This document provides an overview of best practices in auditing. It discusses audit fundamentals and concepts, managing an audit program, preparing for an audit, conducting an audit, and closing an audit. The document was edited and presented by Eng. Kefah El-Ghobbas, who has over 17 years of experience in fields including industrial engineering, QHSE, business processes, and training provision. It aims to guide readers on proper auditing techniques and maintaining standards.

1. BEST PRACTICES IN
AUDITING
Brief Course
Edited and Presented By:
Eng. Kefah El-Ghobbas
PECB Trainer, LA ISO 9001, ISO 14001, OSHAS 18001

2. Eng Kefah El-Ghobbas
Al Jadarat Training Centre Executive Director
Holding BS.c in Road Vehicles Engineering with more than 17 years of experience in Industrial
Engineering, QHSE&Engg, Business Processes Management, and in Provision Training and
Management Consultation.
+971 50 1529279
k.elghobbas@aljadarat-trainingcentre.ae
www. aljadarat-trainingcentre.ae
linkedin.com/kefah.el-ghobbas
twitter.com/name.surname
fb.com/kefah.el-ghobbas

3. DOMAIN 1:
AUDIT FUNDAMENTALS
AND CONCEPTS
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What is the auditing?
ISO 19011 defines an audit as :
A systematic, independent , and documented
process for obtaining audit evidence and
evaluating it objectively to determine the
extent to which audit criteria are fulfilled.
The auditor shall check whether Energy
Management System is operating effectively in
accordance with the system criteria

5. Audits Terms and Conditions
• Systematic :
The audit is a process has actives convert the inputs into out put
• Independent:
The process shall be carried out by qualified person(s) out of the
domain of the audit area.
• Documented:
The process shall be carried out as per approved
policy/procedure.
• Effective System:
All planned measures and controls are adequate to accomplish
the intended targets.
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Audit Guideline
ISO 19011:2002
Guideline on quality and/or environmental management
systems auditing, may provide helpful guidance for
carrying out the EnMS audits.
Contains :
1. The principles of auditing
2. Management of audit program
3. Audit activities
4. The competence of quality management systems

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Auditors Principles
Ethical conduct
The role of the auditor is one of trust, integrity, confidentiality,
discretion. Certified Auditors are bound by strict codes.
Fair presentation
Audit findings, audit conclusions and audit reports reflect
truthfully, accurately and completely audit activities. Any
unresolved or diverging opinions between audit team and auditee
and any obstacles encountered are reported.
Due professional care
Auditors must exercise a degree of care appropriate to the
importance of the task and to the confidence placed in them by
audit clients and other interested parties.

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Audit Process Principles
Independent
Auditors must be independent of the organization or activities being
audited. The must remain free form bias and conflicts of interest.
Evidence
Audit evidence is verifiable. It’s based on samples of the information
available, since the audit is conducted during a finite period of time
and with finite recourses.

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Types of Audits
First Party( Internal auditing)
An audit by the organization of its own systems and procedure in order
to assure the maintenance, development, and improvement of EngMS.
Second Party( External auditing)
An audit by the organization on its suppliers and sub-contractors to
determine suitability of the suppliers, appraise them, and determine
their capability on meeting purchasing requirements.
Third Party( External auditing)
An audit by certification body on an organization's Energy
management system against ISO 50001

10. ISO 50001 Model of Implementation
P D C A
1. Monitoring & Measurement
2. Preventive & Corrective Action
3. Records
4. EngMS Audit
1. Resources, Roles, responsibility and authority
2. Competence, Training & Awareness
3. Communication
4. Documentation
5. Document Control
6. Operational Control
7. Emergency Preparedness
Define Policy
Identify Aspects Energy
Legal Requirements Identify Objectives
Targets and Programs
Implementation
and Operation
Checking
Management Review
1. Continual Improvement
2. Energy Conversation
Products,
Services, and
Activities

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EnMS Auditing for Continual Improvement
1. Management System
Good understanding of application of the system in each organization.
2. Law, regulations, and other requirements
Good knowledge with applicable law and other requirements that the
organization subscribe for.
3. Organizational Processes
Good knowledge and understanding of the processes and routine and
non routine activities throughout the organization.
4. Risk Management
At this stage, the auditor has to know the followed way in identifying
the hazards and risks assessments, and address the environmental
impact and its’ analysis.

12. DOMAIN 2:
MANAGING AUDIT PROGRAM
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Audit Program
Audit Program
Define Program:
1. Objectives / extent
2. Procedures
3. Resources
4. responsibilities
Implement Program:
•Evaluating auditors
•Selecting audit teams
•Directing audit activities
•recording
Monitoring and review
Improvement Action

14. General Management of Audit Program
1. Communicating the pertinent parts of the audit program to
relevant parts and informing them periodically of its’
progress.
2. Defining objectives, scope, and criteria for each individual.
3. Coordinating and scheduling the audits activities relevant to
the audit program.
4. Ensuring the selection of audit team with necessary
competency.
5. Assure the required resources, and ensuring conduct the
activities as its’ planned.
6. Manage all records occur during and after the audit
accomplishment.
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Factors influences Audit Program
1. Scope, objective, and duration of each audit;
2. Frequency of audits to be conducted;
3. Number, status, importance, complexity, similarity, and
locations of the activities o be audited;
4. Standards, statutory, regulatory and contractual
requirements, policies, procedures and other audit criteria;
5. Need for accreditation and certification;
6. Results of previous audits or previous audit program review;
7. Language, culture and social issues;
8. Significant changes to any functional area.
9. Risks assessments and previous incidents.

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Define Program : Auditing Program Objectives
1. To see consumption and usage of energy are in acceptable
level as per law and other requirements.
2. To see the set and monitored the measurements of usage
and consumption of energy can indicate non compliance of
the processes.
3. To see the reporting and documenting system is effective for
the system.
4. To verify the practices are in place are contribute to energy
performance and effective in save the energy.

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Define Program : Responsibility of Managing
Program
1. Assign the audit responsibility to persons who has a
specific understanding of audit principles, auditor
competence and the application technique.
2. The auditor must have appropriate management
skills as well as technical and business
understanding relevant of the activities to be
audited.

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Define Program : Resources Required by Program
1. Financial resources to develop, implement, manage and
improve audit activities;
2. Audit technique;
3. Processes to achieve and maintain auditor competence and
to improve auditor performance;
4. Availability of auditors and technical experts;
5. The extent of the audit program;
6. Traveling time, accommodation and other auditing needs.

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Define Program : Audit Program Procedure
Procedures need to be developed and implemented :-
1. to address responsibilities and requirements for
planning and conducting audits,
2. the selection of auditors,
3. the methods of reporting and maintaining records;

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Define Program : Audit Program records
Records should be maintained to demonstrate the effectiveness of operation
of the audit program.
These program review:
1. Results of the audit program review;
2. Audit plan;
3. Audit reports;
4. Nonconformity reports;
5. Report of corrective actions
6. Auditor personnel records, covering area, such as performance
evaluation, audit team selection, qualifications and training.

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Implement Program : Auditors Roles & Responsibilities
• Team Leader responsibilities:
• Make final decisions for all phases of the audit;
• Prepare Audit Plan;
• Brief the team;
• Review working documents to ensure adequacy;
• Represent the audit team at opening and closing meetings;
• Report critical nonconformities to the auditee immediately;
• Report any major obstacles encountered during the audit;
• Submit the audit report.
• Team member responsibilities:
• Prepare any work documents (including check-list) necessary to
carry out those tasks;
• Review all relevant information related to their assigned tasks;
• Report deficiencies and audit findings to team leader;

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Implement Program : Team Member
Responsibilities during audit
Stay within the scope ;
 Communicate the audit requirements to the
auditee;
 Collect objective evidence from the audit both
for and against conformance;
 Document CAR’s;
 Report the audit findings to auditee;
 Verify corrective actions taken in response to
CAR’s;

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Good Practices at Auditing
At auditing , the auditors should remain polite, calm, and
professional at all times.
They should be :
1. Introducer to themselves ;
2. Ensure that agenda is known and understood;
3. Keep to agenda;
4. Keep to time;
5. Avoid arguments;
6. Listen to other;
7. Maintain appropriate records;

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Monitoring and reviewing the audit program
The audit program needs to be monitored periodically in order to
assess:
• Whether the audit objectives are being met;
• The effectiveness of the audit program;
• Any opportunity for improvement.

25. DOMAIN 3:
PREPARATION OF AUDIT
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Prepare for On-site audit
Desk Study
The first stage for on-site preparation is document review to audit
criteria, objectives and scope of the audit in order to gain information
about organization processes and activities.
Check List
What you should
refer to:
• Policy
• Risk Registry
• Programs and
Objectives
Process Map &
Interaction of the
activities
• Operational
Control Manual
• Emergency Plan
• Control
Measures
Previous Audit
results & reported
CAR’s

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Wok Documents
1. Audit procedure, checklists and sample planning;
2. The audit plan;
3. Forms for recording information, supporting evidence,
records of meetings and audit findings;

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Check List
Purposes :
It’s acting as a guide for auditor to ensure that the objectives and scope of
the audit are met, and that every part of the audit is completed.
advantages :
An aid to preparation to the audit, the number of questions & sample plan
can be used to estimate the time required to conduct an audit or parts of
audit, aid to control the depth of audit, also consider good tool to ensure
that all planned arrangements for audit are covered.
disadvantages :
1. The use of standardized checklists may stifle initiative and analysis of
the process or procedure.
2. May prevent the auditor from investigating significant incidents simply
because they were not on the checklist.

29. DOMAIN 6:
CONDUCT OF AUDIT
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Conducting the audit
Collecting and verifying information during the audit should be
verified by the auditors and can then be considered to be “
audit evidence”
audit evidence
Records, statements of fact or other information which are relevant to
the audit criteria and verifiable.
So
Audit evidence should be identified,
documented and recorded.

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Conducting Audit (Cont..)
The auditor should adopt a positive, professional and
constructive approach. In common with this, the auditor should
try to obtain a co-operative, open honest approach from auditee.
What shall I do?
1. Meet the area representatives first (it shall be escort procedure available);
2. Always talk to those performing the task;
3. Explain the purposes of the visit;
4. Be calm, polite and reassuring;
5. Never talk down, never act superior;
6. Speak clearly and carefully.
• The auditors should use all of his or her senses when carrying out audit with a must
keeping their eyes and ears open!
• He/she must examine the objective evidence and ask open ended questions with
assistance and refer of his/her checklists.

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Conducting Audit (Cont..)
DO NOT DO
1. Be side tracked
2. Be led or misled
3. Get ”bogged down”
4. Let the auditee dictate
place of audit
5. Make assumption or
presumption
6. Move with escorts
1. Be prepared;
2. Be punctual;
3. Insist on the person being
questioned answer for
themselves;
4. As little talking as possible;
5. Avoid misunderstanding;
6. Keep questions clear and
concise;
7. Be polite and clam;
8. Give compliment;

33. DOMAIN 4:
CLOSING AN AUDIT
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Audit Review
• The audit review ill include:
•A study of notes and / or comparison of notes with team members;
•A review of checklist;
•The listing of findings, together with any audit evidence;
•Decisions on nonconformities and observations;
•The writing and classifying of Corrective Action Requests CAR.
NON-CONFOMITY defined as
The non fulfillment of a requirement

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What is mean non conformity
1. There is a failure in complying with standards
applicable to the organization.
2. Failure in implementing quality policy, processes or
documented requirements specified by the
organization.
3. Failure in implementing a legislative or contractual
requirements.

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FINDING STATEMENT
• The finding statement should contain :
1. Overview of finding;
2. Description of the deficiency;
3. Example of audit evidence;
4. Summery of the requirement.

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Where shall I write the findings?
On CAR
This form where you the auditor can write the following:
1. Report nonconformities;
2. Show the level of nonconformities;
3. Record the acceptance of auditee on nonconformity;
4. Record the actions level taken to correct the situation;
5. Record the acceptance by the auditor of the corrective
actions taken to resolve the nonconformity.

38. ?
QUESTIONS
+971 50 1529279
k.elghobbas@aljadarat-trainingcentre.ae
www. aljadarat-trainingcentre.ae
linkedin.com/kefah.el-ghobbas
twitter.com/name.surname
fb.com/kefah.el-ghobbas
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