Internal Audit Report Nonconformance Follow Ups

Hi All,
Recently i have completed my Internal Audit Course and i have finished my 1st Internal Audit and as per report I have issued 4 NCR's to the related department. They have signed and same reports has been submitted to our MR also. Now MR is asking me to get Corrective Action and by which date related department is going to close NCR's information from related department and give it to him.
Is this a Internal Auditor OR MR responsibilty to get corrective action details and date from related department.
can someone guide me on this more.
thanks
rakesh

Re: Internal Audit Report Followup

It can vary from 1 company to another so check what your internal audit procedures says. I always encourage the auditor to discuss and agree this with the departmental manager where the N/C's have been raised.

As clause 8.2.2 states 'The management responsible for the area being audited shall ensure that actions are taken without undue delay ....'

On the other hand, if the N/C's were fairly far reaching, there may need to be involvement of other parties in finding the root cause of the problem.

rakesh tendulkar said:

Hi All,
Recently i have completed my Internal Audit Course and i have finished my 1st Internal Audit and as per report I have issued 4 NCR's to the related department. They have signed and same reports has been submitted to our MR also. Now MR is asking me to get Corrective Action and by which date related department is going to close NCR's information from related department and give it to him.
Is this a Internal Auditor OR MR responsibilty to get corrective action details and date from related department.
can someone guide me on this more.
thanks
rakesh

Click to expand...

I believe the MR should be asking the management of the department where you found the audit NCs. You did your job, you audited, found these items and reported them. Asking you to go and get corrective actions is abrogating the MR's responsibility. Didn't the MR explain to management that if they get and agree an NC, that they should use the CAR system to take and record actions? Your job is now only to wait until they tell you it's ready to be verified...

rakesh tendulkar said:

Hi All,
Recently i have completed my Internal Audit Course and i have finished my 1st Internal Audit and as per report I have issued 4 NCR's to the related department. They have signed and same reports has been submitted to our MR also. Now MR is asking me to get Corrective Action and by which date related department is going to close NCR's information from related department and give it to him.
Is this a Internal Auditor OR MR responsibilty to get corrective action details and date from related department.
can someone guide me on this more.
thanks
rakesh

Click to expand...

The submission of the corrective action of an internal audit is ownership of the audited area ( or process owner).
I think you have the internal audit procedure where you have documented the process in place for this.
So, my advice is to follow whet your oganizations has set for the internal audit activity.
I think you have set a time frame within which the audited area shalle respond with the corrective action plan , including times and response coordinator.

rakesh tendulkar said:

Hi All,
Recently i have completed my Internal Audit Course and i have finished my 1st Internal Audit and as per report I have issued 4 NCR's to the related department. They have signed and same reports has been submitted to our MR also. Now MR is asking me to get Corrective Action and by which date related department is going to close NCR's information from related department and give it to him.
Is this a Internal Auditor OR MR responsibilty to get corrective action details and date from related department.
can someone guide me on this more.
thanks
rakesh

Click to expand...

Hi Rakesh,
It depends on your system. Normally, in our end it is the responsibility of the of the Department Manager being audited to submit the necessary corrective action for the affected NCR. Furthermore, they should submit it without undue delay that's why we require them to answer the said NCR within 5 working days otherwise it will tagged as Unreturned NCR and follow-up will come from the Internal Auditor issuing the NCR. In some cases, it is the responsibility of the QMR to follow-through the follow-up of the Internal Auditor to strengthen the action.
Hope this helps.
Best regards,
Raffy

The only question here is "does the person have the authority" to say who does or who does not have to perform a task. Either they do or don't and other than that nothing else really matters