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An NC is a record of a significant deficiency found during an Audit. An NC usually initiates an in-depth investigation into the surface and underlying causes of the NC in order to implement a resolution and to prevent recurrence of the NC. Remedial Action may be implemented as an interim solution, depending on the definition and implementation of a permanent corrective action.

In Compliance Checkpoint, a variety of mechanisms exist to facilitate the raising and resolution of NCs:

1.An NC may be raised against the Audit as a whole from the Audit Summary page. Any number of NCs may be initiated against an Audit.

2.An NC may be generated manually during an Audit by clicking a button on the Audit Questionnaire and completing the relevant details. Some information is transferred to the NC from the Questionnaire automatically, and vice versa (as configured). Multiple NCs can be raised per question.

3.An NC may be created automatically by setting properties for each question response item in the Questionnaire. When a specific response is selected, the NC is automatically raised.

4.An NC may also be initiated outside the Audit process, from the Entities page. In this case, the NC is maintained against the Entity record rather than against the Audit.

Mechanisms exist for the reporting of NC's and for the notification of internal and external parties as to the existence of the NC and the need to provide a response. Notification rules can be set up on a variety of process flow criteria.

Compliance Checkpoint also includes a mechanism for the external, online updating of NC data (Remedial and Corrective Action, cause investigation, etc.) via a secure web portal. Access details are sent by email to those responsible for resolution of the NC.