Audit Finding Flowchart for Feedback

leaning

Involved In Discussions
#1
Hello!

In my studies, I was getting the corrective action process for nonconforming items mixed up with the corrective action process for audit findings. So, I flowcharted both, but I'd appreciate more eyes on it for feedback (good or bad).

(I'm posting the nonconforming item flowchart on another forum for similar review: "Nonconforming item flowchart for feedback" (EC won't let me link to it yet.)

I appreciate all your help and info.

In my studies, I was getting the corrective action process for nonconforming items mixed up with the corrective action process for audit findings. So, I flowcharted both, but I'd appreciate more eyes on it for feedback (good or bad).

(I'm posting the audit finding flowchart on another forum for similar review:"Audit Finding Flowchart for feedback" (EC won't let me link to it yet.)

I appreciate all your help and info.

Regards,
leaning
 

Attachments

Elsmar Forum Sponsor

leaning

Involved In Discussions
#3
I see one thing I need to remove: "incidental" is a "Classification of characteristics" thing which has nothing to to do with defects. :notme:


Defect Seriousness Classifications: critical, major, minor
Classification of Characteristics: critical, major, minor, incidental

It'd be nice if they didn't share three of the same levels. :)

Regards,
leaning
 

howste

Thaumaturge
Super Moderator
#4
While most of the flow is probably correct, I agree with Golfman that if you put it into a procedure it's too complicated for most people. Is this for use in the real world, or is this for a class?

One thing that I notice in both diagrams is that you do the corrective actions to address the root cause(s), and then you do the action to prevent recurrence. These are the same thing. Here's the definition of corrective action in ISO 9000:
corrective action

action to eliminate the cause of a nonconformity and to prevent recurrence

Note 1 to entry: There can be more than one cause for a nonconformity

Note 2 to entry: Corrective action is taken to prevent recurrence whereas preventive action is taken to prevent occurrence.
What you probably meant was to do containment and correction, then do the corrective action based on the cause(s).

FYI here's the ISO definition of correction:
correction

action to eliminate a detected nonconformity
 

leaning

Involved In Discussions
#5
Howste,

I did ASQ's CQT, CQIA, CSSGB, CQI, CQPA, CQE, plus I had LSSGB and LSSBB from the Army. Right now, I am part-time employee teaching a CQE test prep course.

When I took those tests, I hated the standard books that are normally used (QCI, ASQ handbooks, etc.) , so I created my own notes that condense all the expected stuff down to the bare bones plus capture the other nuggets that pop up that you spend too much time thinking about ("sensory Weibull ordinal tools", "Kepner-Tregoe", etc.) that aren't in those books.

The audit section isn't real technical, so if I can get a flow overview on a few pages, it saves the students from having to do the in-depth digging to find the answer. I'll get your feedback in there. Thanks for your help.:agree1:
Regards,
leaning
 

leaning

Involved In Discussions
#6
howste,

If I get what you are saying, you wouldn't do corrective action for something and then preventive action for that same something. Whatever corrective action you take by definition should fix the something and then stop it from ever happening again.

So, for an audit finding or nonconformance, you would never need to do preventive action steps for that finding/issue because the corrective action steps would capture those for now and the future.

So, preventive actions would only be for things you have never encountered before, otherwise, you would be handling those things under corrective action steps.

Is this good?

Regards,
leaning
 

howste

Thaumaturge
Super Moderator
#7
howste,

If I get what you are saying, you wouldn't do corrective action for something and then preventive action for that same something. Whatever corrective action you take by definition should fix the something and then stop it from ever happening again.

So, for an audit finding or nonconformance, you would never need to do preventive action steps for that finding/issue because the corrective action steps would capture those for now and the future.

So, preventive actions would only be for things you have never encountered before, otherwise, you would be handling those things under corrective action steps.

Is this good?

Regards,
leaning
Exactly. Preventive actions prevent something that hasn't happened yet, and corrective actions prevent something that has already happened from happening again. You wouldn't do both for the same issue.
 
Thread starter Similar threads Forum Replies Date
J Audit Finding For Not Retaining Test Results ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 7
E Received a Major finding during IATF Surveillance audit for loss of BIQS Level 3 (more than 6 SPPS in 6 months)...how should we address SYSTEMIC CA? IATF 16949 - Automotive Quality Systems Standard 11
D Customer Audit Finding ISO13485:2016 7.6 ISO 13485:2016 - Medical Device Quality Management Systems 7
B PED 2014/68/EU - Is this Traceability audit finding correct? Other ISO and International Standards and European Regulations 4
XRAY_3121 Design and Development Requirement - MDSAP Audit Finding Other Medical Device Regulations World-Wide 5
R Major nonformance finding was given during a closing meeting of a ISO9001 certification audit General Auditing Discussions 76
G Audit finding - Components being transferred inter-plant Internal Auditing 3
B IATF 16949 7.1.5.3.2 FAQ #7 Audit Finding - External Calibration Laboratory IATF 16949 - Automotive Quality Systems Standard 7
S GM/VP softgrading internal audit finding - need feedback from an audit guru! General Auditing Discussions 11
Q Customer Requirements - AS9120B Audit Finding AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 24
J Hardness inspection Audit Finding Employee error Nonconformance and Corrective Action 6
J How long should I have to correct an audit finding? VDA Standards - Germany's Automotive Standards 7
AlienraverX How to appeal a major audit finding ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 26
S Definition Would a wrong definition constitute an Audit Finding? Definitions, Acronyms, Abbreviations and Interpretations Listed Alphabetically 3
A Audit Finding - CAPA, Improvement Initiatives not filed in CAR System ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 5
O CFDA (China Food and Drugs Administration) Audit Finding Classifications China Medical Device Regulations 1
B Expired Materials (threadlocker) Audit Finding Classification? Internal Auditing 1
H Cause analysis for an Audit Finding - Purchasing Procedure Content ISO 13485:2016 - Medical Device Quality Management Systems 9
A Writing an Internal Audit Report Finding for Employee Awareness of QMS Documents ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 11
S Audit finding for JPAL ISO 13485:2016 - Medical Device Quality Management Systems 1
R Can a external auditor raise a finding that is already identified in Internal Audit ? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 11
G Supplier Significant Environmental Aspects - Audit Finding ISO 14001:2015 Specific Discussions 21
C Notification to Customers regarding Major Audit Finding IATF 16949 - Automotive Quality Systems Standard 25
J Questionable Audit Finding about Revision Levels of Product Manual CD's ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 7
J 8.3.2.1 Monitoring/Measurement Audit Finding IATF 16949 - Automotive Quality Systems Standard 6
J Follow up on Major Audit Finding General Auditing Discussions 15
C ISO 9001:2008 Audit Major Finding - Dial Calipers not set to zero ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 16
M Internal Audit finding versus External Audit finding General Auditing Discussions 2
E Nadcap Major Audit Finding Question - Effectiveness of our RCCA AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 11
E Nadcap - Tooling Control - Major Audit Finding (Question) AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 6
A Audit Finding on 6.2.2 - Education Requirements not Verified ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 6
T Quality Objective related Surveillance Audit Finding IATF 16949 - Automotive Quality Systems Standard 6
R Auditors can NOT audit their own work audit finding Internal Auditing 17
G Thoughts on Audit Finding for not doing Gage R and R for Visual Inspection Gage R&R (GR&R) and MSA (Measurement Systems Analysis) 8
J EU labeling requirement Notified body audit finding EU Medical Device Regulations 3
G Audit Finding against ISO/TS 16949 6.2.2 Competence, Training and Awareness IATF 16949 - Automotive Quality Systems Standard 3
L Internal Re-audit after Major Finding during ISO 9001 Re-Certification Audit ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 10
AshleyE Acceptance Criteria - ISO 9001:2008 Clause 8.2.4 - Questionable Audit Finding? ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 40
A 3rd Party Audit Finding Not Clear - 4.1 Outsourced Processes AS9100, IAQG, NADCAP and Aerospace related Standards and Requirements 36
A Excel Spreadsheet Validation - Customer Audit Finding Other US Medical Device Regulations 2
P Nonconformance on the Corrective Action Process - Audit Finding Nonconformance and Corrective Action 13
Q Preventing Audit Finding by your third Party Registar IATF 16949 - Automotive Quality Systems Standard 5
K Observation - Potential Nonconformity - How to address this Audit Finding? General Auditing Discussions 9
T Audit Finding Classifications General Auditing Discussions 23
A Need to Audit an External Calibration Laboratory? - Customer Audit Finding Other Medical Device Regulations World-Wide 5
Q Controlling Prints in Shop - Audit Finding Question ISO 9000, ISO 9001, and ISO 9004 Quality Management Systems Standards 4
K ISO 13485 Audit Finding on Regulatory Issues - Internal Audits ISO 13485:2016 - Medical Device Quality Management Systems 8
T TS 16949 Clause 7.5.1.1 - Audit Finding - Control Plan Requirements IATF 16949 - Automotive Quality Systems Standard 11
A Non-Conforming Product vs. Supplier Audit Finding Supplier Quality Assurance and other Supplier Issues 8
P Audit Finding - Work Instruction discrepancy Nonconformance and Corrective Action 25

Similar threads

Top Bottom