Find out more about how ASI Assessment findings are identified and managed.

1. Assurance
Essentials
#4 assessment findings
www.asi-assurance.org

2. Are results of an evaluation
against assessment criteria.
ASSESSMENT FINDINGS
Assurance Services International

3. Assurance Services International
WHAT ARE
ASSESSMENT
FINDINGS?
ASI conducts different types
of assessments and
investigations with Conformity
Assessment Bodies (CABs).
We routinely check CAB
performance against
assurance requirements.

4. Assurance Services International
Nonconformities (NCs) - a non-fulfilment of a requirement, categorised as minor or major.
Compliance follow-up - identified only at compliance assessments where ASI identifies an
issue at the certificate holder level not related to the CAB’s performance.
Opportunity for improvement - a requirement has been met but the CAB’s performance or
implementation may be improved upon.
The results and collected evidence from these evaluations are raised as assessment findings,
ASI has three types:

5. Assurance Services International
HOW DO WE DOCUMENT THEM?
WE USE PRINCIPLES TO WRITE OUR ASSESSMENT FINDINGS
Clarity
Clear presentation
of the finding and
evidence.
Transparency
Include all necessary
information to
understand what the
finding is about, why
it was raised and how
it was evidenced.
Accuracy
Clear explanation of
what is not in
conformity with the
requirement or what
needs further
improvement.
Verifiability
Include all
information to fully
understand and
evaluate a finding.
Relevance
Findings are relevant
to the requirements
within scope of the
evaluation.

6. Assurance Services International
After each evaluation the assessor
will issue a summary of the findings.
The CAB can file errors of fact
before the final report is dispatched.
All reports undergo a technical
review and sign-off process before
they are finalised to ensure correct
interpretation and consistency.
NCs may be graded as major or
minor. Major may apply to several
factors such as the NC has persisted
over time, is repeated or there is a
systemic failure of the CABs
management system.

7. Assurance Services International
WHAT ARE THE
OUTCOMES?
CABs are requested to respond within
specified timelines. For NCs CABs
submit a root cause analysis (RCA),
correction and corrective action. RCA is
our preferred tool to determine the root
cause of a problem, its extent and scale.
Major nonconformities have to be closed
within three months from the report
date. Minors within 12 months..

8. Assurance Services International
HOW DO WE
FOLLOW UP?
A reviewer checks the RCA and the
CABs evidence to ensure effective
implementation of the corrective
actions.
If timelines are not met or the
evidence is not enough - ASI may
upgrade or sanction a CAB until the
matter is resolved.

9. Assurance Services International
HOW DO CABS AND
SCHEMES BENEFIT?
Findings help CABs to comply with
requirements and support
improvements to their performance
overtime.
Scheme owners have assurance that
CABs are competent. They gain
insights into CAB performance and
how well standard requirements are
implemented on the ground.

10. Assurance Services International
HOW DO WE
USE
ASSESSMENT
FINDINGS?
Every year we review all findings
alongside other information
(complaints, incidents, stakeholder
input, CAB changes and trends) as
part of a CAB performance review. It
helps us to understand where the
CAB is performing well, what
improvements are needed and what
sampling is required.
Minor NC
62.1%
Opportunity for improvement
24.5%
Major NC
12.9%
Compliance follow-up
0.5%
Total findings raised in 2020

11. Assurance Services International
Get in touch.
+49 (228) 227 237 0
asi-info@asi-assurance.org
CAB training.
Take one of our courses on root
cause analysis.
Strategize with us.
We can support the
development of your oversight
program.
Ready to work together?

12. Assurance Services International
DESK REVIEW
Review of documents and documented
procedures against program
requirements.
OFFICE
Assessment of the CAB's abilities and
available resources to credibly deliver
the certification activities.
COMPLIANCE
Assessment of a certificate holder to
evaluate the compliance of a CAB's
certification processes and management
system.
WITNESS
Monitoring and evaluating CABs carrying
out certification services within their
scope of approval.
Assessment types