ISO AUDITOR Reporting, Nonconformities & Corrective Actions 2 — Questions and Answers
Question 1: During an audit, the auditor finds that a procedure exists but is inconsistently followed by some operators. How should this be classified?
- Observation only, not a nonconformity
- Major nonconformity because the procedure is documented
- Nonconformity because conformance to the documented procedure is required (Correct answer)
- Opportunity for improvement since some operators do follow it
Correct answer: Nonconformity because conformance to the documented procedure is required
ISO 9001 requires that documented procedures be followed, so inconsistent adherence constitutes a nonconformity.
Question 2: What is the primary purpose of a corrective action request (CAR) in the context of ISO 9001 auditing?
- To formally document audit findings for the report
- To assign responsibility for fixing a detected problem and preventing recurrence (Correct answer)
- To notify top management of all audit results
- To request additional audit time from the client
Correct answer: To assign responsibility for fixing a detected problem and preventing recurrence
A CAR is issued to ensure both correction of the nonconformity and implementation of actions to prevent its recurrence.
Question 3: An auditor discovers a nonconformity late in the closing meeting. What is the correct course of action?
- Discard it because the audit is essentially over
- Include it in the audit report without prior discussion
- Present it to the auditee at the closing meeting before finalizing the report (Correct answer)
- Carry it forward to the next scheduled audit
Correct answer: Present it to the auditee at the closing meeting before finalizing the report
All findings, even those discovered late, must be communicated to the auditee at the closing meeting before the report is finalized.
Question 4: Which element is NOT typically required when documenting a nonconformity in an audit report?
- Reference to the applicable ISO 9001 clause
- Objective evidence supporting the finding
- The auditor's recommended corrective action solution (Correct answer)
- A clear statement of what requirement was not met
Correct answer: The auditor's recommended corrective action solution
Auditors document nonconformities with evidence and clause references but do not prescribe specific solutions—that is the auditee's responsibility.
Question 5: Under ISO 9001, when must an organization evaluate the need for corrective action after a nonconformity occurs?
- Only when the nonconformity results in a customer complaint
- Immediately after the nonconformity is detected, in all cases (Correct answer)
- Only for major nonconformities identified in external audits
- After three occurrences of the same nonconformity
Correct answer: Immediately after the nonconformity is detected, in all cases
Clause 10.2 requires that the need for corrective action be evaluated immediately upon detection of any nonconformity.
Question 6: What does 'objective evidence' mean in the context of audit reporting?
- Evidence collected from management interviews only
- Data or information that can be verified, based on facts obtained through observation or measurement (Correct answer)
- The auditor's professional judgment about a situation
- Documentation provided voluntarily by the auditee
Correct answer: Data or information that can be verified, based on facts obtained through observation or measurement
Objective evidence is verifiable, factual information collected through observation, measurement, or records—not subjective opinion.
Question 7: After issuing a nonconformity, the auditee provides a corrective action plan within the agreed timeframe. What should the auditor do next?
- Automatically close the nonconformity once the plan is received
- Verify implementation and effectiveness of the corrective action before closing (Correct answer)
- Reopen the audit to conduct a full re-audit of the area
- Accept the plan only if it matches the auditor's suggested solution
Correct answer: Verify implementation and effectiveness of the corrective action before closing
Corrective actions must be verified for both implementation and effectiveness before a nonconformity can be formally closed.
ISO AUDITOR Reporting, Nonconformities & Corrective Actions 2
During an audit, the auditor finds that a procedure exists but is inconsistently followed by some operators.
How should this be classified?