Five Top Tips for NCR’s in an Audit

DON’T PANIC!!

Little Hitch Hikers Guide To The Galaxy reference there, we embrace our inner-geek here at QBH.

As ISO Management Consultants, we like a good thorough audit with lots of discussion, debate even, and plenty of helpful chat about how to approach the implementation and maintenance of ISO management systems, it’s how we get continual growth and keep learning and sharing best practice. As much as it is satisfying to walk away from an audit with no comments or recommendations, it can feel like an anti-climax when so much work has been put in; not necessarily blood or sweat, but sometimes tears, to build and develop a system with the Client and the Auditor has nothing to add, that can be frustrating. We wouldn’t wish it on anyone, but if you find yourself in an Audit and an issue of non-compliance has been found, here are our Top Five Tips on what to do……

QBH are ISO Management Consultants

Firstly, don’t panic. Although there are exceptions, most Auditors don’t take any particular joy in handing out NCRs, so be receptive to their comments and ask lots of questions to be sure you thoroughly understand what they have found and how it should be corrected.

Second, have you got evidence that you already knew about that particular issue and have a plan to address it. This will immediately downgrade any findings. This is why an Internal Audit programme, and an NCR Register to record any compliance issues, is so important. If you are able to prove that you are actively addressing matters of concern then the Auditor can see you are managing and controlling your risks.

Ask the Auditor how they would like you to close the NCR. Get as much information from them as possible regarding exactly what evidence they would accept, how they want to see it and when. Don’t rush into gathering evidence or even start making anything up, the non-conformity has been found, the world doesn’t end, you have some time, so stay in control and plan how to proceed.

Having said that, can you close it immediately?? Is the finding something that you can address right there and then. If so, ask the Auditor if they will accept action taken straight away and include that evidence in the report. Some will say yes, others will not allow this. Don’t push it though. Even a Major finding has 10 days for you to put it right.

Lastly, don’t feel like you’ve failed. Every system has flaws, nothing is ever perfect and we all learn from feedback and recommendations. You are given time to address any findings and Auditors are usually very happy to offer their guidance, they will have seen it many times before, be sure of that!! Everything you learn from implementing a management system is excellent progress for your business, even if you hit an obstacle at the Audit, there is a lot for you and your team to be proud of.

We hope you enjoyed this article and if you have any questions regarding 9001 Certification, internal audits, document control or any area of getting the very best from your Quality Management System please get in contact with us;

We hope you enjoyed this article and if you have any questions regarding 9001 Certification, internal audits, document control or any area of getting the very best from your Quality Management System please get in contact with us.