You are an audit team leader conducting an ISO 45001 surveillance audit of a nautical college that provides course for those working in the maritime…

The basis for the nonconformity is the Deputy College Principal's demonstrated lack of awareness of the OH&S policy. As a member of top management, the DP is expected to understand and be able to articulate the organization's policy and commitment to OH&S. The scenario explicitly shows the DP needing to look up the policy to answer a basic question, indicating a failure in leadership commitment and awareness. This directly contravenes the expectation that top management is actively involved and knowledgeable about the OHSMS. The finding is based on direct evidence gathered during the interview, which points to a gap in the communication and internalization of the policy at the management level.

B. This is a potential consequence of the lack of awareness, not the basis for the nonconformity itself. The audit finding must be based on the observed evidence of unawareness.
C. The term "competent" is broad, and the scenario provides specific evidence of a lack of awareness of the policy, which is a more precise finding. Also, "CM ISMS" is an irrelevant term.
D. The scenario does not support this claim. It states the policy is on a noticeboard, so it does exist and is displayed; the issue is the DP's lack of familiarity with it.

1. ISO 45001:2018, Occupational health and safety management systems — Requirements with guidance for use.

Section 5.1, Leadership and commitment: States that "Top management shall demonstrate leadership and commitment with respect to the OH&S management system by... b) ensuring the OH&S policy and related OH&S objectives are established and are compatible with the strategic direction of the organization". The DP's lack of familiarity demonstrates a failure in this commitment.

Section 7.3, Awareness: Requires that "Workers shall be made aware of: a) the OH&S policy...". As a senior manager, the DP is considered a worker under this standard and must be aware of the policy.

2. PECB. (2021). ISO 45001 Lead Auditor Training Course - Module 2: Audit principles, preparation and launching of an audit.

Section: Conducting the opening meeting and interviewing employees. This section of the official training emphasizes that auditors must interview top management to verify their commitment and understanding of the OHSMS, including the policy. A manager being unable to discuss the policy without reading it from a noticeboard is a clear indicator of a nonconformity related to leadership and awareness.