PECB Certified ISO 50001 Lead Auditor
EXAM PREPARATION GUIDEPECB Certified ISO 50001 Lead Auditor
PECB-820-14- ISO50001LA- Exam Preparation GuideThe objective of the “PECB Certified ISO 50001 Lead Auditor” examination is to ensure that thecandidate has the knowledge and skills to plan and perform an Energy Management System(EnMS) audit compliant with the ISO 50001:2011 standard, master audit principles andtechniques, and manage (or be part of) audit teams and audit programs.The target population for this examination is: Auditors wanting to perform and lead an Energy Management System (EnMS) audit,responsible of an audit teamProject managers or consultants wanting to master the Energy Management System auditprocessPersons responsible for the Energy Management or conformity in an organizationMembers of an Energy teamExpert advisors in Energy ManagementExperts wanting to prepare for an Energy audit functionThe exam content covers the following domains: Domain 1: Fundamental principles and concepts in Energy ManagementDomain 2: Energy Management System (EnMS)Domain 3: Fundamental audit concepts and principlesDomain 4: Preparation of an ISO 50001 auditDomain 5: Conduct of an ISO 50001 auditDomain 6: Conclusion and follow-up of an ISO 50001 auditDomain 7: Managing an ISO 50001 audit programPage 2 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideThe content of the exam is divided as follows:Domain 1: Main objective: To ensure that the ISO 50001 Lead Auditor candidate can understand,interpret and illustrate the main Energy Management concepts related to an EnergyManagement System (EnMS)CompetenciesKnowledge statements1. Understand and explain the operations of theISO organization and the development ofEnergy Management standards2. Ability to identify, analyze and evaluate theEnergy Management compliance requirementsfor an organization3. Ability to explain and illustrate the mainconcepts in Energy Management System4. Ability to understand relationship betweendifferent standards1. Knowledge of the application of the seven ISOmanagement principles to Energy Management2. Knowledge of the main standards in EnergyManagement3. Knowledge of the different sources of EnergyManagement requirement for an organization:laws, regulations, international and industrystandards, contracts, market practices, internalpolicies4. Knowledge of the main Energy Managementconcepts and terminology as described in ISO50001Page 3 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 2: Energy Management System (EnMS)Main objective: To ensure that the ISO 50001 Lead Auditor candidate can understand,interpret and illustrate the main concepts and components of an Energy ManagementSystem based on ISO 50001CompetenciesKnowledge statements1. Understand and explain the components ofan Energy Management System based onISO 50001 and its principal processes2. Ability to interpret and analyze ISO 50001requirements3. Understand, explain and illustrate the mainsteps to establish, implement, operate,monitor, review, maintain and improve anorganization's EnMS1. Knowledge of the concepts, principles andterminology related to management systems2. Knowledge of the principal characteristics of anintegrated management system3. Knowledge of the main advantages of acertification for an organization4. Knowledge of the ISO 50001 requirements5. Knowledge of the main steps to establish theEnMS objectives, processes and proceduresrelevant to managing and improving EnergyManagement to deliver results in accordancewith an organization’s overall policies andobjectives (Awareness level)6. Knowledge of the concept of continualimprovement and its application to an EnMSPage 4 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 3: Fundamental Audit Concepts and PrinciplesMain objective: To ensure that the ISO 50001 Lead Auditor candidate can understand,interpret and apply the main concepts and principles related to an EnMS audit in thecontext of ISO 50001CompetenciesKnowledge statements1. Understand, explain and illustrate theapplication of the audit principles in the contextof an ISO 50001 audit2. Ability to identify and judge situations thatwould discredit the professionalism of theauditor and the PECB code of ethics3. Ability to identify and evaluate ethical problemstaking into account the obligations related tosponsors, auditee and law enforcement orregulatory authorities4. Ability to explain, illustrate and apply the auditevidence approach in the context of an ISO50001 audit5. Ability to explain and compare the types andcharacteristics of evidence6. Ability to determine and justify what type ofevidence and how much evidence will berequired in the context of a specific EnMSaudit mission7. Ability to determine and evaluate the level ofmateriality and apply the risk based approachduring the different phases of an ISO 50001audit8. Ability to judge the appropriate level ofreasonable assurance needed for a specificISO 50001 audit mission1. Knowledge of the main audit concepts andterminology as described in ISO 190112. Knowledge of the differences between firstparty, second party and third party audit3. Knowledge of the following audit principles:integrity, fair presentation, due professionalcare, professional judgment, professionalskepticism, confidentiality and independence4. Knowledge of professional responsibility of anauditor and the PECB code of ethics5. Knowledge of evidence based approach in anaudit6. Knowledge of the different types of evidences:physical, mathematical, confirmative, technical,analytical, documentary and verbal7. Knowledge of quality of audit evidences(competent, appropriate, reliable and sufficient)and the factors that will influence them.8. Knowledge of the risk based approach in anaudit and the different types of risk related toaudit activities9. Knowledge of the concept of materiality and itsapplication in an audit10. Knowledge of the concept of reasonableassurance and its applicable in an auditPage 5 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 4: Preparation of an ISO 50001 auditMain objective: To ensure that the ISO 50001 Lead Auditor candidate can prepareappropriately an EnMS audit in the context of ISO 50001CompetenciesKnowledge statements1. Understand and explain the steps andactivities to prepare an EnMS audit taking inconsideration the specific context andconditions of the mission2. Understand and explain the roles andresponsibilities of the audit team leader, auditteam members and technical experts3. Ability to determine, evaluate and confirm theaudit objectives, the audit criteria and the auditscope for a specific ISO 50001 audit mission4. Ability to do a feasibility study of an audit in thecontext of a specific ISO 50001 audit mission5. Ability to explain, illustrate and define thecharacteristics of the audit terms ofengagement and apply the best practices toestablish a first contact with an auditee in thecontext of a specific ISO 50001 audit mission6. Ability to develop audit working papers and toelaborate appropriate audit test plans in thecontext of a specific ISO 50001 audit mission1. Knowledge of the main responsibilities of theaudit team leader and audit team members2. Knowledge of the roles and responsibilities oftechnical experts used for an audit3. Knowledge of the definition of audit objectives,audit scope and audit criteria4. Knowledge of the difference between the EnMSscope and the audit scope5. Knowledge of the elements to review during thefeasibility study of an audit6. Knowledge of the cultural aspects to consider inan audit7. Knowledge of the characteristics of audit termsof engagement and the best practices toestablish a first contact with an auditee8. Knowledge of the preparation of an audit plan9. Knowledge of the preparation and developmentof audit working paper10. Knowledge of advantages and disadvantages ofusing audit checklists11. Knowledge of the best practices to creationaudit test plansPage 6 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 5: Conduct of an ISO 50001 auditMain objective: To ensure that the ISO 50001 Lead Auditor candidate can conductefficiently an EnMS audit in the context of ISO 50001CompetenciesKnowledge statements1. Ability to organize and conduct the openingmeeting in the context of a specific ISO 50001audit mission2. Ability to conduct a stage 1 audit in the contextof a specific ISO 50001 audit mission andtaking into account the documentation reviewconditions and criteria3. Ability to conduct a stage 2 audit in the contextof a specific ISO 50001 audit mission byapplying the best practices of communicationto collect the appropriate evidence and takinginto account the roles and responsibilities of allpeople involved4. Ability to explain, illustrate and apply statisticaltechniques and main audit sampling methods5. Ability to gather appropriate evidencesobjectively from the available information in anaudit and to evaluate them objectively1. Knowledge of the objectives and the content ofthe opening meeting of an audit2. Knowledge of the difference of the stage 1 auditand the stage 2 audit3. Knowledge of stage 1 audit requirements, stepsand activities4. Knowledge of the documentation review criteria5. Knowledge of the documentation requirementsstated in ISO 500016. Knowledge of stage 2 audit requirements, stepsand activities7. Knowledge of best practices of communicationduring an audit8. Knowledge of the roles and responsibilities ofguides and observers during an audit9. Knowledge of the conflict resolution techniques10. Knowledge of evidence collection procedures:observation, documentation review, interviews,analysis and technical verification11. Knowledge of evidence analysis procedures:corroboration and evaluation12. Knowledge of main concepts, principles andstatistical techniques used in an audit13. Knowledge of the main audit sampling methodsand their characteristicsPage 7 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 6: Conclusion and follow-up of an ISO 50001 auditMain objective: To ensure that the ISO 50001 Lead Auditor candidate can conclude anEnMS audit and conduct follow-up activities in the context of ISO 50001CompetenciesKnowledge statements1. Ability to explain and apply the evaluationprocess of evidences to draft audit findingsand prepare audit conclusions2. Understand, explain and illustrate the differentlevels of conformity and the concept ofbenefits of doubt3. Ability to report appropriate audit observationsin order to help an organization to improve anEnMS in respect of audit rules and principles4. Ability to complete audit working documentsand do a quality review of an ISO 50001 audit5. Ability to draft audit conclusions and presentthese to the management of the auditedorganization6. Ability to organize and conduct an auditclosing meeting7. Ability to write an ISO 50001 audit report andjustify a certification recommendation8. Ability to conduct the activities following aninitial audit including the evaluation of actionplans, follow up audits, surveillance audits andrecertification audits1.Knowledge of the evaluation process of evidencesto draft audit findings and prepare auditconclusions2. rnonconformity, anomaly and observation3. Knowledge of the guidelines and best practices towrite nonconformity report4. Knowledge of the guidelines and best practices todraft and report audit observation5. Knowledge of the principle of benefits of doubt andhis application in the context of an audit6. Knowledge of the guidelines and best practices tocomplete audit working documents and do aquality review of an audit7. Knowledge of the guidelines and best practices topresent audit findings and conclusions tomanagement of an audited organization8. Knowledge of the possible recommendations thatan auditor can issue in the context of a certificationaudit and the certification decision process9. Knowledge of the guidelines and best practices toevaluate action plans10. Knowledge of follow-up audit, surveillance auditsand recertification audit requirements, steps andactivities11. Knowledge of the conditions for modification,extension, suspension or withdrawal of acertification for an organizationPage 8 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideDomain 7: Management of an ISO 50001 audit programMain objective: To ensure that the ISO 50001 Lead Auditor understands how toestablish and manage an EnMS audit programCompetenciesKnowledge statements1. Understand and explain the establishment ofan audit program2. Understand and explain the implementation ofan ISO 50001 audit program (first party,second party and third party)3. Understand and explain the responsibilities ty of audit records4. Understand the requirements related to thecomponents of the management system of anaudit program as Energy Management, recordmanagement, complaint management5. Understand the evaluation of the efficiency ofthe audit program by monitoring theperformance of each auditor, each team andthe entire certification body6. Understand and explain the way combinedaudits are handled in an audit program7. Ability to demonstrate the application of thepersonal attributes and behaviors associatedto professional auditors1. Knowledge of the management of an auditprogram2. Knowledge of requirements, guidelines and bestpractices regarding audit resources, proceduresand policies3. Knowledge of the types of tools used byprofessional auditors4. Knowledge of requirements, guidelines and bestpractices regarding the management of auditrecords5. Knowledge of the application of the concept ofcontinual improvement to the management ofan audit program6. Knowledge of the particularities to implementand manage a first, second or third party auditprogram7. Knowledge of the management of combinedaudit activities8. Knowledge of the concept of competency andits application to auditors9. Knowledge of the personal attributes andbehavior of a professional auditorPage 9 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideBased on these 7 domains and their relevance, 12 questions are included in the exam, assummarized in the following table:LeveI of Understanding(Cognitive/Taxonomy) RequiredQuestionNumberFundamentalprinciples andconcepts inEnergyManagementPoints perQuestion2Questions thatmeasureComprehension,Application andAnalysis5Questionsthat measureSynthesisandEvaluationNumber ofQuestionspercompetencydomain% of testdevoted toeachcompetencydomainNumber ofPoints percompetencydomain% of talaudit conceptsand principles5x55x65xPreparation of anISO 50001 auditConduct an ISO30301 Audit75810x95xx105Conclusion andfollow-up of anISO 50001 audit1210Management ofan ISO 50001audit program115Total pointsx75Number of Questions per level of understanding% of Test Devoted to each level ofunderstanding (cognitive/taxonomy)7558.3341.67The passing score is established at 70%.After successfully passing the exam, candidates will be able to apply for the credentials ofPECB Certified ISO 50001 Lead Auditor, depending on their level of experience.Page 10 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideTAKE A CERTIFICATION EXAMCandidates will be required to arrive at least thirty (30) minutes before the beginning of thecertification exam. Candidates arriving late will not be given additional time to compensate forthe late arrival and may be denied entry to the exam room (if they arrive more than 5 minutesafter the beginning of the exam scheduled time).All candidates will need to present a valid identity card with a picture such as a driver’s licenseor a government ID to the proctor and the exam confirmation letter.The exam duration is three (3) hours.The questions are essay type questions. This type of format was chosen because the intentis to determine whether an examinee can write a clear coherent answer/argument and toassess problem solving techniques. Because of this particularity, the exam is set to be “openbook” and does not measure the recall of data or information. The examination evaluates,instead, comprehension, application, analysis, synthesis and evaluation, which mean that evenif the answer is in the course material, candidates will have to justify and give explanations, toshow they really understood the concepts. At the end of this document, you will find sampleexam questions and their possible answers.As the exams are “open book”; candidates are only authorized to use: A copy of the ISO 50001:2011 standard,Course notes from the Participant Handout,Any personal notes made by the student during the course andA hard copy dictionary.The use of electronic devices, such as laptops, cell phones, etc., is not allowed.All attempt to copy, collude or otherwise cheat during the exam will automatically lead to theexam’s failure.PECB exams are available in English. For availability of the exam in a language other thanEnglish, please contact examination@pecb.comRECEIVE YOUR EXAM RESULTSResults will be communicated by email in a period of 6 to 8 weeks, after taking the exam. Theresults will not include the exact grade of the candidate, only a mention of pass or fail.Candidates who successfully complete the examination will be able to apply for a certifiedscheme.In the case of a failure, the results will be accompanied with the list of domains in which thecandidate had a low grade, to provide guidance for exams’ retake preparation.Page 11 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideCandidates who disagree with the exam results may file a complaint. For more information,please refer to www.pecb.comEXAM RETAKE POLICYThere is no limitation on how many times a candidate can retake the same exam. However,there are some limitations in terms of allowed time-frame in between exams.When candidates fail the examination, they are only allowed to retake the examination oncewithin 12 months after the first attempt. If second examination is unsuccessful, candidates willbe allowed to retake the exam only after 1 year (12 months). Retake fee applies.Only candidates, who have completed a full PECB training but fail the written exam, are eligibleto retake the exam for free, under one condition:“A candidate can only retake the exam once and this retake must occur within 12 months fromthe initial exam’s date.”When candidates fail the same examination for the second time, their file is automatically closedfor 1 year.CLOSING FILESClosing a file is equivalent to rejecting a candidate’s application. As a result, when candidatesrequest that their file be reopened, PECB will no longer be bound by the conditions, standards,policies, candidate handbook or exam preparation guide that were in effect before their file wasclosed.Candidates who want to request that their file be reopened must do so in writing, and pay therequired fees.EXAMINATION SECURITYA significant component of a successful and respected professional certification credential ismaintaining the security and confidentiality of the examination. PECB relies upon the ethicalbehaviour of certificate holders and applicants to maintain the security and confidentiality ofPECB examinations. When someone who holds PECB credentials reveals information aboutPECB examination content, they violate the PECB Code of Ethics. PECB will take actionagainst individuals who violate PECB Policies and the Code of Ethics. Actions taken mayinclude permanently barring individuals from pursuing PECB credentials and revokingcertifications from those who have been awarded the credential. PECB will also pursue legalaction against individuals or organizations who infringe upon its copyrights, proprietary rights,and intellectual property.Page 12 of 14
PECB-820-14- ISO50001LA- Exam Preparation GuideSAMPLE EXAM QUESTIONS AND POSSIBLE ANSWERS1. Evidence in an auditFor each of the following clauses of the ISO 50001 standard, please provide at least twodifferent evidences that would be acceptable to ensure conformity to the clause.-4.6.4 Nonconformity, corrective action and preventive action:Possible answers: Documented procedure defining how to identify nonconformities and how to treat them.List of corrective actions showing the responsible person, the status and the deadline foreach corrective action.2. Evaluation of corrective actionsYou have received a plan for corrective actions. Evaluate the adequacy of the proposedcorrective actions. If you agree with the corrective actions, explain why. If you disagree, explainwhy and propose what you think would be some adequate corrective actions.-Non-conformity 2: The auditor has indicated a non-conformity because the energyobjectives and targets are not being measured.Corrective action plan 2: At the next management review, the management willredefine metrics to evaluate the energy objectives and targets.Possible answers:I agree. This solves the problem that was ignorance of the procedure. As auditor, asampling will be performed during the surveillance audit to find out if the procedure isfollowed.3. Identification and management of environmental aspects.Determine the energy aspects associated with the following activities, indicate their impactand select at least two mitigation measures to treat the energy aspectsPossible answers:ActivityAspect (s)Impact (s)Mitigation measuresExample:Temperaturemaintenance atappropriate levelImproper workingconditionsExcessive use ofenergy forheating/coolingUse of alternativeenergy forheating/coolingIncreased possibilityfor errorsPage 13 of 14Use of thermoisolation materials
PECB-820-14- ISO50001LA- Exam Preparation Guide4. Writing of a test planWrite a test plan to validate the following clause identifying the different applicable auditprocedures (observation, documentation review, interview, technical verification and analysis):-Clause 4.5.4 (extract): Documents required by the environmental management system and bythis International Standard shall be controlled. Records are a special type of document andshall be controlled in accordance with the requirements given in 4.6.5Possible answers:Clause 4.5.4 (extract): Documents required by the environmental management system and bythis International Standard shall be controlled. Records are a special type of document andshall be controlled in accordance with the requirements given in 4.6.5ObservationDocumentInterviewObserve how employees ensure the protection of documented information andwhether those actions are consistent with the policies and procedures of theorganizationPolicy on documented information management and procedures on informationlifecycle management: their identification, storage, backup, protection,accessibility and conservationMember of management (to confirm policies and the organization’s needsrelated to documented information) and the personnel responsible forinformation management and archiving (to obtain the documented informationmanagement details)TechnicalverificationValidate the electronic structure for classifying and storing of documentedinformation, verify the protection mechanisms of them, observe the compilationof the automated journals reportAnalysisSelect documented information samples and verify if they respect thedocumentation structure and policy criteria on documented informationPage 14 of 14
The objective of the “PECB Certified ISO 50001 Lead Auditor” examination is to ensure that the candidate has the knowledge and skills to plan and perform an Energy Management System (EnMS) audit compliant with the ISO 50001:2011 standard, master audit principles and techniques, and m
ISO 50001:2018 TIMESCALES ISO 50001:2018 was published 22 August 2018 and is the replacement for ISO 50001:2011. For organizations currently using ISO 50001:2011 there is a three-year transition period to switch to ISO 50001:2018. STRUCTURE OF ISO 50001:2018 The structure of ISO 50001:2018 follows the high level structure being applied to all .
Ref.No.EN ISO 50001:2018 E National foreword This British Standard is the UK implementation of EN ISO 50001:2018. It is identical to ISO 50001:2018. It supersedes BS EN ISO 50001:2011, which is withdrawn. The UK participation in its preparation was e
The PECB Certified ISO 37001 Lead Auditor training course provides the necessary knowledge and skills that enable you to perform anti-bribery management system (ABMS) audits by applying widely recognized audit principles, procedures, and . The PECB Certified ISO 37001 Lead Auditor exam fully meets the requirements of the PECB Examination and .
ISO 50001 can be easily linked with ISO 9001 and ISO 14001. ISO 50001 focuses on energy efficiency, whilst ISO 14001 emphasizes the significant environmental impacts of an organization. Both s
Complete the registration form and click the Submit button How to open a PECB account: 1. PECB Account. PECB ONLINE EXAM PREPARATION GUIDE 4 1. Login at your PECB account 2. Click the Examination Profile tab 3. Capture the required pictures following the guidelines set on the right side
implementing ISO 50001 2. Can be expected to achieve full conformance to ISO 50001, or is a less rigorous approach needed . 3. Find value in third-party certification of ISO 50001 conformance . 1 See US DOE’s . www.superiorenergyperformance.net
1. Energy Management System Conformance to ISO 50001 Energy Management Standard 2. Energy Performance Improvement (5% minimum over 3 years 7 ISO 50001 Components in place: Baseline Policy Plan Team/Leader Superior Energy Performance Single facility ISO 50001 conformance with validated energy pe
Accounting terminology Financial statement preparation Financial statement relationships 1, 2 Classifying balance sheet 1, 2 Analysis accounts CHAPTER 5 THE ACCOUNTING CYCLE: REPORTING FINANCIAL RESULTS Topic Skills Learning Balancing the accounting equation 1, 2 OVERVIEW OF BRIEF EXERCISES, EXERCISES, PROBLEMS AND CRITICAL THINKING CASES Objectives Analysis Analysis Analysis, communication .
