Observation - Uncontrolled Document (Cheat Sheet)

[sparkyvega]

Observation: A purchasing manager maintains a list of approved suppliers. This list is very large and contains much contact information and was properly controlled. The manager had created a concise "cheat sheet" which contained only the names of the approved suppliers to which he daily referred rather than utilizing the large/cumbersome controlled list. The information on the cheat sheet was up to date, but obviously not controlled.

Question: Is this viewed as a non-conformance? If so, major or minor?

Thank-you,
Sparky

 

[Pancho]

Re: Observation - Uncontolled Document (Cheat Sheet)

Observation: A purchasing manager maintains a list of approved suppliers. This list is very large and contains much contact information and was properly controlled. The manager had created a concise "cheat sheet" which contained only the names of the approved suppliers to which he daily referred rather than utilizing the large/cumbersome controlled list. The information on the cheat sheet was up to date, but obviously not controlled.

Question: Is this viewed as a non-conformance? If so, major or minor?

Thank-you,
Sparky

Are you on ISO 9001? If so, why is the cheat sheet "obviously not controlled"?

If your purchasing manager is the process owner and also the user of the document, and the document is kept current, all as you seem to say, I fail to see what clause of the standard is being fouled.

Maybe your manager is ignoring some internal procedure?

 

[Ajit Basrur]

Observation: A purchasing manager maintains a list of approved suppliers. This list is very large and contains much contact information and was properly controlled. The manager had created a concise "cheat sheet" which contained only the names of the approved suppliers to which he daily referred rather than utilizing the large/cumbersome controlled list. The information on the cheat sheet was up to date, but obviously not controlled.

Question: Is this viewed as a non-conformance? If so, major or minor?

Thank-you,
Sparky

Pancho is right ...

sparkyvega, if the purchasing manager has a better way to manage the documentation approved suppliers why not control that documentation ?

 

[somashekar]

Observation: A purchasing manager maintains a list of approved suppliers. This list is very large and contains much contact information and was properly controlled. The manager had created a concise "cheat sheet" which contained only the names of the approved suppliers to which he daily referred rather than utilizing the large/cumbersome controlled list. The information on the cheat sheet was up to date, but obviously not controlled.

Question: Is this viewed as a non-conformance? If so, major or minor?

Thank-you,
Sparky

Your purchasing manager knows what he is doing, and he has his way of working.
He has just made his own ready reckoner.
No NC of any nature. Process seems good.

 

[sparkyvega]

Re: Observation - Uncontolled Document (Cheat Sheet)

Are you on ISO 9001? If so, why is the cheat sheet "obviously not controlled"?

If your purchasing manager is the process owner and also the user of the document, and the document is kept current, all as you seem to say, I fail to see what clause of the standard is being fouled.

Pancho,

Yes this is an ISO 9001 system. The cheat sheet was "obviously uncontolled" because the document the purchasing manager was using was created by him for his use alone, and was not being controlled within the company's document control software system. The auditor's concern was that the information had the possibility of not having been up to date (after sampling, it appeared to be up to date).

I look forward to your reply.

Sparkyvega

 

[sparkyvega]

Pancho is right ...

sparkyvega, if the purchasing manager has a better way to manage the documentation approved suppliers why not control that documentation ?

Ajit,

The purchasing manager did not control the document because it essentially contained redundant information.

Sparky

 

[Wes Bucey]

I liken the "cheat sheet" to "speed dial" on my phone.
For example:
When records and documents were ALL still on paper, UPS was my major shipping supplier - I had a whole file of our contract, rates, etc., but my speed dial had the direct line to the UPS dispatcher if I had a late or special pickup requirement. Same thing for Fedex. I sure didn't go pull out the file each time I wanted to deal, BUT I did keep a phone log of my outgoing and incoming calls to and from EVERYBODY (with a brief memo of the content.) At the end of the day, I or a clerk would use the log to update contact information in the pertinent files.

Once we were computerized, life became immeasurably simpler - verbal contacts were noted simultaneously with the call. Email contacts were automatically part of the file.

I think the crucial part of OP's concern should be whether the purchasing manager keeps a record of what transpires in the calls, not what document he gets the phone number from. (What if he was too busy to pull the file for the number and just called information? Would that be a nonconformance?)

 

[somashekar]

Observation: A purchasing manager maintains a list of approved suppliers. This list is very large and contains much contact information and was properly controlled.

Please note that an approved supplier list as you detail is YOUR QMS REQUIREMENT. The standard does not ask for one. This is properly controlled and you are OK.
The purchase manager can keep with him any other dairy, note pad or sticky note or list in any way he wants and perform his activity. It need not be controlled per the document control procedure. He can demonstrate them during the audit and explain how he works.
What you call as the 'Cheat sheet' is actually a 'Clean sheet'
It is the skill of the auditor to verify if this sheet is positive to the QMS operation or otherwise.

 

[yodon]

Agree with everyone about it not being an NC. And thanks to Somashekar for noting that the LIST is not a requirement.

So can you turn this into an opportunity? Is the master list unnecessarily large (irrespective of the need for such a list)? Do you only have active suppliers on the list? Is everyone on the list required to be approved?

And irrespective of whether this is an NC or not, how likely is it that the purchasing manager could use a supplier that dropped off the master list? Does the *potential* for an NC exist?

 

[AndyN]

Ajit,

The purchasing manager did not control the document because it essentially contained redundant information.

Sparky

Makes me wonder what value the "official" procedure under the QMS is providing...