Corrective Action Example - Using an Audit Checklist to Document Corrective Actions

Implementing a corrective action checklist is an efficient and straightforward way to document the steps that need to be taken when nonconformities have been identified, but engaging all participants may prove challenging.

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Identifying the Issue

As part of any corrective action process, it's crucial to first identify issues and their sources. This can be accomplished by reviewing documents and records as well as observing on-site processes; additionally, an audit process may include interviews with employees or other key participants who were part of this initiative.

Once all evidence has been compiled, an audit team can use its findings to analyze results and ascertain compliance with requirements and standards. To do so, they should complete each checklist question's Evidence or Observation field and give answers that clearly illustrate any compliance or noncompliance issues with particular requirements.

Once complete, an audit team should establish a process to ensure corrective actions are completed on time and are effective over time. This may involve identifying root causes as well as creating a monitoring system which verifies any changes over time.

Identifying the Root Cause

Once you've identified an issue, it's important to discover its underlying cause. There are various techniques you can use to do so effectively - one being the 5 Whys method wherein asking "why" up to five times will help identify any underlying errors or causes of errors; another method being 8D process which uses collected data to create permanent corrective actions and permanent solutions.

To properly address an audit finding, it's essential that you don't treat symptoms instead of the underlying problem. For example, if an employee breaks their leg after running into an unguarded pulley, instead of telling employees to wear safety gear or increasing training efforts as a solution; rather, the real solution lies in making sure all pulleys are guarded adequately from the start - although creating such a plan requires research, interviews and analyses before being executed successfully.

Identifying the Escape Point

In order to prevent future incidents, it is critical that we understand where a problem has escaped the system - often done using Ishikawa diagrams or five whys diagrams. Once this step is completed, it will become much easier to pinpoint its true cause and prevent further issues from arising.

At this point, it will also be necessary to devise a plan in order to prevent this issue from reoccurring, including both an interim solution and long-term one. In the interim period it is critical that we document and communicate this situation while also making sure all relevant systems remain up-to-date.

The process audit checklist features similar scoring criteria as the supplier checklist, including compliant, opportunities for improvement, minor non-conformances and other. It also has a section for observations, comments and other notes which is an effective way of documenting an audit as well as making sure your findings are understood by all. Streamlining auditing processes and increasing team productivity.

Creating a Plan

An effective corrective action plan not only addresses issues uncovered during audit, but also includes procedures designed to ensure sustainable solutions over time. Furthermore, such plans should include mechanisms for measuring how effectively corrective actions have been implemented and their success.

First step to creating a plan is conducting an initial assessment using FMEA or HAZOP risk analysis techniques, to ascertain severity of nonconformance and determine if corrective actions should be taken.

Once you understand what needs to be addressed, setting SMART goals - specific, measurable, attainable, relevant and timely - will enable you to develop an effective plan. Doing this will ensure you're on track towards solving the issue at hand while also preventing further recurrences of it in future.