Internal Audit - Issuance of Corrective Actions

J

jmiruzzi

#1
Issuance of Corrective Actions in an (internal) audit

Hello,
Our Quality Team has come across a question:

During and internal audit our audit team noted a corrective action based on requirements not met. The observation was noted in the "corrective action" section of our audit report. We have three other levels of observations: positive observations,audit observations and improvments notes. We submitted the audit report to the management of the auditee. We did not submit a separate corrective action report to analyze & address the corrective actions, but they were noted on the audit report. CA report and audit report are 2 separate forms.

Our question/debate is:
Whose responsibility (audit team or auditee management) to issue / initate the corrective action report? Understood that is is management's responsibility (of that area) to implement the CA, but we are discussing who is to submit the report (8D style) for response? Essentially, who is to write it up?

Thank You,
Jennifer Miruzzi
 
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C

C Emmons

#2
What does your internal audit procedure say? Does it address the responsibility for issuing corrective action? Personally speaking, (I am the MR and Lead Auditor for my company) IF I or a member of our audit team discovers an area requiring Corrective Action we initiate the request. We identified it - then we write it up.

Hope this helps.
 

Randy

Super Moderator
#3
C Emmons said:
What does your internal audit procedure say? Does it address the responsibility for issuing corrective action? Personally speaking, (I am the MR and Lead Auditor for my company) IF I or a member of our audit team discovers an area requiring Corrective Action we initiate the request. We identified it - then we write it up.

Hope this helps.
Yeah, what he said!!
 

Kevin Mader

One of THE Original Covers!
Staff member
Admin
#6
Jennifer,

Welcome to the Cove!!

By definition, the Lead Auditor is required to review the objective evidence gathered and issue the nonconformance (whatever the weight it will be). For the more serious nonconformances, the LA also issues a request for corrective action.

Keep in mind that there are three parties to the audit: the Auditee, the Auditor, and the Client. Only the Auditor can issue a request for corrective action based on an audit finding.

Regards,

Kevin :bigwave:
 
#7
jmiruzzi said:
Hello,
Our Quality Team has come across a question:

During and internal audit our audit team noted a corrective action based on requirements not met. The observation was noted in the "corrective action" section of our audit report. We have three other levels of observations: positive observations,audit observations and improvments notes. We submitted the audit report to the management of the auditee. We did not submit a separate corrective action report to analyze & address the corrective actions, but they were noted on the audit report. CA report and audit report are 2 separate forms.

Our question/debate is:
Whose responsibility (audit team or auditee management) to issue / initate the corrective action report? Understood that is is management's responsibility (of that area) to implement the CA, but we are discussing who is to submit the report (8D style) for response? Essentially, who is to write it up?

Thank You,
Jennifer Miruzzi
Yes! Welcome to the Cove!!! :bigwave: Based on what I read, the auditors develop the audit report and issue that to the management of the audited area. From there, it sounds like the management then issues the corrective action. This is common. A lot of companies treat the CA separate from the audit report.

Now, in your statement, you said that there was a corrective action not met. As an auditor, I would expect that this would be addressed in an audit of the corrective action process, not the internal audit process.

I'm not sure if that helps any.
 
R

Randy Stewart

#9
[/QUOTE]Randy, Randy, Randy
That's alright db, Cindy is in Columbus OHIO. You know where that other Big 10 University is, I think they call it Ohio State or something :vfunny:

Welcome to the cove - and yes I'm a Michigan Grad GO BLUE! So I understand your handicap. Just kidding.

IMO, it is the management auditee or MR that would be responsible to initiate the CA - dependant upon what your procedure or process spells out. The auditor should not be the one performing the investigation into the findings or writting up the corrective action. I wouldn't find anything wrong with it being done by committee, i.e. steering committee, management review team, etc. But you need 1 individual responsible with the right authority to see that something happens.
 
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