Audit Finding Categorization G Closure Acceptance Checklist
Introduction:
This document intends to educate auditors on how to appropriately classify audit results into categories (such as Positive Issues, OFI, Observation, Minor NC, Major NC) as per international standards and BSCIC procedures.
Categorization of Audit Findings:
Management system auditors are responsible for categorizing audit findings into correct
formation as per International Standards and BSCIC procedure into 5 different categories:
- Positive Issues:
Areas where an auditor finds positive implementations done by client organization shall be
reported as positive issues.
Client should be motivated for the implementation and their proactive actions towards implementation of management system standard.
- Opportunity for Further Improvement (OFI):
An OFI may be given where strengths of the system might be further improved (however compliance is still being achieved).
This is where a value addition comes in, Auditor shall be careful that the wording of OFI does not lead to consultancy or recommendation, the language of OFI must be precise that it is an area for improvement for the organization.
- Observation:
Observations should be used when identifying potential areas of non-conformance.
- Minor Non-Conformity (Minor NC):
Non-conformity that does not affect the capability of the management system to achieve the
intended results (Source 3.13 of ISO 17021-1:2015)
Minor non-conformity requires a Root Cause Analysis and Corrective Action Plan in stipulated timeframe decided by Certification Body (In case of BSCIC it is 07 working days). Minor non-conformity needs to be accepted, completed and closed with a Corrective Action Plan in the Corrective Action Request form & its implementation closure evidence must be checked and verified during the next year's assessment and justification of the same is to be recorded in the Audit report format.
- Major Non-Conformity (Major NC):
Non-conformity that affects the capability of the management system to achieve the intended
results (Source 3.12 of ISO 17021-1:2015) This can also be interpreted as under:
“Major nonconformity: a non-conformity or a number of minor non-conformities which together are of such severity that its existence would indicate that non-conforming product or service could be released to the customer or where the requirements of an appropriate clause of the Management Standard has not been adequately addressed.”
“A major is where there has been a failure to address a clause of the standard, or where a procedure has broken down, or where a breach of a legal obligation has occurred without there being evidence of control and notification of the relevant authorities, or where there is an accumulation of non-conformities which together indicate system breakdown.”
“A Major nonconformity means that the implementation may not be a true reflection of the compliance to the audit criteria /requirement. In fact, it means failure in implementation of the criteria and raises doubts on the management system and its results”.
A corrective action plan has to be submitted on priority and normally will not be later than 7 working days and closure of non-conformance with objective evidence is to be shared with BSCIC Lead Auditor within 30 days of time.
If the implementation of Major Non-Conformity is taking longer than stipulated timeframe decided by Certification Body (In case of BSCIC it is 30 days) and/or if the verification of objective evidence is of a nature that can only be verified physically/ through virtual visit of the organization then a Supplementary Assessment physical/ virtual is required to be conducted after as specifically agreed by the Auditor/Team Leader of the case, not later than 90 days from the non-conformity raised.
Major non-conformity needs to be accepted, completed and closed with a CAP in the Corrective Action Request form & its implementation closure evidence must be checked and verified at the time of closure submission and also to be verified during the next year's assessment and justification of the same is to be recorded in the Audit report of next year.
Disclaimer:
The information contained within is available for educational and communication purposes.
Normative References:
BSCIC Procedures
www.iaf.nu
www.iso.org/tc176/ISO9001AuditingPracticesGroup
Craig Cochran blogs
