# Grading Findings

## Definitions

| Grade | Criteria (ISO/IEC 17021-1 and common CB practice) |
|-------|---------------------------------------------------|
| Major nonconformity | Affects the capability of the management system to achieve intended results: absence or total breakdown of a required process; product nonconforming to requirements shipped as a result of a system failure; a requirement not addressed at all; several minors against the same requirement showing a systemic failure |
| Minor nonconformity | A single, isolated lapse that does not affect the system's capability to achieve its intended results |
| Opportunity for improvement | No requirement broken; a weakness or risk worth considering |

IATF 16949 (Rules 6th ed.) adds to major: nonconforming product likely shipped, a condition that may result in
failure or reduce usability, and a minor not effectively corrected by the next audit. AS9100 / IAQG 9101 uses
similar definitions with an emphasis on product safety and conformity.

## Decision questions

```
Is a requirement (standard, customer, legal, own procedure) not met?    no  -> OFI (or no finding)
  yes
Is the required process absent, or has it completely broken down?     yes -> major
Did nonconforming product reach the customer because of it?           yes -> major
Is it the same failure in several places or repeated from last audit? yes -> major (systemic)
                                                                       no  -> minor
```

## Evidence vs grade examples

| Evidence | Grade |
|----------|-------|
| 1 of 8 gauges overdue, no product impact | minor |
| No calibration system; gauges never calibrated | major |
| 1 order of 6 without review | minor |
| No internal audits performed since certification | major |
| Management review held but supplier performance input missing | minor |
| No management review in 18 months | major |
| Same overdue-calibration minor raised at the last two audits | major (ineffective correction) |

## Consequences of the grade

| Grade | Typical response time | Verification |
|-------|----------------------|--------------|
| Major (certification audit) | Correction and corrective action before certification, usually within 90 days | Evidence review or follow-up visit |
| Minor | Action plan within 30 days | Next audit |
| Internal audit NC | As set in the audit procedure (e.g. 30 days plan, 90 days close) | Follow-up by the auditor |

Grade on evidence, not on how the auditee reacts. Downgrading to avoid conflict hides real risks; upgrading to
make a point destroys trust in the audit programme.