During internal audit - finding poor action plans

Graciel

Involved In Discussions
Hello .
I think I've mentioned before, but just started in a company as quality analyst just 1 month before plannings for internal audit starts.
One day the quality coordinator asks me: do you where the action plan regarding last year internal audit is?
From this question I was very surprised. Sou, only thing I could find was the "sequencial list" of NC's for him. And he says "I wonder where are the evidences of closing this findings". Later he comes back and says,oh I see a code here which means that the actions plans are in a software where we use to track this.
I'm checking some of it and there are root cause analysis but action plans. They are all blank.
I am doing internal audit in 2 days. I see this as a major NC I could give. But since I'm new here , I wonder how can I mention this without being very annoying (which I could be).
Tks guys.
 

RoxaneB

Change Agent and Data Storyteller
Super Moderator
There is a shift to do away with classifying internal audit findings as major or minor - perhaps that could be a recommendation at one point to revamp your internal auditor program.

Rather than simply issue a finding, however, I presume you're going to ask the recipients of these previous nonconformances where the action plans are? Maybe they didn't know there was a software program - sounds like the quality coordinator only recently learned this, as well. Perhaps the action plans are located elsewhere.

I'd offer that to ensure any finding has merit, substance, and value to it, you should truly understand what the situation is and the variables that have influenced it.
 

Graciel

Involved In Discussions
Afual
There is a shift to do away with classifying internal audit findings as major or minor - perhaps that could be a recommendation at one point to revamp your internal auditor program.

Rather than simply issue a finding, however, I presume you're going to ask the recipients of these previous nonconformances where the action plans are? Maybe they didn't know there was a software program - sounds like the quality coordinator only recently learned this, as well. Perhaps the action plans are located elsewhere.

I'd offer that to ensure any finding has merit, substance, and value to it, you should truly understand what the situation is and the variables that have influenced it.
Actually I really think that the answer is going to be that no action plan was finished. Cause what the supervisor says is "after previous QMS analyst left, many things were left behind, out dated". So during internal audit, this can be a NC right?
 

Mikey324

Quite Involved in Discussions
If there were NC's identified and root causes were identified, what was done to prevent reoccurrence? Also, you have a weak point in the system. What was done to follow up on these? Was top management unaware of the NC's?

The fact that no action was taken is one thing, but the lack of visibility is entirely another.
 

Ron Rompen

Trusted Information Resource
Yes and no, Graciel. It is (under the strict interpretation of the standard) a nonconformance, but IMHO, the greater issue is the lack of a contingency plan to deal with things that need to be addressed when someone leaves the company. If the QA Manager, or yourself, or whoever wins the lottery, will the auditor come in and find NOBODY to represent the company during the audit?
Rather than just write a nonconformance, raise this as an issue with YOUR boss, and (if possible) provide a workable solution as well - constantly pointing out the issues is (I have learned from experience) definitely not going to get you appreciated in your company, no matter how good a job you do.
 

Graciel

Involved In Discussions
If there were NC's identified and root causes were identified, what was done to prevent reoccurrence? Also, you have a weak point in the system. What was done to follow up on these? Was top management unaware of the NC's?

The fact that no action was taken is one thing, but the lack of visibility is entirely another.
Top management asked quality supervisor during critical analysis meeting (done recently), to show him the evidences of closing the NC. I think quality coordinator went there, showed the list,like a general sequencial list of the NC's which said "completed". I really don't know what else he did to convince top management. Maybe the director didn't ask for evidences since they had more items to review during critical analysis meeting.
 

Zero_yield

"You can observe a lot by just watching."
The next step I would take would be gathering evidence on whether or not the issue that was identified in the original nonconformance is still present.
 

Mikey324

Quite Involved in Discussions
Top management asked quality supervisor during critical analysis meeting (done recently), to show him the evidences of closing the NC. I think quality coordinator went there, showed the list,like a general sequencial list of the NC's which said "completed". I really don't know what else he did to convince top management. Maybe the director didn't ask for evidences since they had more items to review during critical analysis meeting.

It sounds like maybe your system says you need to discuss NC's, so your organization asked the quality supervisor about the status, that person said "All good!", and it never went any further than that.
 
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