Exercise 2

ISO 14001:2015/ ISO 45001:2018

Audit Scenario

Learning Objectives:

The purpose of the exercise is:

To continue developing the ability to assess conformity with the new or modified
requirements.

Duration:

Teamwork – 45 minutes
Feedback and discussion – 30 minutes

Nature of the Activity

Teamwork on evaluating the conformity with the new or modified requirements.

Material and Equipment

- Exercise handout
- Markers
- Flipchart and easels x 3

Feedback session

The outcome is reviewed in the entire class with a spoke person for each team in
rotation presenting the outcome.

Delegate s’ Tasks

The following are descriptions of situations observed by during the audit of an

organisation against the requirements of ISO 14001:2015 / ISO 45001:2018.

These contain descriptions of situations where a nonconformity report MAY be raised

or further investigation may be required.

The delegates, working in teams should review the descriptions the scenarios and
take one of the two following actions:

a) Where there is evidence of nonconformity prepare nonconformity report

b) Where there is insufficient objective evidence to raise nonconformity outright,

develop an audit trail

Outcomes to be presented using flipchart.

March 2019
 Exercise 2

ISO 14001:2015/ ISO 45001:2018

SCENARIOS:

SCENARIO 1 – ISO45001

During the audit of Operations, auditor noted that a temporary hot work area
for fabrication has been arranged and work is ongoing. The Operations
Manager explained that this was necessary to complete an urgent order due
to a delay in supply of fabricated parts. The auditor asked if there was any
review done on the consequence of this change and if there are any actions
taken to mitigate any adverse effects as necessary. Auditee explained that
since the activity was only temporary and will last for only about a month,
review was not considered as necessary.

SCENARIO 2 – ISO45001

During audit of Facilities Department of a logistics company, it was confirmed

that there was a recent job performed in Jan 2018 by ABC Electrical
Company, an electrical service contractor to replace several busted high bay
lights at the warehouse area. When the auditor asked whether hazard
identification and risk assessment was done for the activities performed, it
was explained that since only contractors’ employees were involved in the
activities, the organization did not ask the contractor to submit a copy of
hazard identification and assumed that they have done it because they are
experts in this job.

SCENARIO 3 – ISO45001

During audit of Procurement process, auditor requested to be shown records

of contracted services; upon verification, it appears that main consideration for
selecting contractors and awarding jobs is the price. It was explained by
auditee that in fact, OHS performance is also considered during the selection
because they do not engage contractors having poor safety performance.

March 2019
 Exercise 2

ISO 14001:2015/ ISO 45001:2018

SCENARIO 4– ISO14001

QRT is an Engineering company operating in a country where water

resources are increasingly scarce and distribution of water is a serious
political issue. QRT are allocated a maximum daily water input from a local
borehole. However, recent changes in local legislation mean that this
allowance is likely to reduce in the near future. When the auditor asks to see
the water allowance licence, the responsible employee replies that the licence
is under review at the local authority and the new licence has not yet been
issued.

SCENARIO 5 – ISO14001

XYZ plc manufactures Dry Cell Batteries for various Households use. The
audit is taking place in the design department of the company. The auditor is
conducting interview with the design head to verify EMS requirements are
successfully applied or not. When she asked about the environmental aspect
identification process, auditee replied that there are three environmental
aspects in the process, they are electricity consumption for maintaining proper
lux levels required to read the drawing, consumption of paper used for printing
and water consumption. She again asked about the environmental aspects
related to product performance and aspects related to the final disposal of
product considering the life cycle prospective. The department head replied
that they are not familiar with Life cycle of product concept but they consider
identifying some note to be put on product packing label.

March 2019