Chapter 6: The Certification Audit Process

Chapter 6: The Certification Audit Process

ISO 50001 certification is conducted by third-party certification bodies accredited by the Standards Council of Canada (SCC). The SCC maintains a list of accredited certification bodies, and Canadian manufacturers should verify that any certification body they select holds current SCC accreditation. If you need guidance on selecting the right certification body, contact our team for recommendations.

The certification audit process consists of two distinct stages, each with defined scope and objectives.

Stage 1: Documentation and Gap Assessment

Stage 1 typically occurs 2-4 weeks before Stage 2 and involves the certification body's auditors reviewing documented energy management system evidence to verify that the system addresses all ISO 50001 requirements.

During Stage 1, auditors examine:

• Energy policy and commitment statements from top management
• Energy baseline documentation
• Energy performance indicators and measurement methodology
• Documentation of significant energy uses
• Energy objectives and targets
• Energy management action plans
• Operational procedures and controls
• Monitoring and measurement equipment and methods
• Internal audit schedules and records
• Management review meeting minutes

Auditors also conduct interviews with key personnel to understand how the system actually functions and whether procedures are being followed.

Stage 1 typically results in findings and observations. Findings indicate potential non-conformities with ISO 50001 requirements that must be addressed before Stage 2 audit. Observations suggest areas for improvement or clarification but don't constitute non-conformities.

This staged approach is valuable because organizations can address gaps and complete missing documentation before the final certification audit, improving the likelihood of successful Stage 2 audit.

Stage 2: Implementation Audit

Stage 2 is the comprehensive audit where auditors verify that the documented energy management system is being implemented and maintained. This audit typically occurs 2-4 weeks after Stage 1 and typically spans 2-3 days for a mid-sized manufacturing facility.

During Stage 2, auditors:

• Tour the facility, observing whether documented procedures are being followed
• Verify that monitoring equipment is functioning and providing accurate data
• Review energy consumption records and trend data
• Verify that corrective actions from earlier audits have been implemented
• Interview personnel to assess competency and awareness
• Observe the operation of significant energy uses to verify compliance with documented controls
• Test the internal audit function
• Review management review documentation
• Assess whether energy objectives are being achieved

Stage 2 auditors will examine a compressed air system to verify that documented controls are actually being implemented—for example, verifying that equipment operates at the documented optimal pressure, that leaks are being identified and repaired, and that demand-side management measures are functioning.

Certification Decision and Certificate Scope

Upon successful completion of Stage 2 audit (or after non-conformities have been addressed through follow-up audit), the certification body issues an ISO 50001 certification certificate. The certificate specifies:

• The organization's legal name and address
• The scope of certification (which facilities, processes, or activities are covered)
• The certification body's name
• The certificate issuance date
• The certificate expiration date (typically three years from issuance)

The certificate scope must accurately reflect what's included in the energy management system. A facility might choose to include all operations, or might exclude certain facilities or processes from certification scope. However, once scope is defined, the certification body will audit all included facilities and processes.

Surveillance Audits and Recertification

ISO 50001 certificates remain valid for three years, but the organization is required to undergo surveillance audits annually to verify ongoing compliance. These surveillance audits are typically shorter (1-2 days) than the initial Stage 2 audit but use the same audit criteria.

At the end of the three-year cycle, the organization undergoes a recertification audit (similar in scope to the initial Stage 2 audit) to renew the certificate for another three years.

Audit Costs and Timelines

The following table summarises typical costs and timelines for Canadian manufacturers:

For Canadian manufacturers, typical certification audit costs range from $3,500 to $8,000 depending on facility size and complexity. Annual surveillance audits typically cost $1,500-$3,000. These costs should be viewed in context of energy savings—organizations typically recover the full cost of certification within 6-12 months through reduced energy expenses.