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ตามมาตรฐาน ISO 50003:2014

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5 AUDITING PROCESS
REQUIREMENTS
5.1 General
Are the requirements
defined in ISO 50003:
2014 applied to the
EnMS auditing process?
5.2 Confirming the scope
of certification
Does the certification
body require the
organization to define
the scope and
boundaries of the EnMS?
Does the certification
body confirm the
suitability of the scope
and boundaries at each
audit?
Does the scope of the
certification define the
boundaries of the EnMS
including activities,
facilities processes and
decisions related to the
EnMS?
Given that the scope
may be an entire
organization with multi-
site, a site within an
organization, or a subset
or subsets within a site
such as a building,
facility or process, does
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the certification body
ensure that energy
sources are not excluded
when an organization
defines the boundaries?
5.3 Determining audit
time
5.3. Audit time
1
When determining the
audit time, does the
certification body include
the following factors:
a) energy sources;
b) significant energy uses;
c) energy consumption;
d) the number of EnMS
effective personnel.
Are the on-site time at
the organization’s
location, audit planning,
document reviewing and
audit reporting included
in the audit time?
Are the audit duration
table and calculation
method provided in
Annex A of ISO 50003:
2014 used to determine
audit duration?
Where the actual
processes and
organizational structure
are such that reduction
in audit duration can be
justified, does the
certification body
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provide and record the
rationale for the
decision?
If the audit duration is
reduced because the
organization has
integrated the EnMS with
another certified
management system, is
the adjustment in time
due to another certified
management system
limited to 20%
reduction?
Given that the audit man
days are based on eight
hours per day, does the
certification body make
adjustments based on
local, regional, or
national legal
requirements?
5.3. EnMS effective
2 personnel
Are the number of EnMS
effective personnel and
complexity criteria
defined in Annex A used
as the basis for the
calculation of the audit
duration?
Have the certification
body defined and
documented a process
for determining the
number of EnMS
effective personnel for
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the scope of the
certification and for each
audit in the audit
programme?
Does the process for
determining the number
of EnMS effective
personnel ensure that
the persons who actively
contribute to meeting
the requirements of the
EnMS are included?
When regulation requires
identification of
personnel for operations
and maintenance of the
EnMS activities, are they
included as part of the
EnMS effective
personnel?
5.4 Multi-site sampling
Are the requirements in
Annex B followed for
certification of multi-sites
based on sampling?
5.5 Conducting audits
When conducting audit,
does the auditor collect
and verify, at a
minimum, the following
audit evidence related to
energy performance?
- energy planning (all
sections);
- operational control;
- monitoring
measurement and
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analysis
Is the definition of major
nonconformity for EnMS
(see 3.6 of ISO 50003:
2014) used by the
auditor when classifying
nonconformities for ISO
50001?
5.6 Audit report
Does audit report include
the following?
a) scope and boundaries of
the EnMS being audited
b) statement of
achievement of continual
improvement of the
EnMS and energy
performance
improvement with audit
evidence to support the
statements
5.7 Initial certification
audit
5.7. Stage 1 audit
1
Does stage 1 audit
include the following:
a) confirmation of scope
and boundaries of the
EnMS for certification;
b) review of a graphical or
narrative description of
the organizations
facilities, equipment,
systems and processes
for the identified scope
and boundaries;
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c) confirmation of the
number of EnMS
effective personnel,
energy sources,
significant energy uses
and annual energy
consumption, in order to
confirm the audit
duration;
d) review of the
documented results of
the energy planning
process;
e) review of a list of the
energy performance
improvement
opportunities identified
as well as the related
objectives, targets and
action plans.
5.7. Stage 2 audit
2
During the Stage 2 audit,
does the certification
body gather the
necessary audit evidence
to determine whether or
not energy performance
improvement has been
demonstrated prior to
making a certification
decision?
Is confirmation of energy
performance
improvement required
for granting the initial
certification?
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Examples on how an
organization may
demonstrate energy
performance
improvement are
provided in Annex C.
5.8 Surveillance audit
During the surveillance
audits, does the
certification body review
the necessary audit
evidence to determine
whether or not continual
energy performance
improvement has been
demonstrated?
5.9 Recertification audit
During the recertification
audit, does the
certification body review
the necessary audit
evidence to determine
whether or not continual
energy performance
improvement has been
demonstrated prior to
making a recertification
decision?
Are major changes in
facilities, equipment,
systems or processes
taken into account for
recertification audits?
Is confirmation of
continual energy
performance
improvement required
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for granting the
recertification?
Note: Energy
performance
improvement can be
affected by changes in
facilities, equipment,
systems or processes,
business changes, or
other conditions that
result in a change or
a need to change the
energy baseline.
6 Competence
requirements
6.1 General
The competence
requirements for the
auditor(s) and personnel
involved in the EnMS
certification process are
defined in 6.2 and 6.3.
6.2 General competence
Do all personnel involved
in the EnMS audit and
certification activities
have a level of
competence that
includes the generic
competencies described
in ISO/IEC 17021:2011
as well as the EnMS
general knowledge
described in Table 1 of
ISO 50003 2014?
Where “X” in Table 1 of
ISO 50003 2014
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indicates that the
certification body shall
define the criteria.
6.3 Technical competence
In addition to the general
competence
requirements specified in
Table 1 of ISO 50003
2014, does the
certification body define
the competence criteria
for the technical areas
described in Table 2 of
ISO 50003: 2014?
If the organization does
not fit in one of the eight
technical areas, defined
in Table 2 of ISO 50003
2014, does the
certification body define
the technical area and
competence criteria?
If the certification body
determines it is
necessary to subdivide
the technical area, are
additional energy use
criteria provided?
Do audit teams
appointed and composed
of auditors and technical
experts, as necessary, to
meet the technical
competence
requirements as well as
the general competence
requirements consistent
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with the scope of the
certification?
Table 3 of ISO 50003:
2014 describes technical
skills for an EnMS where
“X” indicates that the
certification body defines
the criteria.

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