OH&S IA AUDITOR TRAINING COURSE

LEARNING ACTIVITY

Raising Non-conformities

Time Allowed:

Session 8a: Preparation 50 min,

Session 8b: 45 min

Session 8a

Team members are required to allocate to each team member one of the incidents provided on page 2
of this case study. Then individually:

Evaluate the allocated incident.

Then, as a team:

Discuss the NCR's with your group members and prepare a presentation to 'management'.
Each delegate shall write up the NCR on an 'overhead' (flipchart) sheet provided by the tutor.

Feedback Presentation

Write up your NCR onto a blank overhead projection slide (or flipchart paper). These will be formally
presented by each delegate to all the other course members in the feedback session.

Individual timing of presentation will be advised by the tutor if different from above.

Be prepared to answer questions about your NCRs from other delegates during your presentation.

Session 8b

Working individually complete a nonconformity report for each of the 4 incidents provided on page 4 of
this case study.

Each NCR must be fully completed as described above and handed to the tutor for course
assessment marking.
Session 8a. The Incidents

Three incidents that occur during a third party audit of a company, XYZ PLC, are described.

They contain situations for which nonconformity reports may be required. Examine each incident carefully
then take one of the following actions (please make reference to appropriate OHSAS 18001 clauses):

If you think that there is sufficient objective evidence of nonconformity then you should complete
the nonconformity report and categorise it as major or minor.
If you do not think that there is sufficient objective evidence of nonconformity then:
o State why you think there is insufficient evidence of nonconformity.
o Make a list of things you would look for as evidence that the situation is under control.

Incident Number 1

In the back office of a bank, where ten employees are working at their computer stations, they complain
that sunlight reflects off the computer monitors that are facing the window. When this occurs, some staff
report having headaches. The auditor asks the supervisor about this and the supervisor said that on
winter days, when the sun was low, this could be a problem for a short time. The supervisor went on to
say that management had looked at fitting blinds to prevent this but as it was not a serious problem it had
not justified the cost.

Incident Number 2

The companys OH&S Manual stated that the management review meetings are held quarterly to monitor
the performance of the system applied. But only one meeting had been held in the last year for which
there were minutes available these being for 6 month previous. In response to the auditors question the
managing director said that they did not always have special meeting to discuss health and safety issues
as these were also covered on the monthly management meetings. This was very much a working
meeting, which just recorded actions required with the timescales and responsibilities.

Incident Number 3

The companys OH&S Manual stated that staff shall be advised of the occupational health and safety
consequences, actual or potential of their work, but the induction-training program or any other staff
training to this effect could provide no evidence. The foreman in the M/C shop said he considered his staff
to be skill at their job and did not need to be told of the dangers involved in their work.
To be used for Session 8a

If you think there is evidence of nonconformity, complete this report:

OH&S AUDIT
NONCONFORMITY REPORT
Audited Company: XYZ plc Nonconformity Number: of
Audited Area: OHSAS 18001 Clause:

Category: MAJOR* MINOR* SAFETY* * circle one

Auditor:

Or

If you do not think that there is sufficient evidence of nonconformity, state the reasons for your decision
and state also what further actions the auditor should take.
Session 8b. The Incidents

Incident Number 1

While passing through the coil winding shop the Auditor felt the noise level was quite high. He asked the
line manager for the risk assessment records for this area. They were promptly produced, dated only 2
months previously. The records reported that the risk assessment team had monitored levels of 95 and 97
Db(A) when all machinery was in operation.
The Line Manager pointed to the control that had been identified and applied - good quality hearing
protectors. They have a contract with the supplier to check and replace all units on a routine basis. The
relevant procedure stipulated that all staff working in the area were issued with their own set and that
visitors were not admitted to the area without temporary issue.

Incident Number 2

In reviewing corrective preventative action procedures, the auditor asked the OH&S representative who
normally investigated any incidents. The representative demonstrated that the procedure, SOP No23,
Issue5, stated that the appropriate Line Supervisor was responsible for this activity. On examination of the
records it could be seen that the OH&S rep had actually carried out the last 4 investigations. When
confronted with this fact she said that she often did conduct investigations since it was not always clear
which Line Supervisor was responsible.

Incident Number 3

When auditing the canteen facilities the auditor asked how the first aid arrangements operated. He was
shown the First Aid rota with 6 staff members listed. On inspection of the training records for the 6 staff
noted on the First aider list, each had attended a St John Training course within the last 10 years, and
most had had a refresher within the last 3 years. The company had a will equipped first aid room and the
incident records were up to date.

Incident Number 4

The auditor said that was impressed with the companys emergency procedures and follow-up
process, which had been well documented after two emergency situations had occurred in the last six
months. The auditor asked to what extent was it possible to test the emergency procedures. The
supervisor explained that they had the usual fire alarm test each week and annually carried out an
evacuation of the building. He said that they had not felt it practical to say switch off power and isolate
areas which was something they had included in the procedure should flooding occur for example, as
this would cause too much disruption to continuous processes in the production area.
To be used for Session 8b (1 of 4)

If you think there is evidence of nonconformity, complete this report:

OH&S AUDIT
NONCONFORMITY REPORT
Audited Company: XYZ plc Nonconformity Number: of
Audited Area: OHSAS 18001 Clause:

Category: MAJOR* MINOR* SAFETY* * circle one

Auditor:

Or

If you do not think that there is sufficient evidence of nonconformity, state the reasons for your decision
and state also what further actions the auditor should take.
To be used for Session 8b (2 of 4)

If you think there is evidence of nonconformity, complete this report:

OH&S AUDIT
NONCONFORMITY REPORT
Audited Company: XYZ plc Nonconformity Number: of
Audited Area: OHSAS 18001 Clause:

Category: MAJOR* MINOR* SAFETY* * circle one

Auditor:

Or

If you do not think that there is sufficient evidence of nonconformity, state the reasons for your decision
and state also what further actions the auditor should take.
To be used for Session 8b (3 of 4)

If you think there is evidence of nonconformity, complete this report:

OH&S AUDIT
NONCONFORMITY REPORT
Audited Company: XYZ plc Nonconformity Number: of
Audited Area: OHSAS 18001 Clause:

Category: MAJOR* MINOR* SAFETY* * circle one

Auditor:

Or

If you do not think that there is sufficient evidence of nonconformity, state the reasons for your decision
and state also what further actions the auditor should take.
To be used for Session 8b (4 of 4)

If you think there is evidence of nonconformity, complete this report:

OH&S AUDIT
NONCONFORMITY REPORT
Audited Company: XYZ plc Nonconformity Number: of
Audited Area: OHSAS 18001 Clause:

Category: MAJOR* MINOR* SAFETY* * circle one

Auditor:

Or

If you do not think that there is sufficient evidence of nonconformity, state the reasons for your decision
and state also what further actions the auditor should take.