Certified Quality Auditor (CQA) Prasctice Exam

What action should an auditor take if an auditee states that a procedural noncompliance conflicts with a written company policy?

1. Close out the corrective action request

2. Notify the auditee to comply with the procedure

3. Void the noncompliance

4. Request that the auditee resolve the conflict

The correct answer is: Request that the auditee resolve the conflict

In situations where an auditee claims that a procedural noncompliance conflicts with a written company policy, the most appropriate action for the auditor is to request that the auditee resolve the conflict. This approach acknowledges the importance of both the procedural requirements and the established company policy, and it puts the onus on the auditee to address the disparity. By requesting the auditee to resolve the conflict, the auditor facilitates a dialogue that may lead to identifying whether the procedure needs to be updated to align with the policy or if the policy requires revision to reflect current practices. This action also fosters a collaborative environment, encourages compliance, and ensures that the internal control framework is working effectively. Moreover, engaging the auditee in resolving the conflict helps in understanding the root cause of the noncompliance and encourages ownership of the processes, which is critical for ongoing improvement and adherence to standards. This proactive approach contributes to maintaining the integrity of the audit process and ensures that discrepancies are adequately addressed for the benefit of the organization as a whole.