reporting:
• What was observed
• Where was it observed ?
• What was deviated ?
• What requirement to be complied?
• Who is the process Owner / Auditee?
• Who is the Auditor ?
•When was the nonconformance reported ?
• Who acknowledged the NC?
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26. REPORTING NON
CONFORMANCE:
Non conformance Statements should Answer the
following Questions for reporting:
• What was observed
• Where was it observed ?
• What was deviated ?
• What requirement to be complied?
• Who is the process Owner / Auditee?
• Who is the Auditor ?
•When was the nonconformance reported ?
• Who acknowledged the NC?
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27. REPORTING NON
CONFORMANCE:
Non conformance Statements should Answer the
following Questions for Resolution:
•How was the NC Rectified ?
• What is the cause for the NC ?
•How to prevent recurrence (CA)?
• Who is responsible for CA?
•Is CA effective to prevent recurrence ?
• If not effective what is the alternative ?
• What changes made in Operation Control ?
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28. REPORTING NON
CONFORMANCE:
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Nonconformity Reporting
Audit No.: (When)NC No.: (Identification)
Process/Dept: (Where)
Auditor: (Who)Auditee: (Who)
Details on Nonconformance
Finding / Statement of NC: (What was deviated)
Objective Evidence: (What was observed)
Requirement: (What requirement to be complied)
Acknowledgement of NC: (Who)

29. Men
MethodMachine
Material
Inadequate
Emergency
Preparedness
Not Trained to handle
Emergency Did not know to
speak and
understand Tamil
Telephone not
accessible in all
shifts
Language Skill
requirement not
specified in P.O for
Security Service
Procedure to
place Competent
Security
personnel not in
place
Sample Nonconformance – RCA :
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30. INTERNAL
AUDIT
PROGRAMME
Look at
❑Method of identifying
❑Documented
procedure
❑Records
❑Clear definitions
Look for
❑Understanding
❑Availability and issue status
❑Significance criteria
❑Consistent application
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31. AUDITORS QUALITIES
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n

32. AUDITOR
COMPETENCE
•KNOWLEDGE AND SKILLS
•Process Knowledge
•System Knowledge
•Auditing Skills
•Interaction skills
•Interpersonal skills
•Prevent and resolve conflicts
•Provide Direction and Guidance
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33. AUTHORITY
•Internal Audit is fully authorized to:
•Have complete and unrestricted access to
records, personnel, and physical properties
relevant to the performance of engagements.
•Delegate duties, allocate resources, select team,
determine scope of work, and select required
techniques to accomplish objectives.
•Obtain necessary assistance of personnel in
audited units and other specialized
•services within or outside the organization.
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34. AUDIT
FINDINGS
MUST BE
•CLEAR AND UNAMBIGUOUS
•OBJECTIVE
•SUPPORTED BY EVIDENCE
•ACCURATE
•IDENTIFIED WITH RELEVANT CLAUSES
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