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Assurance essentials #4 - ASI Assessment Findings
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- 2. Are results ofan evaluation against assessment criteria. ASSESSMENT FINDINGS Assurance Services International
- 3. Assurance Services International WHATARE 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 HOWDO 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 Aftereach 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 WHATARE 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 HOWDO 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 HOWDO 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 HOWDO 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 Getin 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 DESKREVIEW 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