N.Law & Associates Company Limited

No. Q-019 -- Audit Techniques (No. 1)

Q :

I had finished an audit certification audit recently and encountered a couple of
questions that I would like to consult with you:

1. Management System Standard requires Management Review to be convened,
but the Auditee’s manual/procedure has no mention of it and they also have never
conducted it since the System effective date. Should I count it as at least a MINOR
Nonconformity because there is no mention of this requirement in their document?

2. Management System Standared requires Education Requirements for
Employees but the Company’s procedure has no mention about it. Should I count
it as a MINOR Nonconformity because there is no mention of this requirement in
their document?

 
A :

1. No matter which Management System Standard the Company is using,
obmission of Management Review is always a MAJOR Nonconformity. In the
case of a Certification Audit, the Company fails.

2. It depends on whether there is explicit requirement in the Standard for a
Company to define it in a document (such as a procedure). If yes, then it should be
a Nonconformity.

 
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