Category of Non-conformity

Category for Non-conformity (NC)

A non-conformity is serious in nature. It is the absence of, or the failure to implement and maintain one or more required elements within the ISO22301 Business Continuity Management System (BCMS), or a situation which would, on the basis of available objective evidence, raise significant doubt as to the quality of what registration the customer is supplying.

These include Major and Minor NCs; Findings, Observations, and Opportunities.

An assessment team may judge such minor non-conformity against a single quality system element to be a significant breakdown of a BCMS element.

Non-conformity refers to a failure to comply with requirements. The conditions for non-conformance exist because:

• The BCMS or BCM program does not comply with the standard, procedure or other requirements
• The performance does not comply with the BCMS
• The performance is not effective
• The categories are major, minor, findings, observations and opportunities

[1] Major Non-conformity

Major non-conformity is the absence of a BCMS requirement or the total breakdown in its ability to meet a requirement. Major non-conformity occurs when there is:

• An absence of a BCMS requirement or the total breakdown in its ability to meet a BCMS Standard requirement.
• Some minor non-conformities against one requirement can represent a total breakdown of the BCMS and thus be considered a major non-conformity.
• Any non-compliance that would result in the probable delivery of a non-conforming BC Plan.
• A condition that may result in the failure or materially reduce the usability of the BC Plan for its intended purpose.
• A non-compliance that judgment and experience indicate is likely to either result in the failure of the BCMS or to materially reduce its ability to assure controlled BC Plan processes.
• A portion of the BCM standard not addressed
• Any factor that may lead to a delay of a non-conforming BCM program or BC Plan
• Exists not an isolated case but rather a consistent non-compliance to BCM standard

[2] Minor Non-conformity

A minor non-conformity is a failure to comply with a BCM requirement which is not likely to cause a failure in the BCMS. Usually, this is a result of a significant number of minor non-conformances, indicating system weakness.

A Minor non-conformity is either:

• A BCM Standard non-conformity that judgment and experience indicate is not likely to result in the failure of the BCMS or reduce its ability to assure controlled BC Plan processes.
• A failure in some part of the documented BCMS about the BCM Standard, or
• A single observed lapse in following one item of the company's BCMS.

However, when an Auditor raises three to five minor non-conformity in one element of the BCM program or BC Plan procedure, this non-conformance may be reclassified as a major non-conformance.   The guide to upgrading the three to five minors to a major non-conformance is to ask whether an organization is less than 150 staff strength. For larger organizations, there more minors can be tolerated compared to smaller organizations. Often, this decision by the Auditors can be somewhat subjective.

[3] Findings

Findings are pertinent statements of fact derived from the audit process. This may be a result of an isolated incident or a minor problem; the concerns need to be rectified and addressed.

[4] Observations

Observations are items of objective evidence found during an audit. Observation is essentially an opinion. These are seen as opportunities for improvement for a Client.

[5] Opportunities

This is neither a major nor minor non-conformity. It is used to document items that may assist a customer in improving. There may or may not be a need to document these points.

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 "Chapter 6: Stage 3: Audit Review and Reporting"

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