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:
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:
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:
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.
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.
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.
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.
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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