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New Finding / Observation Form (Step 1 of 2)

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Description

This form is used to Create Findings / Observations. This is the first of two steps used to create a new Finding / Observation.

A Finding is a deficiency, nonconformity, or observation as the result of an audit, inspection, internal review, program manager action, etc. An Observation is any item that the auditor wants to document for the purposes of greater visibility and / or planned actions (such as making it a best management practice, incorporating it as a success story, etc.).

Once created and saved, the Finding / Observation goes through an Assignment, a Resolution, and a Closure phase. The organization’s lead POC is in charge of naming the Finding / Observation and assigning it to a Finding / Observation POC (typically a Media Manager) that is in charge of ensuring the Finding / Observation is resolved. Depending on the type of evaluation that led to the Finding / Observation, a POAM may be required as well as a CAPA as part of the Resolution phase. The organization’s lead POC is responsible for closing the Finding/Observation or determining that it was not properly resolved and reassigning it.

Note: Findings/Observations can only be managed by and/or assigned to people that have an EMSWeb user account. Contact your Organization Administrator if a New User needs to be added to the system.

Definitions

  1. Finding: A Finding is a deficiency, nonconformity, or observation as the result of an audit, inspection, internal review, program manager action, etc.
  2. Observation: An Observation is any item that the auditor wants to document for the purposes of greater visibility and/or planned actions (such as making it a best management practice, incorporating it as a success story, etc.). Unlike a finding, there is no deficiency or nonconformity; observations are generally a positive acknowledgement.
  3. Evaluation Type: Type of evaluation (Compliance Audit, EMS Audit, Inspection, or Other)
    • Compliance Audit: An environmental compliance audit is a comprehensive, systematic, documented evaluation that is designed to find and fix environmental violations. It includes not only a compliance review, but regular reporting requirements and schedules for correcting problem areas discovered during the audit. A compliance audit template typically uses a compliance checklist. When filling out a compliance checklist, the options to answer the questions are Yes, No, and N/A.
    • EMS Audit: A EMS audit template typically uses a EMS checklist. When filling out a EMS checklist, the options to answer the questions are Conform and Nonconform and N/A
    • Inspection: An Inspection is a review of the environmental program that may result from a regulatory agency, internal personnel, or a higher echelon command. An Inspection typically uses a compliance or general (simple) checklist.
    • Other: Evaluation Types that are not Compliance Audits, EMS Audits, or Inspections
  4. Form Type: This dropdown list controls the Type of Finding Form (the number of required fields) used for creating a new Finding / Observation. The selection should be associated with the applicable type of Checklist Template (General, Compliance Audit, EMS Audit) or assessment (Other, Observations, or no checklist available).
    • With checklist details (general checklists): This Finding / Observation Form Type is used for Findings associated with a General Checklist Template (typically used for internal inspections).
    • With Team Guide details (compliance audits): This Finding / Observation Form Type is used for Findings associated with Compliance Audits.
    • With checklist details (EMS audit checklist): This Finding / Observation Form Type is used for findings associated with EMS Audits.
    • Other, Observations, no checklist available: This Finding / Observation Form Type is used for Observations and/or any Findings that don't fit into the first three types.
  5. Organization: Name of the Organization where the Finding or Observation information was originally inputted into EMSWeb.
  6. I am evaluating: Type of data that is being evaluated (Not related to EMS Data, Location, Practice, or Equipment / Resource)
    • Location: A Location can be a Building or an Area. A Building is a physical structure that is located at a fixed place. Most Locations are typically Buildings. A Location is an Area if it is not a physical structure and covers an area. Area examples include golf courses, runways, wetlands, etc.
    • Practice: A process, action, or function with environmental aspects that can have an impact on environmental resources. Practices may impact other resources as well. Practices include the unit processes used to complete mission functions (e.g., degreasing of parts, oil and lubricant changes, battery recharging, refrigerant capture and replacement to support vehicle maintenance, etc.) and their associated physical controls (e.g., berms, oil/water separators, or alarms). A practice often includes multiple processes, personnel, equipment, and materials.
    • Equipment/Resource: A piece of equipment or a resource that is used to support a practice.
    • Not related to EMS data: This evaluation is not related to any EMS data.