Clause 4.14, which serves as the basis for quality improvement, is one of the most important clauses of the ISO 9001 standard. The 1994 revision has made the clause more comprehensive in that. It also covers preventive action, and the effective handling of customer complaints and reports of product nonconformities.
It will be impracticable for manufacturing enterprises experiencing numerous defects and nonconformities during the manufacturing process to investigate individual nonconformities for the purpose of taking corrective action. Taking this situation into consideration, the standard specifies that “Any corrective or preventive action taken to eliminate the causes of actual `or potential nonconformities. It shall be to a degree appropriate to the magnitude of problems and commensurate with the risks encountered. “As a general guide, corrective action can be considered in the following cases :
Investing nonconformities
The first step an enterprise must take to determine the corrective action needed is to carry out an investigation. The standard needs the supplier to investigate the causes of nonconformities in the product, process and quality system and to record the results of the investigation.
In a manufacturing environment, investigation involves an analysis of inspection records and test data on materials as well as an examination of tooling and the process capability of manufacturing equipment. A number of statistical techniques such as stratification, the Ishikawa diagram and fault tree analysis can be used for the investigation. The choice of these techniques would depend on the complexity of the problem.
In engineering industries, investigators should be on the lookout for the typical causes of nonconformity. These are listed below.
Machinery and equipment
Materials
Operating and supervisory staff
Process control and inspection
Evaluation of corrective measures
If the analysis of a detect-causing process is carried out in sufficient depth, the cause will itself suggest the remedy. Some remedies (e.g., replacement of an obsolete drawing, calibration equipment) may be quite simple and can be applied straightaway. Other remedial measures may require considerably more thought. For instance, it may not be feasible to replace a machine that is found to be incapable of processing to the specified tolerance, other measures may therefore have to be considered before a final decision is made. The possible measures contain :
During this stage, all the departments concerned should be consulted to get their views on various methods of preventing defects. The decision on the remedial measures to be adopted will depend on a comparison of the practicability and economics of the various alternatives.
Preventive action
preventive action reduces the need for taking corrective action and is therefore preferable to the latter. The objective of the standard in requiring procedures for preventive action is to provide a means for detecting any deterioration in processes, work standards and systems and thus to prevent the occurrence of a nonconformity. The deterioration may appear trivial on a case-by-case basis, but it may have a significant cumulative effect on the quality of the product in the long run.
Establishing the need for preventive action
The need for preventive action can be brought out by an analysis of the following information :
Implementation and documentation of corrective and preventive measures
Most corrective and preventive measures in manufacturing enterprises involve changes or improvements in one or more of the following :
Handling customer complaints
The 1994 version of the ISO 9001 standard specifically requires procedures for the effective handling of customer complaints. A company can deal with complaints only if these have been received and recorded. While numerous customers may express their dissatisfaction with a product, very rarely will they put a formal complaint in writing.
Thus, an enterprise wishing to implement the spirit of this clause needs to bring about attitudinal changes in its staff, particularly in its sales department, and to instildiscipline to ensure that all complaints–including those made verbally–are recorded so that they can be processed to decide and eliminate their causes. The handling of customer complaints can be formalized by setting up a documented procedure covering the following aspects :
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