Audit Findings

PJR Clients have every right to reject an auditor's poorly written finding(s). If the auditor does not clearly explain what in the client's system failed, then it should be rejected at the closing meeting. Only once it is re-written by the Lead Auditor in a way that clearly identifies the system failure, should the client accept it.

Please use the following criteria to determine if the finding issued to your organization is acceptable:

  1. Does it possess the following three distinct parts?
    1. Statement of nonconformity (description of the system failure)
    2. Requirement (reference to the audit criteria not being fulfilled)
    3. Objective evidence (what evidence was observed to substantiate the nonconformity?)
  2. Is the finding written as a system problem or does it only address a symptom of a problem? (Symptoms are usually expressed in terms of a single person or incident) You should not accept "symptom findings!"

Test Your Understanding

Let's look at the following two scenarios, which involve common everyday situations.

You probably use Root Cause Analysis and Corrective Action to solve problems in your everyday environment without even knowing it! No matter what the situation, the same rules apply. Correction can only last for so long; taking corrective action will ensure that the problem doesn't reoccur!

Correction and Corrective Action: What is the difference?

A correction is an action taken to eliminate a detected nonconformity (i.e. to fix the specific incident the auditor saw). It may be a rework, for example. A corrective action is an action taken to eliminate the cause of a detected nonconformity. It is usually a permanent change to a process to prevent reoccurrence of the problem.

Read the scenarios on the following pages. Each scenario has two examples of Root Cause Analysis and Corrective Action. One example includes Root Cause Analysis (RCA) and Corrective Action (CA) that would be accepted by PJR, the other example includes RCA and CA that would not be accepted by PJR. If you would like more help determining which example is acceptable for each scenario, use the Root Cause Calculator and Corrective Action Calculator.