CIP-003_Workbook_10152019

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Notes:

Four Main Compliance Findings Categories

NF (No Finding)

The audit team did not discover areas of non-compliance, based on the evidence presented by the audited entity and reviewed by the audit team.

PV (Possible Violation)

Referred to as an “Observation” until post-audit quality assurance management review. Auditors found evidence of non-compliance.

OEA (Open Enforcement Action)

A previously discovered (e.g., Self-report, previous audit) violation is in process of remediation. Auditors found no evidence of non-compliance beyond the existing violation.

NA (Not Applicable)

Compliance was not assessed; the Requirement was not in scope

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