Activity 28: Nonconformities

Audit scenarios
The purpose of these scenarios is to enable you to apply your understanding of ISO
45001:2018 to an audit situation, and show how you would determine conformity or
nonconformity.

The incidents described have occurred during a second-party audit of an organization. As

the auditor, you need to be able to decide if there is nonconformity, or gather sufficient
evidence to assess conformity from the scenario.

Review all scenarios carefully and then answer the questions posed:

Scenario 1
As an auditor, upon review of internal audit documented information, you find the following
situation: The three preceding internal audits of the truck loading facility had identified
nonconformities (N/C’s) where the harnesses used by employees, and contract truck drivers,
for work on top of vehicles were found to be in need of replacement. Although on paper the
N/C’s had been corrected by management, you check the area and find the same situation
exists.
Scenario is ok: Y/N Nonconformity: Y/N
(I.e. do you have any concerns? If not, then move immediately onto the next scenario)

Corresponding element of ISO 45001:

(If willing to raise NOW an N/C)

Potential audit trail:

(Only complete if NOT willing to raise an N/C yet)
Scenario 2
Upon inquiry, regarding documentation of a management review of the OH&S MS, the
Health and Safety Manager produces minutes of a meeting at which he and the Production
Manager reviewed the OH&S MS. The business unit President and Vice-President of Human
Resources were invited to attend. They did not attend the meeting because of a conflict with
the corporate shareholders meeting. There is no written evidence that the President or VP
submitted comments. In a brief interview, with the VP Human Resources, she said she had
reviewed the report and “it looked fine”.
Scenario is ok: Y/N Nonconformity: Y/N
(I.e. do you have any concerns? If not, then move immediately onto the next scenario)

Corresponding element of ISO 45001:

(If willing to raise NOW an N/C)

Potential audit trail:

(Only complete if NOT willing to raise an N/C yet)

Scenario 3
At a major gas plant several contractors are used during planned maintenance outages.
Two contractors have been on site for several months of every year since the plant came on
line. The contractors’ employees have all attended a 3-hour safety awareness-training
program. One contractor, a construction organization, has not conducted a risk assessment
on the work of its employees on site, the Gas Plant Safety manager was in ignorance of this
fact, and had not performed his own risk assessment on the activities.
Scenario is ok: Y/N Nonconformity: Y/N
(I.e. do you have any concerns? If not, then move immediately onto the next scenario)

Corresponding element of ISO 45001:

(If willing to raise NOW an N/C)

Potential audit trail:

(Only complete if NOT willing to raise an N/C yet)
Scenario 4
When interviewing an operator at the Gas plant, you find an out of date version of the
emergency evacuation plan in his possession. The operator explained that he was given the
plan during his initial training session and has kept it.
Scenario is ok: Y/N Nonconformity: Y- Yes, it is non
conformance
(I.e. do you have any concerns? If not, then move immediately onto the next scenario)

Corresponding element of ISO 45001:

NC raised against clause No 8.2 and 5.4 b
(If willing to raise NOW an N/C)

Potential audit trail:

(Only complete if NOT willing to raise an N/C yet)

No training was provided and participation ensure by the worker

Communication of information is not effective which resulted in possession of obsolete plan

Scenario 5
During an OH&S MS documentation review at the Gas plant, the auditor reviewed the
structure and responsibilities of the organization. He noted that the OH&S Manager was
assigned the responsibility and authority for 5.3 a) and b). However, during the audit the
auditor realized that the OH&S Manager had delegated responsibilities for the administration
of the OH&S MS to a recently hired safety officer.
Scenario is ok: Y/N Nonconformity: N- No, it is not
the NC
(I.e. do you have any concerns? If not, then move immediately onto the next scenario)

Corresponding element of ISO 45001:

(If willing to raise NOW an N/C)
NA
Potential audit trail:
(Only complete if NOT willing to raise an N/C yet)
As an auditor, I’ll review more audit evidences to check level of responsibilities
delegation to safety officer. Also try to check up to what extent OH&S manager
involves in the administration of OHS&MS to understand the responsibility
distribution as still authority lies with OH&S Manager only.
Scenario 6
During the review of the emergency response plan of an open cast coal mine, the auditor
finds a commitment to run emergency response training drills twice a year. However, there
have been no drills over the last twelve months, and none have been scheduled for the
coming year.
Scenario is ok: Y/N Nonconformity: Y – Yes, it is non
conformity
(I.e. do you have any concerns? If not, then you have finished this Activity)

Corresponding element of ISO 45001:

NC raised under Clause 8.2
(If willing to raise NOW an N/C)

Potential audit trail:

(Only complete if NOT willing to raise an N/C yet)

No drills conducted in last 12 months

No schedule available to conduct the same in next year