Assessing and Writing of Non-conformity

Assess Non-conformity

When assessing for non-conformity, these are the questions to ask:

• Is what the Auditor found a representative of a non-conformity?
• How confident of the Auditor's judgment is the Client?
• Are there sufficient facts to support the non-conformity?
• Will  this non-conformity result in a critical situation?
• Is this an isolated case of minor discrepancy?
• Does this non-conformity happen frequently?
• Are there too many non-conformity found?
• Does the non-conformity warrant a formal correction versus immediate actions?

Guide to Writing Non-conformity

During the writing of a non-conformity, the Auditor should observe the following guidance:

• Be Specific
• Confirm “Where” was the non-conformity found
• Confirm “What” regarding the names and numbers
• Confirm “Why” as per system or requirement
• Be sure that the facts are correct

Collect Evidence

The methods of collecting audit evidence of the respective BCM areas are:

• Interviews
• Examination of documents
• Observation of activities and conditions

Document Audit Observations

• Document conformity
• Document non-conformity, show objective evidence and reference the standard

Complete Findings Write-up Sheet

View more about Audit Working Paper

Record Non-conformity

• Give exact observation of facts
• Confirm “Where” it was found
• Confirm “Why” it is a non-conformity by citing the specific requirement
• Confirm “Who” was there
• Use local terminology
• Make it retrievable
• Make it helpful

Non-conformity Recommendations

These are the options the audit team may take upon completion of the audit. In this section, the recommendations are:

To register 

• No major non-conformities

Not to register

• Many major non-conformities

Hold registration, pending corrective actions

• Many minors major non-conformities
• May require re-visits

Complete internal audit covering all elements of BCMS

• At least one management review
• All majors and minors must be closed before recommending to submit for registration to be certified.

Resource

Goh, M. H. (2016). A Manager's Guide to Auditing and Reviewing Your Business Continuity Management Program. Business Continuity Management Series (2nd ed.). Singapore: GMH Pte Ltd.

Extracted from "Stage 3: Audit Review and Reporting"

Singapore Government Funding for BCM-8530 Course

The next section applied to Singaporean and Singapore permanent residents.  Click the button "Government Funding Available" to find out more about the funding that is available from the Singapore government.  This includes the CITREP+, SkillsFuture Credit and UTAP.

Find out more about Blended Learning BCM-8530 [BL-A-5] & BCM-8030 [BL-A-3]

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