Fixing findings

And so, the audit is finished, the exit meeting conducted and the audit report has hit your desk.  As discussed, there should be no surprises, there should be correctly categorised findings, there should be specific examples and now you have 3, 6, 9 or 12 months with which to fix them.

Now if you have findings that have to be addressed within 3 months, then you have got a nonconformity or a major corrective action (of course the names are different for every certification service provider) and if you have one of these, you normally have to provide details on what corrective actions you will take, what resources and a timeline to at least reduce the matter to an improvement request / minor corrective action if not closed all together.  The rest of the categories of findings you will just need to address before the next audit or at least consider if they are an observation.

So it really doesn’t matter what the category is, my recommendation is that you treat each finding as an individual event and include them in your system’s own corrective action process.  Make sure you cross reference them so that you can trace them when the auditor returns.

Once in the system, correct the situation as reported.  If the finding is the audit report for internal audit of purchasing in October was not signed….get it signed.  The matter can be closed.  However, if you are using certification as an improvement process, you should look into why the report was not signed.  At this point, I would close the original, then open a new corrective action and review the signing process but make sure you still make reference the originating circumstance.  Now this not the only methodology, you could keep the original open and make the review as part of the effectiveness review of the matter.

Just remember, don’t go re-inventing the wheel based on the findings and examples of one audit.  Be reflective and take only those actions that you need to do to address the findings tabled.  Once you have that out of the road and your certification provider, you can then get on with your own continual improvement cycle through your management reviews, internal audits and corrective actions.
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