SC QUALITY GUILDNonconformity and audit report writer
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Write each finding as requirement, evidence and statement, grade it major, minor or opportunity for improvement with a guided check, and assemble the report summary with response due dates.
ON THE EXAM · CQA II.B.6, II.C.1, II.C.2 · FREE · NOTHING YOU TYPE LEAVES YOUR BROWSER
Q-BotClick for an explanation of this tool.For educational use. This page is a study aid. The method behind it has far more depth and detail than one page and one tool can cover, and what you see here is not everything the method offers or everything this site offers. For full understanding and application, use the governing standards and texts, and seek further education, training or qualified advice. Results depend on the data you enter, so check them before relying on them.
The three parts of a nonconformity
A nonconformity is the non-fulfillment of a requirement. A finding that will hold up states three things:
- Requirement: what should happen, and where the requirement comes from (standard clause, procedure section, contract or regulation). Paraphrase it; do not paste the whole clause.
- Objective evidence: what the auditor saw, with references and quantities: which records, how many of how many, dates and locations.
- Statement: a short sentence saying how the evidence fails the requirement.
If no requirement can be named, the observation is not a nonconformity, however sensible the auditor's view. It can be reported as an opportunity for improvement.
Grading findings
ISO 19011 leaves grading to the audit program; certification schemes and customers set their own definitions. The common pattern is: a major nonconformity is the absence or total breakdown of a required element, or a failure likely to let nonconforming product or service reach the customer; a minor nonconformity is an isolated lapse that does not cast doubt on the system as a whole; an opportunity for improvement is not a breach of a requirement. Several minors against the same requirement can show a breakdown and be raised as a major. The tool's grading questions apply the common pattern and flag where the grade chosen differs, so the auditor can either change it or record why.
Writing the report
The audit report goes to the audit client. It identifies the audit, objectives, scope, criteria, team and dates, presents the findings and gives a conclusion against the audit objectives. Good reports are factual, concise and free of blame: they describe the system, not people. They also note anything that limits the conclusion, such as areas not reached. Positive practices are worth reporting because they show what to spread elsewhere.
After the report
The auditee owns correction and corrective action; the auditor reviews the response and verifies that actions were implemented and effective. The response windows in this tool are inputs: use the periods set in your audit program or contract. Use the corrective and preventive action tool for the auditee's root cause and action plan.
On the CQA exam
Expect to pick the best-written nonconformity statement, classify a finding as major, minor or OFI, and spot report wording that is opinion, blame or unsupported by evidence.