ISO 50001:2018
Energy Management Systems
Complete Audit Checklist
AUDIT INFORMATION
Organization Name
Site / Facility
Audit Date(s)
Lead Auditor
Audit Team Members
Audit Type
Internal Audit / External Audit / Surveillance / Recertification
Standard
ISO 50001:2018 – Energy Management Systems
Scope of Audit
Reference Documents
Energy Policy, EnPIs, EnBs, EnMS Manual, Procedures
RATING LEGEND
Use the following status codes in the 'Status' column of each checklist table:
Code
Status
Meaning
Notes for Auditor
C
Conforming
Requirement fully met with objective evidence
NC
Non-Conforming
Requirement not met; corrective action required
OFI
Opportunity for Improvement
Requirement met but improvement recommended
N/A
Not Applicable
Clause does not apply to the defined scope
IP
In Progress
Partially implemented; follow-up required
INSTRUCTIONS FOR USE
1. Complete the Audit Information table above before commencing the audit.
2. For each checklist item, assess the evidence and record a status code (C / NC / OFI / N/A / IP).
3. Record objective evidence, document references, or interviewee names in the 'Auditor Notes / Findings' column.
4. Where a Non-Conformance (NC) is identified, raise a formal NCR referencing the clause number.
5. Where an Opportunity for Improvement (OFI) is identified, record a recommendation in the notes.
6. Complete the Audit Summary table after all clauses have been assessed.
7. Ensure all findings are discussed with the auditee before the closing meeting.
8. The completed checklist forms part of the audit records and shall be retained per the document retention schedule.
AUDIT CHECKLISTS BY CLAUSE
4. Context of the Organization
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
4. Context of the Organization
4.1
Understanding the organization and its context: Determine external and internal issues relevant to the organization's purpose that affect the ability to achieve intended outcomes of the EnMS.
Review SWOT/PESTLE analysis, strategic plans, energy policy documents.
4.1
Identify factors related to energy use and consumption that affect EnMS performance and objectives.
Interview management; check documented issues register.
4.2
Identify all interested parties (stakeholders) relevant to the EnMS and their relevant requirements and expectations.
Verify stakeholder register exists and is up to date.
4.2
Determine which requirements of interested parties will be addressed through the EnMS.
Check compliance obligations list; confirm legal energy requirements captured.
4.3
Determine the scope of the EnMS: Define boundaries and applicability, considering external/internal issues and requirements of interested parties.
Inspect documented scope statement; confirm boundaries are clearly defined.
4.3
Ensure all energy sources within the defined scope are included in the EnMS.
Cross-check energy invoices vs. declared energy sources in scope.
4.4
Establish, implement, maintain, and continually improve the EnMS including required processes and their interactions.
Verify EnMS manual or equivalent documentation; check process map.
5. Leadership
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
5. Leadership
5.1
Top management demonstrates leadership and commitment by ensuring energy policy and objectives are compatible with the strategic direction of the organization.
Interview top management; review energy policy approval and sign-off.
5.1
Top management ensures EnMS requirements are integrated into the organization's business processes.
Verify integration into budgeting, procurement, and design processes.
5.1
Top management ensures resources needed for the EnMS are available.
Review resource allocation records, budget approvals, staffing plans.
5.1
Top management communicates the importance of energy management and energy performance improvement.
Check meeting minutes, internal communications, town halls.
5.1
Top management ensures that the EnMS achieves its intended results.
Review management review outputs, KPIs, and corrective actions.
5.1
Top management supports other relevant management roles to demonstrate leadership in their areas of responsibility.
Confirm roles and responsibilities are delegated and documented.
5.2
Energy policy is established, implemented, and maintained; it includes a commitment to continual improvement in energy performance and EnMS.
Review current energy policy document — is it signed, dated, and communicated?
5.2
Energy policy provides a framework for setting and reviewing energy objectives and energy targets.
Check that objectives/targets link back to the policy commitments.
5.2
Energy policy includes a commitment to ensure availability of information and resources needed to achieve energy objectives and targets.
Verify policy language; confirm resource commitments are actionable.
5.2
Energy policy is communicated within the organization and available to interested parties as appropriate.
Check notice boards, intranet, onboarding materials, supplier communications.
5.3
Organizational roles, responsibilities, and authorities for energy management are assigned, communicated, and understood.
Review org chart, job descriptions, energy team terms of reference.
5.3
Management representative (energy manager) appointed with defined responsibilities including reporting EnMS performance to top management.
Confirm appointment letter; verify reporting mechanism and frequency.
6. Planning
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
6. Planning
6.1
Address risks and opportunities to ensure the EnMS achieves intended results, prevents or reduces undesired effects, and achieves continual improvement.
Review risk register specific to energy management; check risk treatments.
6.1
Plan and implement actions to address risks/opportunities; integrate actions into EnMS processes and evaluate effectiveness.
Check action plans, owners, deadlines, and evidence of completion.
6.2
Energy review conducted: analysis of energy use and consumption based on measurement and other data.
Inspect energy review documentation, data sources, and methodology.
6.2
Identify current energy sources used by the organization.
Verify energy source list matches utility bills, fuel records, and meters.
6.2
Evaluate past and present energy use and consumption — identify Significant Energy Uses (SEUs).
Check SEU identification criteria, ranking methodology, and documented outputs.
6.2
Identify, prioritize, and record variables affecting energy consumption for each SEU.
Review SEU variable analysis (e.g., production volume, weather, occupancy).
6.2
Determine current energy performance of each SEU.
Inspect energy performance data, trends, and benchmarks for each SEU.
6.2
Identify persons whose work affects energy performance (SEU-related personnel) and ensure their competence.
Cross-reference personnel training records with SEU responsibilities.
6.2
Identify opportunities for improving energy performance and record them.
Review opportunity register or energy improvement opportunity (EIO) log.
6.3
Energy performance indicators (EnPIs) established and recorded; methodology for determining and updating EnPIs documented.
Inspect EnPI register; check formulas, units, and rationale.
6.3
EnPIs appropriate for monitoring and measuring energy performance.
Verify EnPIs align with SEUs and organizational objectives.
6.4
Energy baseline (EnB) established using data from the energy review period; EnB normalised if relevant variables affect energy consumption.
Review baseline data, normalisation methodology, and baseline period.
6.4
Adjustments to EnB made when significant changes occur (static factors, errors, or normalization changes).
Check baseline adjustment log and documented justifications.
6.5
Energy objectives and energy targets established at relevant functions, levels, and processes.
Review documented objectives/targets — SMART, linked to policy?
6.5
Plans to achieve energy objectives include: actions, resources, responsibilities, timeframes, measurement methods, and how results will be evaluated.
Inspect action plans; confirm owners, milestones, and KPIs assigned.
6.6
Planning for energy data collection: identify data to be collected to monitor key characteristics of energy performance.
Review energy data collection plan; check measurement plan documentation.
7. Support
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
7. Support
7.1
Organization determines and provides resources needed to establish, implement, maintain, and improve the EnMS.
Review budget allocations, personnel assignments, and equipment.
7.2
Persons doing work affecting energy performance are competent (education, training, or experience).
Check training matrix, qualifications, and competency assessments.
7.2
Organization ensures persons are aware of the energy policy, their contribution to the EnMS, and implications of not conforming.
Verify awareness training records; check onboarding processes.
7.3
Persons doing work under the organization's control are aware of: energy policy, EnMS contribution, SEUs relevant to their work, benefits of improved energy performance.
Interview staff; review awareness campaigns, toolbox talks, posters.
7.4
Internal and external communication processes for the EnMS are determined and implemented (what, when, with whom, how).
Review communications plan; check examples of internal/external communications.
7.4
Organization encourages persons under its control to contribute to improving energy performance.
Check suggestion schemes, energy committees, feedback mechanisms.
7.5
Documented information required by the standard and determined as necessary by the organization is created, controlled, and maintained.
Review document control procedure; check master list of controlled documents.
7.5
Documented information is adequately identified, stored, protected, retrievable, and retained/disposed of as appropriate.
Spot-check document versions; confirm retention schedule exists.
8. Operation
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
8. Operation
8.1
Plan, implement, control, maintain, and improve processes needed to meet EnMS requirements and achieve energy objectives/targets.
Review operational procedures and work instructions for energy management.
8.1
Establish and apply operational criteria where absence could lead to significant deviations from expected energy performance.
Inspect operating procedures for SEUs; check set-points, limits, and controls.
8.1
Communicate operational criteria to persons whose work relates to identified SEUs.
Verify communication channels; confirm operators are aware of criteria.
8.2
Design for energy performance: facilities, equipment, systems, and processes affecting energy performance are considered at design stage.
Review design specifications, design review checklists, and procurement criteria.
8.2
Investigate opportunities for energy performance improvement in the design of new, modified, or renovated facilities, equipment, systems, and processes.
Check design review records; confirm energy performance considered in capex.
8.2
Energy performance results are incorporated in activities related to the life of designed, installed, or modified projects.
Review project closeout documentation for energy performance verification.
8.3
Establish and implement criteria for evaluating energy performance, energy efficiency, or energy consumption over the expected operating lifetime when procuring energy-using products, equipment, and services.
Review procurement policy; check supplier evaluation criteria for energy.
8.3
Inform suppliers that procurement is partially evaluated based on energy performance.
Check supplier communications, tenders, and contracts for energy clauses.
9. Performance Evaluation
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
9. Performance Evaluation
9.1
Monitor, measure, analyze, and evaluate energy performance and the EnMS at planned intervals.
Review monitoring schedule; check data collection frequency vs. plan.
9.1
Key characteristics of energy performance include: SEUs and their outputs, relevant variables, EnPIs, effectiveness of action plans.
Inspect EnPI tracking dashboards or reports; check data completeness.
9.1
Measuring equipment is calibrated or verified; calibration records are maintained.
Check calibration register, certificates, and due dates for energy meters.
9.1
Analysis and evaluation of energy performance and EnMS results are conducted and documented.
Review energy performance reports, trend analyses, and management summaries.
9.1
Energy performance compared to EnBs and EnPIs; significant deviations are identified and investigated.
Inspect deviation reports and corrective actions raised as a result.
9.2
Internal audits of the EnMS are conducted at planned intervals to assess conformance, implementation, and effectiveness.
Review internal audit program — frequency, scope, methodology, auditor competence.
9.2
Internal audit results are reported to relevant management; non-conformities are addressed.
Check audit reports; confirm NCRs raised and corrective actions completed.
9.2
Auditors are objective and impartial; they do not audit their own work.
Verify auditor independence; check qualifications and audit assignments.
9.3
Management reviews of the EnMS are conducted at planned intervals; inputs include energy performance data, audit results, objectives, and stakeholder issues.
Review management review minutes, agenda, attendance, and frequency.
9.3
Management review outputs include decisions related to continual improvement opportunities and any changes needed in the EnMS.
Confirm action items from management reviews are tracked and closed.
9.3
Management review considers changes in context, EnMS performance trends, and adequacy of resources.
Check that all required inputs are addressed in management review records.
10. Improvement
Clause Ref.
Requirement / Audit Question
Audit Guidance / Evidence to Seek
Status
Auditor Notes / Findings
10. Improvement
10.1
Organization determines and selects opportunities for improvement and implements necessary actions to achieve intended outcomes of the EnMS.
Review improvement log; check that opportunities from energy review are actioned.
10.2
Non-conformities are reacted to and controlled; corrective actions are implemented and effectiveness evaluated.
Inspect corrective action register; check root cause analysis quality.
10.2
Documented information is maintained on non-conformities, corrective actions taken, and results.
Verify NCR records are complete, closed, and verified.
10.3
Organization continually improves the suitability, adequacy, and effectiveness of the EnMS.
Review trend data showing energy performance improvement over time.
10.3
Organization continually improves energy performance.
Check EnPI trends; confirm year-on-year improvement in energy intensity or consumption.
AUDIT SUMMARY
Complete this table after all checklist items have been assessed:
Clause
Title
Total Checks
Conforming (C)
Non-Conforming (NC)
OFI
Comments
4
Context of the Organization
7
5
Leadership
12
6
Planning
16
7
Support
8
8
Operation
8
9
Performance Evaluation
11
10
Improvement
5
TOTAL
All Clauses
67
OVERALL AUDIT CONCLUSION
Overall Audit Result
☐ Recommended for Certification/Recertification ☐ Not Recommended ☐ Conditional
Total Non-Conformances (NC)
Major NC: ___ Minor NC: ___ OFI: ___
Audit Summary / Key Findings
Follow-up / Surveillance Required
☐ Yes – Date: _______________ ☐ No
SIGNATURES
Role
Name
Signature
Date
Lead Auditor
Audit Team Member
Management Representative (Auditee)
Top Management (Auditee)
This checklist is based on ISO 50001:2018 – Energy Management Systems – Requirements with guidance for use.
Document Reference: ENM-AUD-001 | Version: 1.0 | Review Date: Annual