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I am not sure how to report the number of NCs detected during an audit. e.g.
Case-1: There were 3 different types of problems in a document - it had wrong version details, it wasn't reviewed for adequacy for long and it contained wrong references. Are there 3 NCs in all? How many CARs to be issued?
Case-2 : There are 3 sections under the same process owner (deptt. head) while each maintaining separate sets of documents. In an audit, same problem was detected in all the 3 sections. Do we report 3 NCs?
Case-3 : A new requirement was recently introduced and it was to be implemented (including document change) by all the 20 departments in an organization. Half of the owners ignored it and during their internal audits, all the 10 defaulting deptts. were caught and booked by the auditors for failing to implement this particular requirement. How many NCs to be reported to Top Management?
There may be other similar (real life) scenarios. How Internal Auditors generally report such instances and in what form it is reported to the top?
Valuable thoughts appreciated.
Thanks in advance
Case-1: There were 3 different types of problems in a document - it had wrong version details, it wasn't reviewed for adequacy for long and it contained wrong references. Are there 3 NCs in all? How many CARs to be issued?
Case-2 : There are 3 sections under the same process owner (deptt. head) while each maintaining separate sets of documents. In an audit, same problem was detected in all the 3 sections. Do we report 3 NCs?
Case-3 : A new requirement was recently introduced and it was to be implemented (including document change) by all the 20 departments in an organization. Half of the owners ignored it and during their internal audits, all the 10 defaulting deptts. were caught and booked by the auditors for failing to implement this particular requirement. How many NCs to be reported to Top Management?
There may be other similar (real life) scenarios. How Internal Auditors generally report such instances and in what form it is reported to the top?
Valuable thoughts appreciated.
Thanks in advance
