Corrective Action Numbering and Indexing Best Practice

B

Bell1684

#1
Hello Everyone

I am in the process of re-engineering our organization's CAPA system - basically re-working it from the ground up.

One of the overwhelming responses I have received from the other managers/auditors within our organization was their disdain for the old CAPA numbering system. The system involved using the month/date/year in combination with a prefix which would designate if the actions was a CA, PA and/or generated through internal audits.

An example CA from an internal audit would be assigned a control number that looked like this: CARIA021512.

A PA which came from a suggested improvement opporutnity would be assigned a control number that looked like this: PARIO021512.

The "customers" of our old CAPA process said they found this numbering system clunky, unintuitive, etc. etc. etc. and I have promised them that the re-engineered system would have a new numbering/indexing system.


Im looking for best practice, and was wondering if you good folks from The Cove would be willing to share your CAPA numbering/indexing practices.

Many Thanks!
 
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RoxaneB

Super Moderator
Super Moderator
#2
Re: Corrective Action Numbering/Indexing Best Practice

Welcome, Bell1684. :bigwave:

Without knowing all the details of how your system is (or will be) set-up, I'll share what has worked in my experience. We had one log for tracking nonconformances and one log for tracking opportunities. This allowed us to distinguish in the ID number if an issue was a nonconformance or OFI.

To allow for easier analysis of data, we would create new logs each year, so nonconformances and OFIs were NC12-001, NC12-002, NC12-003,.... and OFI12-001, OFI12-002, etc. The first three digits were to represent the year, the last three were in sequential order.

An excel log is where we kept a summary of the issues, allowing for data analysis, such as:
  • month issued
  • date issued
  • date closed
  • category (internal audit, quality, external audit, process, etc.)
  • initator
  • recipient

Hope that helps!
 
D

dkusleika

#3
We use a ticket system (it's called Trac) to record CAs, PAs, OFIs, document approvals and whole bunch of other stuff. The system assigns each of these a number and it doesn't care what type of ticket it is. So my last four CARs were 464, 449, 416, and 415.

Non-sequential numbers would probably drive some people crazy, but we've embraced the system. It's only an identifying number so its only required property is that it's unique. When you make 'dumb' sequential numbers, you end up with the most flexible system possible. The more data you try to encode in your 'smart' numbers, the more likely you'll run into a situation that doesn't fit.
 
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