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Internal Audit - Action Classification

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Guest user Created:   Jan 14, 2020 Last commented:   Jan 14, 2020

Internal Audit - Action Classification


Hi, trying to understand with an internal audit when an action is required how would one rate the action (Opportunity for Improvement, Non-Conformance, Major Non-Conformance) - what are the criteria for each classification?

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ISO 14001 DOCUMENTATION TOOLKIT

Step-by-step implementation for smaller companies.

ISO 14001 DOCUMENTATION TOOLKIT

Step-by-step implementation for smaller companies.

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Carlos Pereira da Cruz Jan 14, 2020

During an audit, auditors observe reality, collect audit evidences that they compare with the audit criteria and raise audit findings.

https://www.screencast.com/users/ccruz5284/folders/Default/media/4e2f836d-37ef-4c2f-a9cf-0bacad65d3da

An audit finding can be one of three types:

  • Conformity 
  • Non-conformity (minor or major)
  • Improvement Opportunity

Some auditors include in their audit reports the conformities find, a match between reality and audit criteria.

When an audit evidence is an illustration that reality does not follow the audit criteria, we have a non-conformity. A non-conformity implies the need for action. When we have a minor non-conformity normally, the action requested is a correction. When we have a major non-conformity, the action requested is a corrective action. In this case we need to remove the cause of the non-conformity.

An improvement opportunity is a suggestion for action, there is no request, no obligation to act.

The following material will provide you more information about non-conformities and audits:

- Article - Major vs. minor nonconformities in the certification audit (here you can find a good description of the difference between the two types) - https://advisera.com/27001academy/blog/2014/06/02/major-vs-minor-nonconformities-in-the-certification-audit/
- Article – How to write a good ISO 9001 audit nonconformity? - https://advisera.com/9001academy/blog/2018/04/24/how-to-write-a-good-iso-9001-audit-nonconformity/
- Free webinar on demand - How to perform an ISO 14001:2015 internal audit - https://advisera.com/14001academy/webinar/how-to-perform-an-iso-14001-2015-internal-audit-free-webinar-on-demand/
- Enroll for free in this course – ISO 14001:2015 Foundations Course - https://training.advisera.com/se/iso-14001-internal-auditor-course/o-14001-foundations-course/
- Book – The ISO 14001:2015 Companion - https://advisera.com/books/the-iso-14001-2015-companion/
 

 

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Jan 14, 2020

Jan 14, 2020

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