INTEGRATED MANAGEMENT SYSTEMHSEQ

I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 01

The General Manager delegated the Leader of the Integrated Management System Administration
process to establish and implement the internal audit program. In order to make the process agile,
accurate and timely, the Leader of the Integrated Management System Administration process
defined that each Head of Area should audit their respective process, since they are the ones who
are most familiar with their problems and their solutions.

NONCONFORMANCE REPORT
Audited Company: NA Report Number: ____1_____
Audited Process: ____Admon SIG_ISO 9001:2015 Clause / Document: _____9.2.2 c_____
ISO 14001:2015 Clause / Document: ____9.2.2 b______
ISO 45001:2018 Clause / Document: _9.2.2 c _________
Description of the nonconformity:

The organization lacks impartiality and objectivity in the composition of the internal audit team.
It is evident that the leader of the Integrated Management System Administration process
defined that each Head of Area must audit their respective process.
The above does not comply with numera 9.2.2 c of ISO 9001 2015 and ISO 45001 2018 and
numeral 9.2.2 b) which requests that the organization must select auditors and conduct audits
to ensure objectivity and impartiality of the audit process.

Auditor: Date:____________________
Audited:

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
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I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 02

During a visit to the Integrated Management System Administration process, the auditor requested
the matrix of hazards and risks of the organization's parking area, to which the process leader
informed that there is a general one for common areas.

NONCONFORMANCE REPORT
Audited Company: N Report Number: ____02_____
Audited Process: GIS Management ISO 9001:2015 Clause / Document: _____NN\A_____
ISO 14001:2015 Clause / Document: ____NAME_____
ISO 45001:2018 Clause / Document: _6.1.2.1 - 6.1.2.2
Description of the nonconformity:

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: 4-05-2020

Auditee: GIS Administrator

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.

According to the standard 45001:2018 in the numerals 6.1.2.1 - 6.1.2.2.2 does not specify that
the risk matrix must be discriminated by zones, if not to make the identification of hazards and
risks.

The action to be taken by the auditor is the review and verification of the risk matrix of common
areas, where the hazards are identified and the risks and their opportunities are evaluated.
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 03

With the participation of the Board of Directors, the Integrated Management System Policy was
defined, which was approved and validated according to meeting and minutes dated December
2017. During a visit to the audited area in March of this year, the auditor asked the Director of the
Office if the approved policy is appropriate for the Institution, to which he responded by saying that
he is not aware of it since he was on leave and that nothing has been communicated to him in this
regard.

NONCONFORMANCE REPORT
Audited Company: N/A Report Number: ___3____
Audited Process: Senior Management ISO 9001:2015 Clause / Document: ____5.2_____
ISO 14001:2015 Clause / Document: ___5.2______
ISO 45001:2018 Clause / Document: ____5.2_____
Description of the nonconformity:

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date:_05/05/2020_.

Audited: Senior Management

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.

The organization has an established policy and therefore complies with numeral 5.2; however,
there is not enough information to evidence a nonconformity, since the auditee was on leave,
but does not know the dates of the leave.
The auditor should validate the license date and extend the sampling to verify if a
nonconformity is evident.
INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 04

During the tour of the organization, the auditor asked three contractors working in the physical
resources management process what to do in the event of a fire or earthquake. They replied that
they did not know because they have only been there for a week. The Integrated Management
System Leader explained that training is provided only for internal personnel; contractors are
responsible for their activities.

NONCONFORMANCE REPORT
Audited Company: N/A Report Number: ____4_____
Audited Process: _GRF________ISO 9001:2015 Clause / Document: ______________
ISO 14001:2015 Clause / Document: _____________
ISO 45001:2018 Clause / Document: ___8.1.4.2_____
Description of the nonconformity:

It is evident that the organization does not provide the respective training to contractors to
address potential hazards or risks within the facilities.
The above does not comply with numeral 8.1.4.2 of ISO 45001 2018 where the organization
must coordinate with its contractors the identification of hazards, their evaluation and control of
OSH risks, which may impact all stakeholders.

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: _05/05/2020___.

Audited: GRF

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 05

In the audit of the internal control process, the reports of the last cycle of audits and of the
certification audit were reviewed, finding that in the two processes mentioned and in the cycle that is
currently being developed, the same nonconformities related to the control of documented
information and the updating of applicable legislation are present.

NONCONFORMANCE REPORT
Company Audited: N\A Report Number: 02_
Audited Process: Internal Control ISO 9001:2015 Clause / Document: _7.5 y 10.2___
ISO 14001:2015 Clause / Document: _7.5 y 10.2___
ISO 45001:2018 Clause / Document: _7.5 y 10.2___
Description of the nonconformity:

The organization does not have documented information and updates on applicable legislation.
It is evident that the leader of the Internal Control process has not implemented the control and
correction actions for the nonconformities evidenced in the last cycle of audits and the
certification audit.
The above does not comply with the number 7.5 and 10.2 of ISO 9001 2015, ISO 14001 2015
and ISO 45001 2018, which requests that the organization must maintain documented
information and in case of non-conformities, take corrective actions, respectively, to comply with
the continuous improvement requirement.

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: 04-05-2020

Auditee: Internal Control Leader

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 06

During the visit to the Human Talent Management process, it was found that the competency
requirements for contractors of support services, missionary and third parties that affect the HSEQ
Management System have not been defined.

NONCONFORMANCE REPORT
Audited Company: N/A Report Number: ___6______
Process Audited: G. Human Resources ISO 9001:2015 Clause / Document: ___7.2______
ISO 14001:2015 Clause / Document: ___7.2_____
ISO 45001:2018 Clause / Document: ___7.2_____
Description of the nonconformity:

It is evident that the leader of the Human Talent Management process has not defined the
competency requirements for contractors.
The above does not comply with numeral 7.2 in literal (a) of the ISO 9001 2015, ISO 14001
2015 and ISO 45001 2018 standards, determine the necessary competence of persons who
perform, under their control, work that affects the performance and effectiveness of the
integrated management system.

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: 05-05-2020

Audited: Human Resources Management Leader

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 07

In the interview with the Organization's Directors, the auditor requests the corrective actions that
have been undertaken in the different processes, who respond that these are found in the
GESTION_HSEQ software, when reviewing the reports generated by the system, the auditor
observes 4 of the 16 proposed actions not carried out to date and with expired deadlines, there is
no management.

NONCONFORMANCE REPORT
Audited Company: N/A Report Number: ___7_____
Audited Process: _Senior Management_ISO 9001:2015 Clause / Document: __10.2.1______
ISO 14001:2015 Clause / Document: _10.2.1______
ISO 45001:2018 Clause / Document: _10.2.1______
Description of the nonconformity:

It is evident that the information documented in the Gestion_HSEQ software shows that, out of
16 proposed actions, the organization has not carried out 4 of them and the deadlines have
already expired.
The above does not comply with paragraph 10.2.1 ( a), which states that the organization must
react to any nonconformity and, when applicable, take actions to control it, correct it and deal
with the consequences.

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: 05-05-2020_.

Audited: Senior Management.

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18
 INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18

CASE 08

The generation of hazardous waste is an environmental issue identified in the company. Used
batteries and lubricants, as well as empty solvent containers, are given away to people in the
community who need them. The waste procedure does not provide for verification of the final
destination of this waste. The community uses the empty cans to store water for consumption and
the batteries to recover the lead and sell it.

NONCONFORMANCE REPORT
Audited Company: N/A Report Number: ___8____
Audited Process: ___N/A_______ISO 9001:2015 Clause / Document: ______________
ISO 14001:2015 Clause / Document: __6.1.2 y 6.1.3__
ISO 45001:2018 Clause / Document: ______________
Description of the nonconformity:

The organization does not have a procedure for the final disposal of used batteries and
lubricants.
It is evident that the leader does not have control over the final destination of hazardous waste.
The above is not in compliance with section 6.1.2, where the organization must determine the
environmental aspects of its activities, products and services that it can control and those that it
can influence, and their associated environmental aspects, from a life cycle perspective; and is
not in compliance with section 6.1.3, where it must determine the legal and other requirements
that apply to the organization.

Auditor: Sofia Arbeláez - Jenny Perez - Henry Sierra Date: 05-05-2020____

Audited: N/A

If you believe that there is insufficient evidence of nonconformity, state the reasons for your decision and
also indicate what further action the auditor should take.
INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18