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New Finding / Observation Form – Edit General Information (Step 2 of 2)

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Description

This form is used to Create Findings / Observations or Edit Findings / Observations. This is the second of two steps used to create a new Finding / Observation. This is also the form used to edit existing Findings / Observations.

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 ID: the unique computer generated number that identifies this specific Finding / Observation; Finding IDs contain "F" for Finding or "O" for Observation
  2. Organization: Name of the Organization where the Finding or Observation information was originally inputted into EMSWeb.
  3. Finding Form Type: Type of Checklist Template (General, Compliance Audit, EMS Audit) or assessment (Other, Observations, or no checklist available) associated with the Finding / Observation
  4. Evaluation Title: Name of the Evaluation
  5. Internal Evaluation: An internal evaluation occurs with auditors from within the EMS Appropriate Facility.
  6. External Evaluation: An external evaluation is one whose auditors come from outside the scope of the EMS Appropriate Facility.
  7. POC: The person responsible for managing the resolving of the Finding. If the Finding requires a formal review prior to closure, the POC can forward the Finding to the Auditor for closure. If the Finding does not require a formal review, the POC can resolve and close out the Finding.
  8. Auditor: The Auditor assigned to the Finding is responsible for assigning the Finding to a POC for implementation. The Auditor determines if the Finding requires a POAM, and whether or not a review is needed for closure (which is performed by the Auditor). A Navy Qualified EMS Auditor is one who has successfully completed an ANSI-RAB accredited EMS Lead Auditor training course or the Navy’s Civil Engineer Corps Officers School (CECOS) “Conducting EMS Reviews” training course. Navy Qualified EMS Auditors may be staff, other DoD components, other Federal Agencies (outside of DoD), and/or private consultants. Personnel conducting external EMS audits must be outside the scope of the subject EMS.
  9. Date Observed: Date this Finding / Observation was observed
  10. Subject: Subject of the Finding / Observation
  11. Finding Type: This drop down menu is used to classify the Finding. Options include EMS, Compliance or Class I-IV.
    • Class I: Major Federal Finding: If you want to categorize by Class, you can do so using the Class I-IV system; otherwise you can select Compliance or EMS. Class I is identified as a Federal or state finding that is serious in nature. For example, there could be significant harm to health or the environment. A potential NOV could be given to the organization because of this finding. An example would be lack of a required permit.
    • Class II: Minor Federal Finding: If you want to categorize by Class, you can do so using the Class I-IV system; otherwise you can select Compliance or EMS. Class II is identified as a Federal or state finding that is minor in nature such as leaving a lid off a drum. This finding would not cause a serious health threat or would cause minimal regulatory concern.
    • Class III: Minor Policy Finding: If you want to categorize by Class, you can do so using the Class I-IV system; otherwise you can select Compliance or EMS. Class III is identified as a finding against Executive Orders, DoD, or Navy policy or instruction.
    • Class IV: Best Management Practice: If you want to categorize by Class, you can do so using the Class I-IV system; otherwise you can select Compliance or EMS. Class IV is identified as an observation or best management practice that will enhance the environmental program if implemented.
    • Compliance: Compliance means conforming to a rule, such as a specification, policy, standard or law. Regulatory compliance describes the goal that agencies aspire to in their efforts to ensure that personnel are aware of and take steps to comply with relevant environmental laws and regulations. If you want to categorize by Compliance/EMS, then select Compliance or EMS. Otherwise, you can select by Class I-IV.
    • EMS: Environmental management system (EMS) refers to the management of an organization’s environmental programs in a comprehensive, systematic, planned and documented manner. It includes the organizational structure, planning and resources for developing, implementing and maintaining policy for environmental protection. If you want to categorize by Compliance/EMS, then select Compliance or EMS. Otherwise, you can select by Class I-IV.
  12. Finding Category: The Finding Category indicates the severity of the Finding (Major, Minor) for noncompliances, as well as Noteworthy Practices and Observations (which can be positive).
    • Major: A major non-compliance is a failure to comply with an environmental requirement that is required by regulation, or for overseas installations, the applicable final governing standards. A major non-conformance is the absence or total breakdown of an element to meet an EMS requirement, or a number of minor nonconformities against one requirement (A non-conformance that is likely to result in the failure of the EMS).
    • Minor: A minor non-compliance is a failure to comply with an environmental requirement that is not required by regulation, or for overseas installations, the applicable final governing standards. A minor non-conformance is a failure in some part of the documented EMS or a single observed lapse in conforming to one requirement of the EMS that is not likely to result in failure of the EMS.
    • Noteworthy Practice: A noteworthy practice is an EMS strength recognized by the audit team.
    • Observation: A Compliance Observation/Recommendation meets regulatory or policy requirement, but is noted as a practice that could be improved through the use of best management practices. An EMS Observation/Recommendation meets the EMS Criteria, but is noted as a concern by the auditors that could lead to an environmental system weakness.
  13. Locality: Location of the Finding / Observation
  14. Related Media: Media that is related to the Finding / Observation
  15. Checklist Name: Name of the Checklist that is associated with the Finding / Observation
  16. Related Location: Location that is related to the Finding / Observation
  17. Related Practice: Practice that is related to the Finding / Observation
  18. Related Asset: Equipment / Resource that is related to the Finding / Observation
  19. Item ID: the question number or unique identifier of the requirement on the Compliance Audit Checklist or EMS Audit Checklist associated with this Finding / Observation
  20. General Reference: The General Reference indicates a rough categorization of the regulation that is responsible for the existence of the finding.
  21. Citation Code: The Citation Code is the unique identifier for the regulation or relevant environmental reference. If the Finding is linked to a Checklist that contains the ListBuilder Item ID Code, then the ListBuilder Item ID Code will automatically populate the Citation Code field.
  22. Requirement (Checklist Item) : Question / Item on the Checklist that is associated with the Finding / Observation
  23. Description/Synopsis: a descriptive summary of the Finding / Observation
  24. Suggested Solution: a description of the recommended method to remedy the Finding / Observation
  25. Summary/Other Comments: any other relevant information or comments