ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities  

6.1.5.11    Closing Meeting Scenarios:
Some possible situations encountered by an audit team relative to the closing meeting:
a) Senior person in the company is not present at the closing meeting
The auditors arranged the closing meeting as part of the audit plan agreed to by the auditee prior to the audit. By the very nature of the closing meeting, most companies want to have someone in senior management represent them at the closing meeting. However, the auditors cannot demand the presence of top management, but can certainly ask why they are unable to attend.

ISO 9001 Auditor Training - If the team leader thinks that the auditee representation is not senior enough, someone senior can be requested to be available. If it was arranged for top management to be there and they do not arrive, then it is reasonable for the team leader to delay the meeting for a short time to wait for them. A telephone call will probably be necessary to check.

After a reasonable time has elapsed (perhaps half an hour), the team leader should hold the meeting with whoever is there. Under no circumstances should the meeting be canceled. But, remember to add this to your audit report.

b) Corrective action taken since a nonconformity was recorded
It may be that minor nonconformities can be corrected quite quickly and easily. If this is what has occurred, and the team leader is satisfied that effective corrective action has been taken, then the nonconformity is noted as “closed out”. The fact that it was found during the audit remains noted in the report.

ISO 9000 Training - If corrective action taken for a major nonconformity is presented, the team leader should politely point out that the closing meeting is not the forum to discuss such issues and the corrective action will be audited during the next audit for effectiveness.

c) Clear evidence produced that shows there is no nonconformity
If the auditors find they were mistaken about a nonconformity, and they are convinced of it based on the new information, they should withdraw the nonconformity.

d) Bulky evidence produced that apparently shows there is no nonconformity
Such evidence should have been made available during the audit at the time the nonconformity was raised. The team leader should explain that the auditors would consider the evidence produced, but not at the closing meeting. If the evidence shows there is no nonconformity, then they will withdraw it.

Care is needed if the nonconformity being removed is the only Major one and therefore, the recommendation being made by the auditors might have to change. The team leader must decide whether to consider the information and, if necessary, postpone the closing meeting until later.

e) Company wants to alter the scope of the audit
If the auditors are requested to alter the scope of the audit at the closing meeting, they are rarely able to do so. Few auditors have this authority. They must follow their own procedures. Any alteration to the scope is outside the activities of the audit. The auditee will need to discuss the proposed scope with the Registrar’s office. If the request is to assist with clarification of the scope, the team leader can give this consideration.

f) Auditee wants to extend the meeting
Once the nonconformities have been discussed, and some commitment to a plan of corrective action has been given, there is no value in allowing the meeting to continue. Most closing meetings normally are over within half an hour. The team leader, therefore, may need to be firm in closing the meeting after the necessary points have been covered.

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