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Energy Management System (EnMS) Phase 3 Expert Training UNIDO International Energy Efficiency Experts

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Page 1: Energy Management System (EnMS) Phase 3 Expert Trainingieeegypt.org/wp-content/uploads/2016/08/EnMS... · NOTE 1 In the context of energy management systems, results can be measured

Energy Management System (EnMS)

Phase 3 Expert Training

UNIDO International Energy Efficiency Experts

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Housekeeping

Emergency Exits

Restrooms

Cell Phones

Breaks

Lunch

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Recap on the Energy Management System

Delivered by National Expert

Volunteer

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Energy Management System

Based on the concept of:

Plan

Do

Check

Act

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Management Responsibility

Is the top management

really comitted?

Will they support the

system?

This is a decision point!

If not, we can all go for

coffee now!

Will they make the

necessary resources

available (technical,

financial and human)

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Policy

Management commitment

Not just a signature!

Define scope of EnMS

Appropriate to scale

Commitment to continual improvement

Make resources available

Framework for target setting and management review

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Planning How much energy am I using?

Where am I using it?

Which are significant users?

What is driving it?

Who is influencing its use?

Do I need to have an energy

assessment (=audit)?

– If yes, focus it

System Optimization

Renewable energy options

Are there legal or other requirements?

Develop baselines & EnPIs

Set objectives and targets

Action Plan

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Implementation & Operation Competence, training and awareness

Documentation

Operational control

• Key Area

• Operation and Maintenance

• Service Contractors

• Training

Communication

Design

– Energy Efficient Design (EED)

Purchasing energy, services, goods

Action Plan

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Checking

Check Operations

• Check operator records

• Check maintenance records

• Equipment checking

Check the system

• Is everyone doing what is

required?

Check Performance

• Check EnPIs

• Check trends and costs

Check progress

• Against plans

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Management Review Regular presentation

How are we getting on?

• Is performance improving

as targeted?

• Problems and barriers to

overcome?

• Achievements

What is the plan for next

year?

• What do we need to

achieve this plan?

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PDCA complete

Ongoing Activities

Training

Communication

Operational Control

Procurement

Energy Efficient Design

Action Plans

Checking

– EnPIs

– Progress

– EnMS

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Review targets, action plans, EnPIs and progress

Each team to deliver 3 slides in maximum of 4 minutes

• Slide 1: Savings targets, compare with actual savings to

date using your EnPIs.

• Slide 2: Completed action plan items including verified

savings

• Slide 3: Open action plan items including savings to be

made

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Review Operations

Each team to show maximum 3 slides with the highlights of

improvements made or planned in its operations

(Operational Control, Procurement, Design, Competence and

Training)

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See you in 15 minutes!

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Overview of Checking

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Checking

Check Operations

• Check operator records

• Check maintenance records

• Equipment checking

Check the system

• Is everyone doing what is

required?

Check Performance

• Check EnPIs

• Check trends and costs

Check progress

• Against plans

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Checking Performance

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Checking Performance

EnPIs

Baseline

Savings targeted to date

Savings achieved to date

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Energy Performance Definition

NOTE 1 In the context of energy management systems,

results can be measured against the organization’s

energy policy, objectives, targets and other energy

performance requirements.

Energy Performance Measurement

Source:

Definition 3.12

ISO 50001:2011

24

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Energy Performance Measurement

The organization shall ensure that the key characteristics of its operations that determine energy performance are monitored, measured and analyzed at planned intervals.

Source:

Section 4.6.1

ISO 50001:2011

25

Key Characteristics • Significant energy uses

• Other outputs of energy review

• Relevant variables related to SEUs

• EnPIs

• Effectiveness of action plans in achieving

objective and targets

• Evaluation of actual vs. expected energy

consumption

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Energy Performance Measurement

Key Characteristics

Look at:

SEUs

Look for:

• Substantial consumption

or opportunity

• Current performance

determined

• Current consumption

matching estimates

• Relevant variable relation

to energy consumption

26

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Look at:

Other outputs of

energy review

Look for:

• Sources identified and

ascribed

• Past and present

consumption trends

• Results of

improvement

opportunities 27

Energy Performance Measurement

Key Characteristics

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Look at:

EnPIs

Look at:

Objectives and

targets

Look for:

• Trends

• Relationship to

consumption

Look for:

• Objectives and targets

improve energy

performance

• Targets lead to

objective

28

Energy Performance Measurement

Key Characteristics

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Look at:

Actual vs. expected

energy consumption

Look for:

• Actual matching

expected consumption

• Connection to

significant deviation

Look for significant deviation in any key

characteristic 29

Energy Performance Measurement

Key Characteristics

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Situation

Target: Reduce boiler natural gas consumption

7.5% compared to baseline CY 2009 boiler

30

Boiler NG Consumption

CY 2009 23,076 GJ

CY 2010 21,683 GJ

===> 6%

Reduction

Is energy performance improving?

Is this a nonconformity?

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Boiler #1 has been identified as a significant energy

use based on consumption.

Boiler #2 has not been identified as a significant

energy use but consumption equals Boiler #1.

Lately, Boiler #1 consumption has gone up while

Boiler #2 consumption has gone down.

31 Is energy performance improving?

Is this a nonconformity?

Situation

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Related to Significant Deviations:

A company defines significant deviation as 10% in excess

of estimated consumption. The consumption history is:

There is no evidence of a company response.

0

500

1,000

1,500

2,000

2,500

MMBtu

Boiler Consumption

Boiler #4 Actual

Boiler #4 Estimated

32 Is energy performance improving?

Is this a nonconformity?

Situation

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Checking of Operational Control

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Checking Operations

Operator Logs

– Abnormalities and corrections

Control system screens

Critical Operating Parameters

Equipment and systems

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Checking Maintenance

Maintenance Records

Computerised Maintenance

Management Systems (CMMS)

Service reports

Follow up repairs

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Checking Equipment

Routine checking

Noises, leaks, instrumentation

– Temperature, pressure, flow, etc.

Knowledge of normal operations

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Exercise - Operational Control

Consider the above slides and decide if you are effective in

this area.

Make a plan on how you will improve this topic

Include ideas on your opportunities list

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See you in 45 minutes!

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Checking the system

EnMS Audit

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What is Auditing?

An audit is a systematic, independent and documented

process for obtaining audit evidence and evaluating

the evidence objectively, to determine the extent to

which the audit criteria are fulfilled”

Audit findings are the results of the evaluation of the collected audit evidence against the audit criteria (Should be both positive and negative)

Source:ISO 19011

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What is an internal audit? Independent review of part or all of the EnMS

The purpose is to determine if the following are meeting

the EnMS requirements

Plans

Activities

Procedures and processes

Is the EnMS effective in improving energy performance?

Is the EnMS operating as intended?

Is it achieving its objectives?

Does the EnMS meet the requirements of a standard if

certification is being sought, e.g. ISO50001

It is an essential part of continuous improvement

43

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An internal audit is not……

A technical energy audit

An assessment of the viability of an energy saving

opportunity

An assessment of the energy efficiency of a process or

system

An assessment of the performance of individual people

A battle between the auditor and auditee(s)

44

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The auditor The role is to find and report on verified facts found during

the audit.

Never:

Find fault in individuals

Attribute blame

Impose predetermined corrective actions

Pass judgement or be judgemental

The auditor should:

Be mannerly and courteous

Not argue, either agree or disagree

Explain issues as they occur

Keep your composure and maintain sense of humour

Control the time spent on the audit

45

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Goal of an EnMS audit

Make an informed decision about the status of the

management system with respect to intent,

implementation, effectiveness and energy

performance.

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Energy performance focus

Confirm energy performance improvement:

Confirm improvement in energy performance indicators

Verify performance is measured against a baseline

Verify energy objectives and targets are met

Determine effectiveness of action plans

Ensure significant deviations are addressed

Ensure energy performance improvement opportunities are identified

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48

Internal —

First-party audit • Self

• Independent

function

(cont’d)

Who Performs the Audit?

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Who Performs the Audit?

External —

Second-party audit

• Energy Consultant

• Sister company

External —

Third-party audit

• Independent

function

(Certification body)

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Overview of Audit Program

Objectives

General procedure

Criteria

Methods

Team(s)

Auditor qualifications

Logistics

Confidentiality

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Overview of Audit Activities

ISO19011

Conducting Audit

Follow-up

Completing the Audit

Preparing &

Distributing the Audit

Report Initiating the Audit

Conducting Audit

Activities

Preparing For Audit

Activities

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Three Stages of Audit Activity

• Planning for audits – Schedules

– Notifying auditors and auditees

– Preparing checklist

– Preparing an agenda

• Conducting the audit – Coordination with auditee

– Interviews, observations and records

– Auditor notes

• Follow-up activities – Reporting the findings (positive and negative)

– Corrective actions

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Audit Planning

Audit Schedule

Covers all auditable

entities

Generally an annual

schedule

Status and importance

Audit results may change

audit frequency

Energy performance

RESULTS

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Audit Schedule

WHO

WHAT

WHERE

WHEN

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Audit Methods

Horizontal • By department plus interfaces • By section of ISO 50001

Vertical • Downstream

[SEU(energy use and consumption) to Monitoring and Measurement (evaluation)]

• Upstream

(monitoring and measurement to energy use and consumption)

Process Audit • Significant energy uses • Objectives and targets • Internal auditing

Combination

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Process Audit - Significant Energy Uses - PDCA

PLAN

•Energy review

•Energy performance

indicators

•Objectives, targets,

and action plans

DO

•Training

•Communication

•Operational

controls

•Design

•Procurement

•Documents

Check

•Monitoring and

measurement

•Calibration

•Records

ACT •Management review

•Performance results

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Audit Evidence

Based on facts and not opinion

Evidence

• Direct observation

• Statement of fact

• Documents, data, and records

First-hand, verifiable

Recorded

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Where Can Requirements Come From?

• Standards

• Procedures

• Forms

• Records

• Verbal statements

• Legal & other

requirements

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The Auditor Checklist

Serves as an auditor’s guide for information gathering

Tailored to the unique assignment and needs of the

auditor

Serves as a guide, not a substitute, for good interview

methods

INFO

UNIVERSE

• Criteria #1

• Criteria #2

• Criteria #3...

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Checklists – Why?

To fulfill scope and objective

To define a representative sample

To guide the auditor

To ensure connections are audited

To show evidence of planning

To reduce auditor bias

To organize notes

To provide an audit record

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Checklists: Sources of Information

Standard

Manual/procedures

Contracts

Stated objectives

Details of current corrective actions

Previous audit results

Interviews with employees

Observations of activities and work environment

Records

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Checklists – Planning

Procedure for Energy Planning to address:

• Method and criteria for energy review

• Energy use and consumption past and present

• Identify the facilities, equipment, systems, processes and

personnel

• Identification of relevant variables

• Determine the current energy performance of facilities,

equipment, systems, and processes related to identified

significant energy uses

• Estimate of future energy use and consumption

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Implementation – SEUs • Methods and criteria for energy review

• List of SEUs

• Energy data for future energy consumption

• Energy data for current energy consumption

• Training for SEUs

• Measuring identified for SEUs and Variables

• Calibration schedule for measuring

• Operational controls and maintenance for SEUs

• Updates through management review

• Communication

• Assigned responsibilities

Checklist - Implementation

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Effectiveness – SEUs

• Improved energy performance

• Improved data analysis

• Improved energy information

• Improved process, equipment information

Checklist - Effectiveness

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Checklist – Links for SEUs

Document Control

(Internal and External

documents)

Records Control

Operational Control

Calibration

Energy Review

Communication (internal

and external)

Responsibility and Authority

Design

Measuring and Monitoring

Procurement

Management review

Connections to Other Parts of the Standard:

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Exercise (60 mins)

Split into the teams for tomorrow

Develop an audit plan for the internal audit for tomorrow:

Address the following items in the plan:

– Objectives

– General procedure

– Timeline

– Team

– Logistics

66

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Three Stages of Audit Activity

Planning for audits

Schedules

Notifying auditors and auditees

Preparing checklist

Preparing an agenda

Conducting the audit Coordination with auditee

Interviews, observations and records

Auditor notes

Follow-up activities Reporting the findings (positive and negative)

Corrective actions

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Opening meeting

Communication during the audit

Roles and responsibilities of guides

Information-gathering and verifying

Nonconformities and positive findings

Preparing audit conclusions

Closing meeting

Audit Activities

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Interview Protocol

Introductions

Explain purpose

Ask for relevant documents and records

Satisfy sample defined in checklist

Consider any additional trails

(Cont’d)

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Interview Protocol (Cont’d)

If no problems – continue audit

If problems – establish the facts

Get agreement on facts

Inform auditee of findings

Thank auditee

BE POLITE

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Interviewing Techniques

Open-ended questions

Closed-ended questions

Silence

What-if questions

Press for answers

Basic questions (Cont’d)

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Interviewing Techniques (Cont’d)

Avoid questions that lead to useless

information or no information

Be a good listener

Reflect information back to auditee to

check understanding

Coordinate and cross-check with other

auditors

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Evidence is collected typically through three methods:

interviews;

observations;

review of documents and/or records

Evidence should be related to the intent, implementation

or effectiveness of the system.

Only information that is verifiable should be accepted as

audit evidence.

Evidence relevant to the audit topics should be recorded.

Evidence

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Taking Notes

Auditors must take clear, complete, and

accurate notes

Notes should not be secret from the auditee

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Following Audit Trails

Consider significance of leads

• Assess effects on audit plan

• Inform lead auditor of changes

• Let organization know

Actions on new audit trails

• May follow immediately

• May pass to another auditor

• May audit next time/later

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Auditee Reactions to Findings

Asks for solutions

Persists in arguing the facts

Volunteers other facts

Complains about others

Questions significance of findings

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Purpose of the audit

is to provide

information to

management. It is

also to help

employees get

changes made and

remove barriers.

It’s not the

people; it’s the

system!

Auditors have

a great

reputation;

but terror never provides

good information!

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Evaluating Audit Results

Provide ongoing feedback to

facility personnel

Review checklists

for completion

Record findings and

observations

Ensure that all findings are

substantiated by evidence

Develop the team’s findings

and observations

Integrate and summarize

findings and observations

Prepare exit

meeting report

Each auditor Audit Team

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Three Stages of Audit Activity

Planning for audits

Schedules

Notifying auditors and auditees

Preparing checklist

Preparing an agenda

Conducting the audit Coordination with auditee

Interviews, observations and records

Auditor notes

Follow-up activities Reporting the findings (positive and negative)

Corrective actions

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Audit Report Content

Audit objectives

Audit scope

Identification of auditee

Identification of audit team

Dates and places of audit

Audit criteria

Audit findings, positive and

negative

Audit conclusions

Any areas not

covered

Sampling

Recommendations

Statement of

Confidentiality

Distribution list

Source: ISO 19011

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81

Successful verification

Effective implementation

Closure with Management

Report audit results at

management review

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Documents

• Audit schedule

• Audit plan

• Auditor training requirements

Records

• Audit records

• Auditor training records

Documents & Records

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See you in 15 minutes!

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Nonconformance, Correction, Corrective and Preventive Actions

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What is a Positive Finding?

Practice matches

requirements (criteria)

Records demonstrate

conformance

Targets are achieved

and demonstrated

Beyond

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Positive Finding Write-up

Can be written in criteria/evidence/reference

format or any other format

Should be specific

87

(Cont’d)

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What is a Negative Finding?

Practice does not match

requirements (criteria)

Records do not support

requirements

Inconsistent answers

System is not effective

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Definition: Nonconformity

“non-fulfillment of a

requirement”

Source: Definition 3.21

ISO 50001:2011

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What are specific facts?

What department, line,

activity...

What was observed?

What was said? By whom?

What does it not meet?

Which paragraph of ISO?

Identifying Nonconformities

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Nonconformity Write-up

Well Written Nonconformity

Criteria (Requirement): SOP 123 revision B, dated

1/1/10, requires all documents be approved by the

President.

Evidence: SOP 245 revision A, dated 3/1/10, in the waste

water treatment plant was not approved by the

President.

Reference (ISO 50001): 4.5.4.2

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92

Reporting Procedures Everything remains proprietary

No surprises after closing meeting

Organize logically

Meet the promised date

Give all team members responsibilities

Clarify items from the closing meeting

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Nonconformity is a non-fulfillment of a requirement

For actual and potential nonconformities:

Make corrections

Identify the root cause

Determine appropriate actions

Implement actions

Record

Review for effectiveness

What Does the Standard Require?

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Nonconformity is a non-fulfillment of a requirement

Requirements can come from many places.

ISO 50001

Procedures

Forms

Records

Verbal statements

Legal and other requirements

Nonconformity

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Nonconformity Occurs When

Organization does not meet the requirements of

the ISO 50001 standard

Organization does not meet the criteria it has

established

Management system is not effective

Energy performance is not improving

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Nonconformity Write-up

Format

• Criteria

• Objective evidence

• Reference (ISO 50001 and/or EnMS)

Best Practices

• Criteria and evidence should include specifics

Who? What? When? Where?

• Evidence and criteria sentence structure should

read similarly to clarify the discrepancy.

(Cont’d)

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Nonconformity Write-up (Cont’d)

Poorly Written Nonconformity

– Criteria (Requirement): The SOP requires all

documents be approved by the President.

– Evidence: A standard operating procedure in the waste

water treatment plant was not approved by the

President.

– Reference (ISO 50001): 4.5.4.2

(Cont’d)

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Criteria: EnMS Procedure #7 states the boiler stack excess

oxygen must be in the range of 2.5 to 3.5 % during full

load.

Evidence: The April 2010 records for the full load boiler

stack excess oxygen indicated that on:

4/08/10 O2 was 6.2 4/22/10 O2 was 6.3

4/15/10 O2 was 6.5 4/29/10 O2 was 6.7

Example Nonconformance

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Identify the problem and take immediate actions

Investigate and determine the root cause

Evaluate the need for action and develop a

solution

Implement the solution

Record results

Review for effectiveness

Corrective and Preventive Action Processes

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5 Whys

─ A technique that involves asking why until the question

cannot be answered any further

Fishbone diagram

─ A pictorial technique clearly showing cause and effect

relationships

IS/IS NOT

─ A technique that involves the comparison of two situations,

one that exhibits the problem and one that does not, in

order to determine the differences in the two situations

Root Cause Analysis

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Correction, Corrective and Preventive Actions

Resolve the immediate or potential problem.

Consider whether the same or similar

problems exist elsewhere in the organization.

Prevent the problem from recurring.

Define the responsibilities and schedules for

actions.

Be evaluated regularly for effectiveness.

Be tracked until they are closed.

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Non-conformity Tracking Log

Energy Management System Tools

Non-conformities

ID Description Date

Identified

Source

Which requirement is not

being met?

Corrective Action Resp Target

Completion

Actual Complet

ion

Potential consequenc

es

NC1 Waste water treatment operators not trained in blower operation

Internal Audit

Complete training

JB 01/03/2011

Inefficient operations

NC2

NC3

NC4

NC5

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CAPA #: ISSUE DATE: COMPLETION DATE:

Requested By:

Issued To:

Name Department Phone

Problem Statement: Including ISO 50001 Reference

Most Likely Causes:

Implemented Actions and Solutions: Completed by recipient, including dates

Results: Confirming effectiveness

Closed By: Closing Date:

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If you have an effective corrective and preventive action

system in use for another management system and it is

effective, use it or replicate it!

Ensure root cause process is thorough and appropriate.

Corrective and preventive action detailed tracking is

important to ensure issues across a facility are evaluated

for similarities.

Corrective and preventive action tracking is key to ensure

timely resolution of issues.

Success Factors

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Exercise 02

Review your notes from the planning exercise earlier.

Identify two potential non conformities that you may

expect to find tomorrow

Write two corrective actions requests.

In your groups, brainstorm solutions to the

nonconformities listed above. If necessary, use the 5

Whys to get to the root cause.

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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REVIEWING & SUSTAINING

THE SYSTEM

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When do you make changes to the EnMS?

Remember, it’s all about energy performance!

SEUs

Energy data systems

Energy action plans

EnPIs

Objectives and targets

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Review Significant Energy Uses

Add to the identified significant energy uses over

time, improving the efficiency and control of more

equipment, systems, and processes.

Major plant modifications, process changes or

technology improvements to SEU no longer make

it a priority

Drivers have changed dramatically – production

levels for a certain product have been reduced

and the SEU’s energy consumption is not

significant.

109

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Review Energy Data systems

Changes/additions to SEUs –

require calibrated metering for

monitoring

Expanding scope - facility

upgrades and additional utility

meters

New energy sources – CHP,

renewables, fuel switching

Current meters are no longer

capable of measuring range

110

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Review EnPIs

Changes / additions to SEUs

EnPIs no longer reflect

energy use and consumption

111

Changes to the energy baseline

Major scope changes for facility-wide EnPIs

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Review Energy Action Plans

Not meeting targets

Plans not completed in a timely

manner:

• No resources

• No capital

• Unrealistic expectations

• Discouraged energy team

• Remove barriers

Project completion

Annually – capital budget cycle?

New objectives and targets

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Review Objectives and Targets

• When old objectives and targets are met

• Change in top management sponsor

• New strategic plans

• Policy changes and long term goals change

• Resources for action plans are insufficient to

meet objectives and targets

• Output from management review

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Review & sustain the EnMS

The EnMS is a system which requires

continual improvement to remain effective,

improve performance and sustain energy

savings.

“Continual improvement is an unending journey”

Lloyd Dobyns

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TopicDuration

(mins)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 1

Registration 15 8:30 8:45

Welcome and opening remarks 10 8:45 8:55

Review targets, action plans, improvements using EnPIs 5 45 8:55 9:45

Review Operations 5 45 9:45 10:35

Break 15 10:35 10:50

Overview of checking 15 10:50 11:05

Performance Checking: EnPIs and Action plan savings total 20 30 11:05 11:55

Checking of Operational control 10 30 11:55 12:35

Lunch 45 12:35 13:20

Internal Auditing: Purpose, Driver and Types 45 60 13:20 15:05

Break 15 15:05 15:20

Non Conformances 30 15:20 15:50

Reviewing and sustaining the system 20 15:50 16:10

Certification to ISO 50001 20 16:10 16:30

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Certification Process

ISO 50001

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Typically 3 step Process

117

Stage 1

• Review of full system

• Identification of potential gaps in the management system

Doc Review

• Review of management system documentation (off site)

• Identification of potential gaps in the management system

Stage 2

• Review of full system

• Identification of issues and recommendation for certification

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Certification Findings

Major Finding

– Systematic failure no recommendation for certification until the

issue has been adequately addressed

Minor Finding

– Failure of an element of the management system which if left

unaddressed could lead to a major systematic failure

Opportunities for improvement

– Audit observations which will improve the management system

118

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Certification Bodies & Notes

Accreditation

ISO 19011

ISO 50003

119

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Logistics discussions for

tomorrow

Day 1 End

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UNIDO EnMS Module 3 – Day 2

Checking

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The next slide is a suggested agenda for the internal audit.

Change it if appropriate for specific

conditions

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TopicDuration

(hours)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 2

Opening Remarks Company Representative 15 9:00 9:15

Internal Audit Schedule review 5 9:15 9:20

Commitment 30 9:20 9:50

Break 15 9:50 10:05

Planning 45 10:05 10:50

Implementation and Operation 45 10:50 11:35

Lunch 45 11:35 12:20

Site Tour to review operational control 90 12:20 13:50

Checking and Management Review 30 13:50 14:20

Break 15 14:20 14:35

Review the Audit in group 30 14:35 15:05

Prepare Audit report 60 15:05 16:05

Daily Wrap up 5 16:05 16:10

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UNIDO EnMS Module 3 – Day 3

Checking

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Topic Duration

(hours)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 3

Team 1 Audit Review presentation 15 5 09:00 09:20

Team 2 Audit Review presentation 15 5 09:20 09:40

Q&A on internal audit process 40 09:40 10:20

Break 20 10:20 10:40

Review of a whole EnMS 35 10:40 11:15

test on module 3 75 11:15 12:30

Lunch 45 12:30 13:15

Optional review of any topic required by national

experts 90 13:15 14:45

Closing remarks 15 14:45 15:00

Refreshment and celebration 90 15:00 16:30

Total 2,83 2,08 2,58

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Group 1 Audit Review Presentation

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Group 2 Audit Review Presentation

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Auditing Review Q&A

Similarities in audit findings

Alternative approaches

Lessons learned

Time constraints

Objective evidence

Delivery of findings

Team audit or led by one individual?

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See you in 15 minutes!

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Topic Duration

(hours)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 3

Team 1 Audit Review presentation 15 5 09:00 09:20

Team 2 Audit Review presentation 15 5 09:20 09:40

Q&A on internal audit process 40 09:40 10:20

Break 20 10:20 10:40

Review of a whole EnMS 35 10:40 11:15

test on module 3 75 11:15 12:30

Lunch 45 12:30 13:15

Optional review of any topic required by national

experts 90 13:15 14:45

Closing remarks 15 14:45 15:00

Refreshment and celebration 90 15:00 16:30

Total 2,83 2,08 2,58

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All elements of the EnMS addressed

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Logistics

75 minute test

PC required with Excel and data function

Open Book

No internet

No Phones

Multiple Choice

Attempt all Questions

Best of Luck

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See you in 45 minutes!

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Topic Duration

(hours)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 3

Team 1 Audit Review presentation 15 5 09:00 09:20

Team 2 Audit Review presentation 15 5 09:20 09:40

Q&A on internal audit process 40 09:40 10:20

Break 20 10:20 10:40

Review of a whole EnMS 35 10:40 11:15

test on module 3 75 11:15 12:30

Lunch 45 12:30 13:15

Optional review of any topic required by

national experts 90 13:15 14:45

Closing remarks 15 14:45 15:00

Refreshment and celebration 90 15:00 16:30

Total 2,83 2,08 2,58

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Management System Q&A

Page 136: Energy Management System (EnMS) Phase 3 Expert Trainingieeegypt.org/wp-content/uploads/2016/08/EnMS... · NOTE 1 In the context of energy management systems, results can be measured

Topic Duration

(hours)

Exercise

(mins)

Break

duration

Start

Time

End

Time

DAY 3

Team 1 Audit Review presentation 15 5 09:00 09:20

Team 2 Audit Review presentation 15 5 09:20 09:40

Q&A on internal audit process 40 09:40 10:20

Break 20 10:20 10:40

Review of a whole EnMS 35 10:40 11:15

test on module 3 75 11:15 12:30

Lunch 45 12:30 13:15

Optional review of any topic required by national

experts 90 13:15 14:45

Closing remarks 15 14:45 15:00

Refreshment and celebration 90 15:00 16:30

Total 2,83 2,08 2,58