Energy Management System Certification

Audit Summary Report

Organization:

Address:

Standard(s):

Representative:

Date(s) of audit(s):

This report is confidential and distribution is limited to the audit team, audit attendees client representative and the Certification Body office.

1.  Audit objectives

The objectives of this audit were:

To determine conformity of the management system, or parts of it with audit criteria and its:

 -ability to ensure applicable statutory, regulatory and contractual requirements are met,

-effectiveness to ensure the client can reasonably expect to achieve specified objectives, and

-ability to identify as applicable areas for potential improvement.

2.  Scope of certification

Has this scope been amended as a result of this audit?

This is a multi-site audit and an Appendix listing all relevant sites and/or remote locations has been established (attached) and agreed with the client.

For integrated audits, confirm the current level of the client’s IMS integration:

3.  Current audit findings and conclusions

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). A sampling process was used, based on the information available at the time of the audit.  The audit methods used were interviews, observation of activities and review of documentation and records. The structure of the audit was in accordance with the audit plan included as an annexe to this summary report.

The audit team concludes that the organization

established and maintained its

4.  Previous Audit Results

The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has concluded that:

5.  Audit Findings

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives. The audit methods used were interviews, observation of activities and review of documentation and records.

1-The management system documentation demonstrated conformity with the requirements of the audit standard and provided sufficient structure to support implementation and maintenance of the management system.

2-The organization has demonstrated effective implementation and maintenance / improvement of its management system and is capable of achieving its policy objectives, as well as and the intended results of the respective management system(s).

3-The organization has demonstrated the establishment and tracking of appropriate key performance objectives and targets and monitored progress towards their achievement.

4-The internal audit program has been fully implemented and demonstrates effectiveness as a tool for maintaining and improving the management system.

5-The management review process demonstrated capability to ensure the continuing suitability, adequacy and effectiveness of the management system.

6-Throughout the audit process, the management system demonstrated overall conformance with the requirements of the audit standard.

7-Certification claims are accurate and in accordance with CB guidance and the organization is effectively controlling the use of certification documents and marks.

6.  Significant Audit Trails Followed

The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following primary audit trails, followed throughout:

Relating to Previous Audit Results:

GUIDE TO AUDITORS

• The standard chapters marked with * must be checked during a surveillance audit at random, parts of the remaining chapters will be examined, depending on the time available.
• In the case of multi-site assessment MSA, the proofs per location must be explicitly stated.
  This usually concerns chapter 8.

Color legend:
Black        = Clause applicable for ISO 9001 + ISO 14001 + ISO 45001

Blue          = Clause applicable for ISO 9001

Green       = Clause applicable for ISO 14001

Red          = Clause applicable for ISO 45001 (In the case of migration from OHSAS to ISO 45001, checklist must be used)

Energy Management System Processes

4.CONTEXT OF THE ORGANIZATION

4.1 Understanding the organisation and its context

The organisation has determined their external and internal issues and monitors and reviews the information about the external and internal issues. Proper Strategy has been drawn accordingly.

4.2 Understanding the needs and expectations of the interested parties

The organization has determined the interested parties and their needs and expectations and monitors and reviews the information about the interested parties and their requirements.

4.3 Determining the scope of the management systems

The organisation has determined the (geographic) boundaries and applicability of the management system – considering the external and internal issues, the requirements by the interested parties and their product and services.

The organisation and has correctly defined the scope.

4.4 Energy Management system and its processes

The organization has established a management system including the processes and their interaction, the needed resources, the risks & opportunities, the monitoring to show the intended results / effectiveness of the management system.

The organization maintains documented information to the necessary extent.

5-LEADERSHIP

5.1 Leadership and commitment

Top management shows leadership and commitment according to the standard requirements (policy, resources, awareness, effectiveness). Top Management is fully committed to ensure that products and services fully meet all requirements (legal, customer and own requirements).

5.2 EnMS Policy

The top management periodically reviews the policy;
The policy meets the requirements of the norm;
The policy was publicized within the organization;

The policy is made accessible to interested parties.

5.3 Organizational roles, responsibilities and authorities

Top Management makes sure that responsibilities and authorities for relevant roles are assigned to ensure the effectiveness of the management system.

6-PLANNING

6.1 Actions to address risks and opportunities

The organization has established, maintains and reviews a systematic analysis of the business risks and opportunities (process- and product-related) as well as an action plan to address them.

6.2 Objectives and planning to achieve them

The organization has established measurable (if practicable) objectives at relevant functions and levels which are monitored and updated where appropriate.

6.3 Energy Review

The organization ensures the energy review analyze energy use, consumption, SEUs and improvement opportunities.

6.4 Energy performance indicators

The organization ensures the energy performance indicators suitable and maintained.

6.5 Energy Baseline

The organization ensures the baseline established and adjusted when relevant variables change.

6.6 Planning for collection of energy data

The organization ensures the energy data collected consistently and adequately.

7. SUPPORT

7.1 Resources

The organization has determined, determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of energy performance and the EnMS

7.2 Competence

7.3 Awareness

The organization has identified and empowered people who are necessary for the effective implementation of the Management System (EnMS) and for the realization and management of its processes

The organization has determined the necessary competences for the personnel who carry out work activities under its control and verifies that the personnel satisfy them or has undertaken the appropriate actions to guarantee their acquisition.

Personnel who work under the control of the organization are aware of the policy and objectives set by the organization, as well as the contribution they can make to the effectiveness of the EnMS, as well as the consequences of not complying with the requirements of the EnMS.

7.4 Communication

The organization has established and maintains a concept about internal and external communication.

7.5 Documented information (Create and update, steering documented information)

The documental structure of the Management System is adequate to the complexity of the organization, its processes / products / services and the skills of the people and includes the documented information required by the applicable reference standard.

The documented information, incl. those of external origin, are identified, reviewed, approved, kept under control (distribution, access, retrieval, updating, storage and preservation, retention and elimination) and protected (confidentiality, integrity and maintenance of legibility), as appropriate.

8. OPERATION

Comment: Please report about all shifts which have been audited

8.1 Operational planning and control

The organization has established and monitors the processes identified as relevant of its Management System (incl. the outsourced processes) in order to implement the actions necessary to address risks and opportunities and governs these processes by implementing the necessary controls.

8.2 Design and development

The organization has established and maintains a design process including all steps according to the standard requirements.

8.3 Procurement

The organization establish and implement criteria for evaluating energy performance over the planned or expected operating lifetime, when procuring energy using products, equipment and services which are expected to have a significant impact on the organization's energy performance. When procuring energy using products, equipment and services that have, or can have, an impact on SEUs, the organization shall inform suppliers that energy performance is one of the evaluation criteria for procurement..

9. PERFORMANCE EVALUATION

9.1 Monitoring, measurement, analysis and evaluation of energy performance and the EnMS

The organization has implemented a monitoring & measurement program including analysis and evaluation of the data as evidence of management system efficiency.

9.1.2 Evaluation of compliance with legal requirements and other requirements

The organization has determined the frequency for the assessment of the fulfilment of its compliance obligations and, based on the assessments performed, undertakes the appropriate actions. In addition, the organization keeps its knowledge of its compliance status up to date.

9.2 Internal audit

The organization has established and implemented an internal audit program including frequency, methods, responsibilities, planning and reporting requirements which takes into consideration:

1. Objectives
2. Importance of the processes concerned
3. is effectively implemented and maintained.
4. Changes impacting on the organization
5. Results of previous audit
6. The results are reported to Top Management

9.3 Management Review

Top Management perform some review of the effectiveness of the management system at planned intervals; the content of the management review meets the standard requirements.

10. IMPROVEMENT

10.1 Nonconformity and corrective action

The organization systematically collects all findings arising from audits, complaints & appeals, failures; it evaluates the root causes, defines some corrective actions and controls their effectiveness.

10.2 Continual improvement

The organization brings evidence that it continually improves the adequacy and effectiveness of the management system.

7.  Nonconformities

Number NCRs were raised as the result of this visit.

Next visit will be on

Nonconformities detailed here shall be addressed through the organization’s corrective action process, in accordance with the relevant corrective action requirements of the audit standard and shall include actions to analyse the cause of the nonconformity and prevent recurrence, and complete records maintained.

Note: - Initial, Re-certification and Extension audits – recommendation for certification cannot be made unless check box 4 is completed. For re-certification audits the time scales indicated may need to be reduced in order to ensure re-certification prior to expiry of current certification.

Note: At the next scheduled audit visit, the CB audit team will follow up on all identified nonconformities to confirm the effectiveness of the corrective actions taken.

8.  General Observations & Opportunities for Improvement

9.  Opening and Closing Meeting Attendance Record

3 Year Audit Programme:

Appendix A - Opening and Closing meeting agenda