Certified Quality Auditor (CQA) Prasctice Exam

What should an auditor do if they find that certain procedures were not followed during the audit?

1. Recommend retraining staff

2. Write a finding for root cause analysis

3. Ignore the procedure since it was a minor issue

4. Report the issue immediately to management

The correct answer is: Write a finding for root cause analysis

The most appropriate action for an auditor when they discover that certain procedures were not followed during the audit is to write a finding for root cause analysis. This approach serves several important purposes. First, documenting the finding allows for a clear and formal record of what was observed. This record is essential for accountability and for establishing a basis for any further investigation. A finding highlights not just the noncompliance but also encourages a deeper examination into why the procedure was missed, which is critical for preventing recurrence. Furthermore, conducting a root cause analysis promotes continuous improvement within the organization. It shifts the focus from merely addressing the symptoms of a problem to understanding the underlying issues that led to the deviation from established protocols. By identifying these root causes, the organization can implement corrective actions that address systemic flaws rather than just treating individual instances of noncompliance. In contrast, suggesting retraining staff might address the immediate issue but does not necessarily tackle potential underlying factors or processes that need improvement. Ignoring minor issues can lead to bigger problems down the line and does not demonstrate due diligence. Reporting immediately to management without documenting the finding could lead to a lack of thorough investigation and accountability, possibly overlooking valuable insight into the incident. All these reasons highlight why documenting a finding for root cause analysis