ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities 

6.1.5.9      Options for recommendation
Once the audit team has completed their agenda, it remains for the audit team leader to prepare the recommendation of the team.

1. Recommend registration unconditionally, since no nonconformities were found.

2. Recommend registration conditionally, subject to the receipt of an acceptable corrective action plan and follow-up. 

ISO 9000 Auditor Training - Where a number of minor nonconformities have been identified, the audit team leader would probably present this option to the auditee. When doing so, the team leader will stipulate the time by which the corrective action plan must be submitted to the registration body.

More emphasis will be placed on the time required by the auditee to implement the corrective action rather than to focus on the planned corrective action itself.  After all, in some instances it is possible that the auditor would not know the best corrective action to be taken, but by focusing on the time required a commitment to quality is being sought.

Follow-up options may include:
• Verification at the next surveillance audit
• Evaluation of the mailed evidence
• Special visit to verify the corrective action

3. Unable to recommend registration, due to a major nonconformity or a significant number of minor nonconformities
In situations where a major nonconformity or a significant number of minor nonconformities are reported, the audit team leader would not recommend registration

Follow-up options in such situation would include:
• Partial Re-audit - a large number of minor nonconformities, or perhaps when a single major nonconformity has been identified, a partial re-assessment might be appropriate. A partial re-audit of the QMS would focus only on the reported nonconformities

• Full Re-audit - where a large number of connected minor nonconformities, or perhaps more than one major nonconformity has been identified, then a full re-audit of the QMS might be the only option available.

ISO 9000 Training - There is no ‘magic’ number of nonconformities or formula used to decide on the options available; each case will be decided on its own merits.
No team leader likes to be the bearer of bad news. An auditee might have allocated significant resource over a long period of time to install the Quality System. But if major nonconformities have been identified, it is likely that the audit team leader has no alternative but to recommend a full re-assessment. In this situation, the auditee may take the news badly, and perhaps personally.

The team leader could take the option of not waiting until the closing meeting was under way to present such a recommendation, but advise the management representative prior to the closing meeting.

In the case of internal or second party audits, audit conclusions can lead to recommendations regarding improvements, business relationships or future auditing activities.

"Understanding ISO 9001" provides a detailed explanation of each ISO 9001 clause (requirements).

ISO 9001 FAQ provides answers to commonly asked questions about the ISO 9000 family of quality management standards.