ISO9001 AUDIT - Corrective Action Acceptance Guidelines

TÜV SÜD Hong Kong Corrective Action Acceptance Guidelines:

Objective: The intent of this section is to provide a consistent set of criteria for the development and acceptance of corrective action responses. These guidelines apply to all standards (QMS and EMS). They are intended for both TÜV auditors and audited organizations to help them understand how nonconformities must be addressed.

1. Was Correction to eliminate existing nonconformity completed?

Describe actions taken under “Correction of Nonconformity.” (for example, Completed missing internal audits; Conducted supplier evaluations; Segregated nonconforming material, etc.)Provide evidence that actions were taken.


2. Have the appropriate causes been identified?
Consider the following:
·  what caused the actual nonconformity
·  what allowed the problem to occur without being detected internally
·  what part of the organization’s processes failed to address this issue or is the organization lacking a specific process, method, etc.
The cause shall not be a repeat or rewording of the nonconformity statement or the objective evidence.

3. Has corrective action been determined for each identified cause?
Each cause must have an identified action that eliminates / addresses the specific cause(s) and prevents recurrence of the nonconformity.

4. Has appropriate evidence been provided to verify that actions taken have been implemented and are effective?
It is the responsibility of the organization to provide evidence of internal verification of the corrective action(s), or a plan to do so.


The Lead Auditor will provide due dates for submitting evidence of implementation. This could vary depending on the circumstances and standards involved.