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Corrective/Preventive Actions Planning and Implementation Process

Objectives

The objective of this activity is to investigate the root causes of non-compliance issues, plan and implement appropriate corrective/preventive actions to address those issues.

Process Entry/Exit Criteria

Entry Criteria Exit Criteria
  • Documented audit results are received to auditees
  • Root Cause of reported Non-Conformances is identified.
  • The corrective/Preventive action is planned and implemented
  • Updated Non-Conformance report(s) are communicated to Auditors

Process Inputs/Outputs

Inputs Outputs
  • Audit Summary Report
  • Corrective and Preventive Action Request(s) (Section A only)
  • Corrective and Preventive Action Request(s) (Section B)

Tasks

  1. Auditees investigate the root cause and define the corrective/preventive action against each Corrective and Preventive Action Request along with expected completion date.
  2. Auditees send updated Corrective and Preventive Action Requests back to the Lead Auditor.
  3. Lead Auditor suggests any correction or improvement in planned corrective/preventive actions or completion dates as required.
  4. Auditees implement the planned corrective/preventive actions and document implementation detail along with actual implementation date in the Corrective and Preventive Action Request(s).
  5. Auditees send updated Corrective and Preventive Action Requests after implementation to the Lead Auditor for a follow-up audit.
Guidelines for Corrective/Preventive Actions Planning and Implementation
  1. Corrective Actions are taken to eliminate the cause of non-conformances in order to prevent recurrence. Corrective actions are not only taken to eliminate the root cause of the issue but also include the instant correction and fixing of the issue itself.
  2. Preventive Actions are taken to eliminate the causes of potential non-conformances in order to avoid and prevent their occurrence.
  3. Root cause investigation and analysis of a non-conformance is the basis for appropriate corrective or preventive action. Auditee should be impartial and unbiased while specifying the root cause because only correct and accurate root cause analysis can lead towards process improvement.
  4. Auditee may seek the auditor’s help in investigating the root cause and defining appropriate corrective or preventive action.