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Reporting nonconformity regardless of the audit assignment....


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#1 mind over matter

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Posted 06 May 2011 - 05:50 AM

I’m not sure if it is a good idea to raise a theoretical question but I want to raise this just out of curiosity. This is an internal audit scenario.

One auditor was assigned to audit the laboratory area. He passed through the Production area going to Laboratory and by chance sees nonconformity.
I suppose this could happen.

My question - Is an internal auditor obligated to report nonconformity found in other area not assigned to him/her?


Edited by mind over matter, 06 May 2011 - 06:05 AM.


#2 GMO

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Posted 06 May 2011 - 05:55 AM

I would say 'yes'. I normally write into the internal audit procedure that other areas of non conformity should be reported even if not part of the scope of the audit.

The only exception I make is health and safety, not because I wouldn't report an issue I saw, I just wouldn't put it onto the audit report. So, for example, if I saw a fire exit blocked, I would ask for it to be cleared immediately and report it through the hazard reporting procedure but I wouldn't report it on my audit report as it's easy to get distracted.



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#3 Simon

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Posted 06 May 2011 - 06:39 AM

Definitely yes…only a bureaucrat would say no.


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#4 Dr Ajay Shah

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Posted 06 May 2011 - 08:28 AM

I would most definitely document it and report it, so that at Mangement Review this can be brought up and actioned ASAP. I would also report occupational Health and Safety issues on the audit report as these are important too as one has a duty of care.


Edited by Dr Ajay Shah, 06 May 2011 - 08:30 AM.

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#5 Gourav

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Posted 07 May 2011 - 04:57 AM

I’m not sure if it is a good idea to raise a theoretical question but I want to raise this just out of curiosity. This is an internal audit scenario.

One auditor was assigned to audit the laboratory area. He passed through the Production area going to Laboratory and by chance sees nonconformity.
I suppose this could happen.

My question - Is an internal auditor obligated to report nonconformity found in other area not assigned to him/her?



Obviously yes.
That is whole idea of internal audit. Let us have as many as possibles NCs on teh the table so that approprite action can be taken to resolve them. These technicalaties that reporting NC of production while passing through/or while in lab shoudl be left for third party audits.
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#6 encee98

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Posted 10 May 2011 - 01:43 PM

I’m not sure if it is a good idea to raise a theoretical question but I want to raise this just out of curiosity. This is an internal audit scenario.

One auditor was assigned to audit the laboratory area. He passed through the Production area going to Laboratory and by chance sees nonconformity.
I suppose this could happen.

My question - Is an internal auditor obligated to report nonconformity found in other area not assigned to him/her?


An internal auditor is obligated to report a nonconformity. In our practice though, the auditor who observed the nonconformity would refer it to the auditor who was assigned to the area in question so that the latter can raise the NC.

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#7 RMAV

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Posted 26 May 2011 - 04:47 AM

What is the goal of the quality/safety system? Prevent bad product from 1. being created, and 2., if #1 somehow fails, prevent bad product from leaving the facility. To that end, the system does not care who or under what circumstances a nonconformance is identified. In my opinion, even an outside contractor fixing the lights should have the authority to report a nonconformance they observe.

Each system and each company is a little different. If I were the internal auditor in question, I would maintain the scope of the audit but report the nonconformance preferably on a separate Corrective Action report or whatever is in your system. I might even note it on my audit report, but only briefly and move on. One of the last things you want in your internal audit program, in my opinion, are audits that do not maintain the scope and go off in all different directions. For one, if the audit goes off in other directions, is the laboratory in this example getting a fair and sufficiently thorough audit? Another reason is when a future auditor reviews the previous audit(s) they need a focused report to help them effectively evaluate the state of the laboratory at the time of the last audit so their current audit (with follow-ups) can be effective and focused.






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