Seeking advice on Recurring Findings with Different Causes

B

bookcat

#1
I need some advice related to the recurring findings. Although process owner performs root cause analysis, correction, and corrective action, almost every audit they always have non-conformity on cash overages/shortages and stocks inventory overages/shortages. They said that the issue is the same but we cannot consider them recurring because the causes are different.

Sme background information.

First visit

Nonconformity: stocks inventory shortages
Root cause: Not following procedure
Corrective Action: Retrain

Auditor verified that corrective action was effective for a period of time therefore, issue was closed.

Second visit
Nonconformity: stocks inventory shortages
Root cause: shortage due to shoplift
Corrective Action: Close monitoring

Auditor verified that corrective action was effective for a period of time therefore, issue was closed.

Third visit
Nonconformity: stocks inventory /shortages
Root cause: Not clear procedure
Corrective Action: Revise the procedure

Auditor verified that the Procedure was revised and being implemented therefore, issue was closed.

Fourth visit
Nonconformity: same problem
Root cause: different cause
Corrective Action: appropriate to root cause

.......so on and so forth..........

My questions are:

1) Is this a recurring audit finding as far as ISO 9001 is concerned?

2) If shortages are common and taking any action is very hard to be effective against the situation, then can we charge the shortages to them without calling out nonconformity instead?

I would greatly appreciate any advice on this tough situation?
 
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Randy

Super Moderator
#3
Yep, bandaid solutions...what do all these have in common?

What can cause a shortage....Have you looked at internal sticky fingers yet?

How about skimming inventory prior to stocking? Inventory comes off truck with one number and the inventory is shorted at stocking with a smaller quantity but the higher one is reported...Very old tactic (I used to work Drug Diversion as a cop....Pharamacists and Doctors did the exact same thing with scheduled drugs)...I did White Collar Crime investigations as well...
 
B

bookcat

#4
What can cause a shortage....Have you looked at internal sticky fingers yet?
Yes, we are looking at it as well.

How about skimming inventory prior to stocking? Inventory comes off truck with one number and the inventory is shorted at stocking with a smaller quantity but the higher one is reported...Very old tactic (I used to work Drug Diversion as a cop....Pharamacists and Doctors did the exact same thing with scheduled drugs)...I did White Collar Crime investigations as well...
It’s hard to pinpoint the culprit because there are more than one personnel in that area and there are three shift schedules in a day. I think they do the inventory at the end of the day due to large volume of stocks. It is even harder if there is connivance among warehouseman, inventory staff, cahier, and supervisor.


I'm guessing that you have not found the ROOT cause yet. It will keep returning until you do.


Maybe, yes. I agree that the issue will keep returning until we found the root cause and do appropriate corrective action.

Maybe not. They possibly found the root cause. The corrective action is not effective either due to non-consistent implementation, or like what former police officer Randy said, there might be internal sticky fingers.
 

somashekar

Staff member
Super Moderator
#5
Just as a sidenote ...
Are you also pretty sure that the counting / stocktaking mechanism that reports the inventory shortage is correct and the best for you to rely upon ...
 
B

bookcat

#6
Just as a sidenote ...
Are you also pretty sure that the counting / stocktaking mechanism that reports the inventory shortage is correct and the best for you to rely upon ...
Actual/physical count is being done manually and the result is being logged in a computerized system.
 
Last edited by a moderator:

somashekar

Staff member
Super Moderator
#7
Actual/physical count is being done manually and the result is being logged in a computerized system.
If manual, If marginal shortages, If small parts and in large numbers, If seen in random parts, then it is your system limit as manual system has its limit.
Look at using some good and precision counter weigh scale.
If your system can permit for C class parts to have cushion, then a +/- of 0.1 or 0.2 % can be absorbed as correct inventory and not mark same as shortage.
 
B

bookcat

#8
If manual, If marginal shortages, If small parts and in large numbers, If seen in random parts, then it is your system limit as manual system has its limit.
Look at using some good and precision counter weigh scale.
If your system can permit for C class parts to have cushion, then a +/- of 0.1 or 0.2 % can be absorbed as correct inventory and not mark same as shortage.
At first, we established tolerance level considering small marginal shoratages especially unintentional or coudn't be avoided errors. Unfortunately, as we move forward, the shortages are hitting beyond tolerance level.
 

jerry_Malaysia

Quite Involved in Discussions
#9
If this shortage issue will leads to "ability to meet customer requirements in terms of quality, lead time and cost", it will be a big issue. Customer would not be very happy if they find out this. It may affect future contract not to be awarded to your organization. Therefore, comprehensive plan should be establish which shall include root cause analysis and effective temporary and permanent corrective action
:2cents:
 
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