The WITS Approach to ISO 9001 Audit Nonconformities

An effective audit should sharpen and improve your small business Quality Management System (QMS). It shouldn't burden you with imaginary gaps and additional busy work. Challenging a finding that feels off-base protects your limited resources, your certification, and the integrity of the audit itself. The key is to address these concerns without coming off as defensive or dismissive.

Understanding ISO 9001 Nonconformity

When you believe that a potential ISO 9001 nonconformity is unjustified or invalid, it’s important to address it properly. A simple and polite way to engage with your auditor is to ask:

"Can you show me where in the standard ISO 9001 says we have to do that?"

This question embodies the WITS approach: "Where in the standard...?"

By asking this, you encourage clarity and keep the conversation focused on ISO 9001 requirements. This often uncovers simple misunderstandings before they make it into the audit report. If the auditor can't point to a specific requirement in the standard, they may have a valuable observation, but they do not have a nonconformity.

Tips for a Respectful Exchange

Stay Curious, Not Combative

Approach the conversation with an open mind. Use phrases like “I'm trying to understand…” or “Can we discuss how we both interpret the intent of this clause?” This shows that you are engaged and willing to collaborate.

Document the Discussion

Take quick notes during your discussion. Record the clause cited, the auditor’s objective evidence, and your counter-evidence. If you can't reach a consensus, submit these notes with your formal response. Documentation is key in these situations.

Close on Collaboration

Reconfirm shared goals with your auditor. Emphasize the importance of a robust QMS and an audit process that adds real value to your small business. A polite, clause-centric challenge demonstrates your knowledge and preserves goodwill.

The Importance of Valid Nonconformities

A well-structured audit process ensures that only valid nonconformities require your resources. This focus allows you to incorporate these findings into your continuous improvement journey.

If your auditor remains adamant that there is a valid nonconformity, regroup immediately with your practical9001 consultant after receiving the final audit report. Together, you can determine if a formal challenge should be filed with the certification body. Often, you will find that the challenged nonconformity is now categorized as an observation or is not present at all.

Conclusion

Engaging with auditors can be a delicate process. However, by using the WITS approach and maintaining a respectful dialogue, you can effectively challenge bad findings. This not only protects your resources but also contributes to the overall integrity of your QMS.

Use the Contact link above to learn more about our practical approach to ISO 9001 and how to respond to questionable audit findings.