Findings and corrective actions

A failed or inconclusive control test can lead to a finding. The finding records severity, opening date, description, assessment and control. The source test remains available for the reviewer to inspect. The correction belongs in a separate corrective action with its own owner, due date, evidence and status. This separation keeps the observed problem distinct from the work proposed to resolve it.

The finding workflow refuses a pass or pending test. The remediation workflow assigns an action and places the finding in action planned. The action owner may move the action through planned, in progress and submitted. Their update cannot mark the action verified or close the finding. Closure belongs to a later independent retest.

• Severity. Agree how the team applies low, medium, high and critical to construction compliance issues.
• Due date. Set a correction deadline the owner can act on and the manager can monitor.
• Evidence. Decide what completion evidence must be submitted before a reviewer retests.

The Finding Owner and Compliance Manager should rehearse how this work is assigned and reviewed. Agree which organization and business unit own the first case, who may update it, and where its supporting evidence lives. Set a clear handoff when the person preparing the record is different from the person checking its outcome. Use the same rule for routine work and exceptions so an urgent item does not lose its owner or history.

For the pilot, use a failed test whose assessment and control are clear. Agree how its severity is chosen, who owns correction and when the action is due. The owner should submit evidence without changing the finding to closed; the Independent Reviewer needs that original test when retesting.

Use a failed control test with a clear exception description. Register the finding, then assign a corrective action with an owner and due date. Have that owner submit evidence of completed work. The action should appear in the reviewer’s queue while the finding remains open for independent checking. Try to close the finding through an owner status update; it must not work. A second request using the same operation key should resolve to the original finding or action.

Open Open findings and check that the severity, assessment and control match the failed test. In Corrective actions awaiting retest, confirm that the submitted action has an owner, due date and evidence. The finding should stay open until the independent reviewer records a passing retest.

• Open findings — Unresolved findings grouped by assessment, control and severity.
• Corrective actions awaiting retest — Submitted corrections ready for a separate reviewer.

See the related process for the stage-by-stage handoff. Use the data model to inspect the record relationships and implementation to plan the first rehearsal.