Findings
Findings will be presented to you as part of the audit report, and normally also during the closing meeting. This chapter of the eAdvantage User Guidance documentation incorporates a memo that is intended to clarify the follow up process which apply for most management system certification schemes including ISO 9001, ISO 14001 , OHSAS 18001 etc. Certain sector specific schemes have deviating categories of findings and timescale for closing of non-conformities (NCs), e.g. TS 16946, some food safety schemes etc.
eAdvantage displays Findings in the Findings Details Page, available from the Project Details Page, the Activity Details Page and from the Company Address Page.
Content overview:
Expectations to corrections of NCs, root cause analysis and corrective actions:
Recommendation for certification (Initial and recertification audit)
A finding can be of either of the following, as described further in subsections below:
Major non-conformity (NC, category 1)
Minor non-conformity (NC, category 2)
Observation
Opportunity for improvement
Noteworthy effort
Major non conformity (category 1)
There are multiple reasons for a major (category 1) non-conformity
The absence of one or more required system elements or a situation which raises significant doubt that products or services will meet specified requirements.
A group of category 2 non-conformities indicating inadequate implementation or effectiveness of the system relevant to an element of the standard.
A category 2 non-conformity that is persistent (or not corrected as agreed by the organisation) shall be up-graded to category 1.
Minor non conformity (category 2)
A single system failure or lapse in conformance with a procedure relating to the applicable standard is called a minor (category 2) non-conformity. This failure has no impact in the working of the system or in meeting the requirements for the product or service.
Observation
An observation is a finding without a clear reference to a standard requirement, or a finding without clear evidence.
Opportunity for improvement
An opportunity for improvement will be issued if the process meets the minimum requirements, but the process can be improved. An opportunity for improvement in most times is system or process related and is based on the experience and knowledge of the auditor. Or it is best practice within the sector or organization that has been audited.
Noteworthy effort
A noteworthy effort will be reported as a positive finding. A noteworthy effort can be an improvement compared to the previous audit, or processes that perform better than expected, e.g. best practice.
Expectations to corrections of NCs, root cause analysis and corrective actions:
The following actions are required for NCs (Non-Conformities, see classification of audit findings here):
Immediate correction of the non-conforming situation (if relevant for the NC) (Summarize actions performed in column L below or in the field with the same name on the Findings Details Page of eAdvantage)
Root cause analysis to identify corrective actions to prevent recurrence of the NC (Describe briefly the root cause analysis process in column L below or in the Findings Details Page of eAdvantage)
List decided corrective actions from the root cause analysis process in column M and corresponding deadline(s) for implementation in column N below or in the Findings Details Page of eAdvantage.
When corrective actions have been executed, verify the effectiveness of action(s) and complete the remaining open input.
The standard deadline to perform corrections and corrective actions for NCs is max. 90 days, regardless of the category of non-conformity and type of audit. DNVs team leader shall ensure a follow-up of NCs towards the customer in accordance with this timescale.
(NOTE: Special requirements apply to renewals in order to ensure continued validity of certificates, see here).
See also
Different categories of audit findings (explained here) require different follow up:
Major non conformities:
Within the maximum 90 days (or other decided deadline, see below renewal of certificate) you need to provide evidence of root cause analysis and effectively implemented corrections and corrective actions. Follow-up by DNV shall normally be performed on-site. In exceptional cases and where justified, the team leader may decide that a desk review may replace an on-site follow-up, if sufficient evidence can be provided through documentation.
Minor non conformities:
Within the maximum of 90 days (or other decided deadline) you should preferably be able to provide evidence of root cause analysis and effectively implemented corrections and corrective actions. The minimum requirement is to have a plan for implementing the needed corrective actions which is acceptable for DNVs Team leader. The implementation of planned actions will at latest be verified during next audit. DNVs follow-up will normally be performed as a desk-review and based on received documentation. An on-site follow-up may be decided by the Team leader also for category 2 NCs. This may be applicable in case of many NCs and where only documentary evidences are deemed insufficient.
(Note that insufficient responses to NCs or lack of corrective actions may be grounds for suspension or withdrawal of a certificate. This is also regulated in the contract)
Observations:
There is no obligation to investigate or respond formally to observations. However DNV recommends these to be considered to the benefit of the process.
Opportunities for improvement:
There is no obligation to respond formally and these will normally not be followed up by the auditor.
Recommendation for certification (Initial and recertification audit)
When all major and minor non conformities have adequately been followed up, the organization will be recommended for certification by the Team Leader. Major non conformities need to have status closed, based on evidence of effectively implemented corrective actions. Minor non conformities should preferably be closed, but need as a minimum have status accepted based on a plan for implementation for corrective actions.
After recommendation, appointed personnel will perform a Technical review of the certification process. Based on a positive outcome the certificate will be issued.
For a recertification audit the standard timescale of 90 days to respond to NCs may be overruled to ensure completion (Technical review) of the recertification audit before expiry date of the certificate. This is a pre-requisite to ensure continued validity of certification. The recommendation by the Team Leader should be performed no later than 10 working days before expiry date of the certificate. The deadline for corrections, cause analysis and corrective actions and response to the Team Leader will be set accordingly. If this is not adhered to the certificate need to be suspended at expiry date and it will not be allowed to make reference to the initial certification date