Guest user Created: Jun 26, 2018 Last commented: Jun 26, 2018

Determining causes in internal audits

"We are a multi-site organisation with ISO 9001 systems and a team of internal quality auditors. The internal auditors obviously check implementation against the system and raise NCRs where there are shortfalls. This is done using a Corrective Action Request (CAR) and the form specifies what requirement hasn’t been complied with. The auditee is then asked to identify the root cause and corrective actions. We have had a comment that the internal auditor should identify the root cause / corrective action. I struggle with this because the detail of why it wasn't complied with is only truly understood by the auditee. Q. Is it correct to place the responsibility onto the manager to find root cause etc OR should it be done by the internal auditor do this OR both?”

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Carlos Pereira da Cruz Jun 26, 2018

Answer:

And I am with you in that struggle!!! The auditor should not identify root causes or determine the corrective action. By doing that the auditor loses its independence and objectivity. Now the auditor is responsible for the corrective action. Imagine that the correc tive action is implemented correctly but the non-conformance still continues to happen, what will be its position?

Finding the root cause and determining the corrective action should be manager’s responsibility. Your internal auditors can approve or disapprove, before starting the implementation, but never substitute managers.

The following material will provide you information about internal audits:

- ISO 9001 – 13 Steps for ISO 9001 Internal Auditing using ISO 19011 - https://advisera.com/9001academy/knowledgebase/13-steps-for-iso-9001-internal-auditing-using-iso-19011/
- How to deal with nonconformities in an ISO 9001 certification audit - https://advisera.com/9001academy/blog/2015/06/09/how-to-deal-with-nonconformities-in-an-iso-9001-certification-audit/
- free online training ISO 9001:2015 Foundations Course – https://advisera.com/training/iso-9001-foundations-course/
- book - Discover ISO 9001:2015 Through Practical Examples - https://advisera.com/books/discover-iso-9001-2015-through-practical-examples/

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Jun 26, 2018

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