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: Report Number: _________
Audited Process: _ SGI________ISO 9001:2015 Clause / Document: ______________
ISO 14001:2015 Clause / Document: ______________
ISO 45001:2018 Clause / Document: __9.2.2 C________
Description of the nonconformity:

The organization does not ensure the selection of auditors to objectively and impartially conduct
audits of the processes.

It is evident that 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. Non-compliance with requirement
9.2.2 c of NTC ISO 45001:2018.

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.
INTEGRATED MANAGEMENT SYSTEMHSEQ
I&F/TRG/HSEQ - Rev. 2 / Sep 18
 INTEGRATED MANAGEMENT SYSTEMHSEQ
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: Report Number: _________
Audited Process: _____________ISO 9001:2015 Clause / Document: ______________
ISO 14001:2015 Clause / Document: ______________
ISO 45001:2018 Clause / Document: ______________
Description of the nonconformity:

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.
 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
Company Audited: ABC S.A.S. Report Number: ___03______
Audited Process: ___SIG ____ISO 9001:2015 Clause / Document: __5.2.2_b__________
ISO 14001:2015 Clause / Document: ___5.2_________
ISO 45001:2018 Clause / Document: ___5.2________
Description of the nonconformity:

The organization does not ensure communication of its integrated management systems policy
within the organization.

The Director of the Office was asked 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. Failure to comply with ISO 9001-2015
5.2.2. b, ISO 45001-2018 5.2, ISO 14001-2015 5.2.

Auditor: Olga Melo Date: 17/11/2020____________________

Auditee: Office Manager

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 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: XYZ S.A. Report Number: __04_______
Audited Process: Physical Resources Management ISO 9001:2015 Clause / Document: ____
ISO 14001:2015 Clause / Document: 8.2_f___.
ISO 45001:2018 Clause / Document: _____8.2 f______
Description of the nonconformity:

The organization does not ensure the communication of relevant information and training
regarding emergency preparedness and response, as appropriate, in this case to contractors.

By asking three contractors working in the physical resource 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. Non-
compliance with ISO 14001-2015 8.2 f, ISO 45001-2018 8.2 f

Auditor: Date:____________________
Auditee: Physical Resources Management Contractors and MIS 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 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
Audited Company: abc s.a Report Number: _05________
Audited Process: Internal Control ISO 9001:2015 Clause / Document: 10.2.1.
ISO 14001:2015 Clause / Document: 10.2
ISO 45001:2018 Clause / Document: 10.2
Description of the nonconformity:

The organization does not ensure that corrective actions are taken to control and correct audit
nonconformities.

When auditing the internal control process, it is evident that corrective actions have not been
taken for nonconformities related to the control of documented information and the updating of
applicable legislation, presented in the last cycle of audits, the certification audit and the current
cycle of audits. Non-compliance with ISO 9001-2015 10.2.1, ISO 14001-2015 10.2, ISO 45001-
2018 10.2.

Auditor: Date: 11/17/2020

Auditee: internal control process

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 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: BCD S.A Report Number: __06_______
Audited Process: Human Resources Management 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:

The organization does not ensure compliance with competency requirements for contractors.

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. Non-compliance with ISO 9001-20015
7.2, ISO 14001-2015 7.2, ISO 45001-2018 7.2.

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.
 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: XZY S.A.S. Report Number: ___07______
Audited Process: _Senior Management _ISO 9001:2015 Clause / Document: _10.2.1_____
ISO 14001:2015 Clause / Document: 10.2_______
ISO 45001:2018 Clause / Document: 10.2_________
Description of the nonconformity:

The organization does not ensure compliance and execution of all corrective actions within the
established deadlines and their corresponding management.

In the interview conducted with the managers of the organization, the corrective actions that
have been undertaken in the different processes were requested, who responded that these are
found in the GESTION_HSEQ software, when reviewing the reports generated by the system, it
is evident that 4 of the 16 proposed actions have not been carried out to date and with expired
deadlines, there is no management. Non-compliance with ISO 9001-2015 10.2.1, ISO 14001-
2015 10.2, ISO 45001-2018 10.2.

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.
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: AMBIENTAL LTDA Report Number: __08_____
Audited Process: Environmental Management ISO 9001:2015 Clause / Document:
______________
ISO 14001:2015 Clause / Document: 6.1.2
ISO 45001:2018 Clause / Document: ______________
Description of the nonconformity:

The organization does not determine the environmental impacts from a life cycle perspective of
the final disposal of the hazardous waste generated.

It is evident that the waste procedure does not provide for verifying the final destination of this
hazardous waste, and observation shows that used batteries and lubricants, as well as solvent
containers, are given away to people in the community who need them, and the community uses
the empty cans to store water for consumption and the batteries to recover the lead and sell it.
Non-compliance with ISO 14001-2015 6.1.2.

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