[Type text]

Environment, Occupational Health & Safety Management System

(ISO 14001:2015 & OHSAS 18001:2007)

Case Studies

Case 1:

Department: EHS Auditee: EHS Manager

Auditor: Explain your process for determination and evaluation of environmental aspects.

Auditee: Shows a documented procedure and explains in line to that.

Auditor: How do you determine the risks and opportunities related to environmental aspects?

Auditee: We do as part of our significant aspect evaluation.

Auditor: Why you are not doing as part of risks and opportunity determination?

Auditee: We found as part of significant aspect evaluation is easier to us.

Case 2:

Department: Manufacturing Auditee: Head Manufacturing.

Auditor: Do you have the procedure for identifying hazards & risks.

Auditee: (Shows) ---explains

Auditor: Show me the list of hazards & risks

Auditee: (Shows)

Auditor: How do you ensure the list covers all hazards & risks?

Auditee: Explains the procedure

Auditor: Why hazards originating outside the workplace under the control of organization have not
been identified?

Auditee: Explains, we are not affected much.

Nathan & Nathan Consultants Pvt.Ltd,

[Type text]
Environment, Occupational Health & Safety Management System
(ISO 14001:2015 & OHSAS 18001:2007)

Case Studies
Case 3:
Department: EHS Auditee: EHS Manager

Auditor: Have you determined the internal and external issues of your organisation.

Auditee: Yes we had determined and he shows the list.

Auditor: How about the risks and opportunities related to that?

Auditee: We have determined 10 risks and 3 opportunities from the issues.

Auditor: Good. Can you show me the action plan for them?

Auditee: We have yet to decide the action plans.

Case 4:
Department: EHS Auditee: EHS Manager

Auditor: Please show me the Management Review meeting minutes.

Auditee: Shows

Auditor: What are the points for review?

Auditee: Shows the minutes of management review.

Auditor: Why status of incident investigation, Corrective and preventive action review point
comments not recorded.

Auditee: Explains, we have no incidents for the last six months, hence we have not reviewed.

Case 5:
Department: Safety Auditee: Team Leader - Safety

Auditor: When do you conduct Audit and at what frequency?

Auditee: Will be decided in the MRM and also based on the frequency as per Internal Audit
procedure

Auditor: Can you please show the MRM report; Auditee: Shows……

Auditor: Not taken as one of the agenda point. Asks for procedure

Auditee: Shows the procedure, which details the frequency of Audit, specifying periodicity as twice
and on occasion as decided in MRM in concern areas.

Nathan & Nathan Consultants Pvt.Ltd,

[Type text]
Environment, Occupational Health & Safety Management System
(ISO 14001:2015 & OHSAS 18001:2007)

Case Studies
Case 6:
Department: EHS Auditee: EHS Manager

Auditor: Have you determined the interested parties and their requirements.

Auditee: Yes we had determined and documented.

Auditor: Which of these requirements become your compliance obligations?

Auditee: We have determined risks and opportunities from these requirements.

Auditor: Fine. Which of these requirements become your compliance obligations and the action
plan for the same?

Auditee: We have yet to decide that.

Case 7:
Department: Legal Team Auditee: Legal Coordinator

Auditor: Show the list of legal & other requirements

Auditee: Shows the list

Auditor: How do you assess and access legal requirements of your company?

Auditee: Our consultants have given a list

Auditor: How do you ensure the completeness and updating?

Auditee: Sometimes we contact the Inspectorate of Factories

Auditor: Show me the records of submission of periodical reports to regulatory authority

Auditee: Some reports we have not submitted this time, since we were busy with our financial year
ending works.

Nathan & Nathan Consultants Pvt.Ltd,

[Type text]
Environment, Occupational Health & Safety Management System
(ISO 14001:2015 & OHSAS 18001:2007)

Case Studies
Case 8:
Department: Stores Auditee: Head - Stores

Auditor: At site where do you store waste oil drum.

Auditee: Shows

Auditor: Observes segregation areas not designated, scrap not segregated.

Auditor: How do you dispose the waste?

Auditee: Explains the procedure

Auditor: Observes the methodology not the same as described in the operational control.

Case 9:
Department: Maintenance Auditee: Head-Maintenance.

Auditor: What are the areas covered by you?

Auditee: ETP, WTP, LPG, HSD area

Auditor: Show me the significant aspects & risk assessment for these areas (And the auditor finds
breakdown maintenance activities of ETP/WTP/LPG/HSD are not covered)

Auditor: Show me the records on ETP/WTP/LPG/HSD performance and monitoring

Auditee: (shows a not well maintained register).

Auditor: (observes not all key parameters are being monitored regarding safety controls as
mentioned in operational control)

Case 10:

Department: Production Auditee: Head Production.

Auditor: How do you ensure the participation & consultation of your workers & contractors?

Auditee: We ask the workers & contractors to involve in our system implementation.

Auditor: Can you show me any objective evidence for the participation & consultation made?

Auditee: We have not maintained any documents / records.

Nathan & Nathan Consultants Pvt.Ltd,

[Type text]
Environment, Occupational Health & Safety Management System
(ISO 14001:2015 & OHSAS 18001:2007)

Case Studies
Case 11:

Department: Purchase Auditee: Head – Purchase

Auditor: What are the Hazardous Materials you deal with and the procedure followed during
importing

Auditee: Unaware about Hazardous material being bought and says only the import agency is
doing the clearance at port and he intimates as and when imports are being made.

Auditor: What type and extent of control or influence applied to the import agency and your
suppliers? Have you communicated to them?

Auditee: We normally mention our requirements in our PO as general terms and conditions.

Auditor: Verified the PO general terms and conditions and didn’t find any EHS requirements for
the procurement of products and services.

Case 12:

Shop floor Visit:

Auditor auditing the shop floor where heavy operation & noise generation is observed
Auditor ask a person working in the shop floor

Auditor: Why are you wearing the earplugs & safety shoes?

Auditee: Top management has insisted to wear.

Auditor: Is there any objective taken to reduce the noise level & incidents across the plant?

Auditee: Not aware about the initiatives.

Auditor: Are you aware of significant aspects / hazards within your work place, if so what control
methods are in place?

Auditee: There are no aspects /hazards in our work place.

Nathan & Nathan Consultants Pvt.Ltd,