ORA LABORATORY PROCEDURE Document No.: Version No.: 1.
6
Food and Drug Administration ORA-LAB.4.11
Page 1 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
Sections Included in this Document and Change History
1. Purpose
2. Scope
3. Responsibilities
4. Background
5. References
6. Procedure/(6. 6. & 7. – removed “approved” 6.2 A. 1. – removed “district”; 6.2 C.
4. – removed “approves and”; 6.2 C. 6. – removed “District Director”)
7. Definition
8. Records
9. Supporting Documents
10. Attachments/(Attachment A –revised)
Document History
1. This procedure establishes the process to identify, track, complete the
Purpose investigation of the problem and correct the causes of existing non-
conformances including complaints in products, processes, the [Laboratory
Name] Quality Management System, and services in the [Laboratory Name].
The cornerstone of corrective actions is written and retrievable documentation
of actions taken and follow-up monitoring to determine that corrective actions
have been performed and documented.
2. This procedure is applicable to all organizational units and personnel in the
Scope [Laboratory Name].
3. A. [Third Level Manager]:
Responsibilities
initiates, performs and oversees corrective action;
assigns corrective action to personnel; and
reviews corrective action taken by personnel and approves or
recommends further corrective action.
B. [Second Level Manager]:
implements corrective action procedure in respective branch,
assigns corrective action to identified [Third Lever Manager], and
reviews and approves corrective action taken by [Third Level
Manager].
C. [First Level Manager]:
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 2 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
ensures corrective action procedure is implemented and monitored,
assigns corrective action to responsible [Second Level Manager],
and
reviews and approve corrective action taken by [Second Level
Manager].
D. Quality System Manager (QSM):
uses established corrective action form and procedure;
monitors the progress and status of corrective actions for timely
completion,
reviews completed forms for effectiveness and assigns follow-up
actions and date due, if deemed necessary;
maintains through the a computer program/ web application
corrective actions; and
maintains through the a computer program/ web application and
files copies (non-electronic system) of objective evidence which
support verification and validation of actions taken.
E. Staff:
initiates and performs corrective action for non-conformances; and
completes Non-Conformance_Corrective Action (NC_CA) form to
document problem, area or situation investigated, findings and
action taken.
4. None
Background
5. None
References
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 3 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
6. The corrective action process is illustrated in the flow chart. The seven steps
Procedure illustrated are as follows:
1. When a non-conformity is detected, suspend work and evaluate the
situation. Take action to identify the non-conformance. Obtain the Non-
Conformance_Corrective Action (NC_CA) form from the computer
program/web application.
2. Complete the first part of the NC-CA form with the suspected quality
system problem and findings. Determine the whether a correction only
is sufficient and determine the disposition.
3. If corrective action is to be taken, begin investigation to resolve the
problem by examining the extent of the problem. Note internal and
external observations and area or situations looked at during the
investigation.
4. Note findings and causes with supporting evidence.
5. Determine cause and perform root cause analysis, if possible. Decide
action to be taken. Perform corrective action.
6. NC_CA form is submitted to immediate supervisor and QSM for
review. The supervisor will review and perform one of the following
actions:
Not approve the actions taken and recommend further actions
to be taken. Additional corrective action will be implemented,
reviewed and approved.
Approve the corrective action and enter in name and date,
release the product and submit the NC_CA form and
supporting documentation to the QSM within 30 days of date
action initiated.
7. The QSM reviews, evaluates and determines effectiveness of actions
taken. The action may be closed or further follow
up and monitoring actions may be identified. The action may be
determined to be ineffective, and another corrective action form initiated
to correct non- conformity.
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 4 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
FLOWCHART – Corrective Action
6.1
Flowchart
NONCONFORMITY DETECTED
Work suspended and evaluated
INITIATES NC_CA
(DD, BD, Supervisors, Staff)
Identifies nonconformance/ QS problem;
Documents findings
INVESTIGATION CAPR
Examine extent. Note internal/
external observations; areas;situations
FINDINGS/CAUSE
Note findings/causes with supporting evidence;
Perform root cause analysis, if required
DECIDE
CORRECTIVE
ACTION TO
TAKE
Corrective Action
Action taken to correct
nonconformance/problem identified
REVIEW/APPROVAL
Immediate supervisor reviews/approves or
recommends further action
Not Approved Approved
Approves or PRODUCT
Not Aproves
RELEASE
Follow-Up
& Assign
New Date
SUBMISSION to QSM
Review; Evaluate; Determine
Not Effective effectiveness; Follow-up & CLOSED
Monitoring actions identified
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 5 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
6.2 A. Accountability for Corrective Actions
Corrective
Action 1. The QSM serves as the focal point for data quality, instrument
problems, report and action quality and for feedback on
operations and corrective actions taken.
2. Corrective action at the technical level is initiated and corrected by the
analyst, technician, officer or supervisor. The person who created the
problem, fixes it.
3. The QSM detects and corrects systematic problems which may occur in
the course of daily work by maintaining surveillance over stated quality
objectives and requirements, audits, and complaints.
4. The NC_CA form is located on the [Location]. A sequential number
will be assigned by the QSM or the computer program/web application
and serves as the tracking mechanism.
B. Initiation and Completion of Corrective Action
1. The investigation of suspected quality problems is initiated as a result
of quality control criteria being exceeded, specified requirements not
being met, audit findings indicating systematic problems, or as a result
of a complaint.
2. Corrective actions are of two kinds:
On-the-spot or immediate corrective action to correct or
repair non-conforming data, reporting or equipment, that are
actions routinely made by analysts, technicians and
supervisors; and
Long-term corrective action to eliminate causes of non-
conformance or a complex deficiency that are actions
normally identified by audits.
3. A NC_CA form is to report the non-conformity. This form provides the
steps for a closed-loop process that includes:
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 6 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
a. initiation and identification of nonconformity,
b. investigation (examine extent),
c. findings and conclusions,
d. determination of cause to prevent reoccurrence,
e. corrective action taken and implemented, and
f. follow-up by the QSM to ensure that the corrective action is a fix
and succeeded in achieving the results desired and is effective.
4. Work is suspended and evaluated. Action is taken to identify the non-
conformance. Begin investigation to resolve the problem.
5. The findings are recorded on the NC_CA form. Examples of findings
or causes include:
equipment failure;
incomplete or nonexistent procedures;
non-compliance with procedures and regulations;
improper collection, storage, handling, or preparation;
calculation errors or transcription errors; and
lack of training.
6. The cause and, if possible, the root cause is determined to prevent
reoccurrence of the non-conformity and to provide a permanent
solution.
7. The conclusions and actions taken are recorded on the NC_CA form.
Examples of conclusions and actions may include:
equipment repaired,
procedures revised or created,
product reworked to comply with procedures or regulations,
correct calculation employed or transcription error corrected, and
proper training given.
8. The initiator’s immediate Supervisor approves the action or
recommends further action.
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 7 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
C. Submission to QSM and Follow-up:
1. Completed corrective actions with supporting documentation are
submitted to the QSM for filing within 30 days of date action initiated.
2. The QSM reviews the form and evaluates the implementation and
effectiveness of the corrective action (e.g. Are quality objectives met?).
3. If deemed necessary, follow-up and monitoring actions will be
identified and a new date for completion set and approved.
4. When there is objective evidence that the actions are completed and
effective, the QSM closes the corrective action.
5. If the NC_CA form was initiated due to a complaint, the NC_CA form
is not closed until the customers has been contacted and confirmed that
their concerns have been met. See Section 1, ORA-LAB.4.8
Complaints.
6. The nature of the non-conformity and status of this process is reported
to the Laboratory Director and Branch Directors [frequency] by the
QSM.
7. The effectiveness of corrective actions are monitored and verified
during audits and management review.
D. Product Release
1. Data, reports, and actions are not released until the problem is resolved
and verified by the Supervisor or Branch Director. The sample may
need to be reanalyzed or re-collected or the inspection redone. If unable
to resolve the problem, the receiver is notified that the laboratory data
cannot be reported or accepted, with disclaimers made that the product
did not meet quality standards.
2. In the event that a non-conformity has been identified and previous
reported data is suspect, the customer is notified and if possible the
product brought into limits by rework or reanalysis to confirm the
validity of what was reported. If in error, a corrected report will then be
sent.
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For the most current and official copy, check the Internet at
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ORA LABORATORY PROCEDURE Document No.: Version No.: 1.6
Food and Drug Administration ORA-LAB.4.11
Page 8 of 9
Effective Date:
CORRECTIVE ACTION PROCEDURE 10-01-03
Revised:
09-29-14
7. Corrective action - This is an endeavor taken to eliminate the causes of a
Definitions detected non-conformance, defect or other undesirable situation in order to
prevent reoccurrence.
Corrective action and problem report form - Form is used to initiate corrective
action.
Non-conformance - This is non-fulfillment of a specified, or implied,
requirement of the Quality Management System or of a quality work product.
Fitness-for-use criteria and evaluations determine the significance of a
nonconformance.
Cause - A cause is a fundamental deficiency that results in a non-conformance
and is to be corrected to prevent reoccurrence of the same, or similar, non-
conformance.
Signature – A signature is a handwritten, electronically written, or
electronically typed name of an individual or entity that indicates an act of
approval, disapproval, review, or recommendation.
8. Non-Conformance_Corrective Action(NC_CA) form
Records
9. [Name] - Audits
Supporting [Name] – Complaints
documents ORA-QMS.007, Corrective Action Procedure
10.
Attachments Attachment A: Non-Conformance_Corrective Action Form Example
Document History
Version Date Location of Name & Title
Status
No. (I, R, C) Approved Change History Author Approving Official
1.4 R 12/31/07 In Document LMEB LMEB
1.5 R 02/06/12 In Document LMEB LMEB
1.6 R 09/29/14 In Document LMEB LMEB
Approving Official’s signature: _________________________________ Date: _____________
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Document No.: Version No.: 1.6
ORA LABORATORY PROCEDURE
Food and Drug Administration ORA-LAB.4.11
Page 9 of 9
Effective Date:
ATTACHMENT A 10-01-03
Non-Conformance_Corrective Action Form Example Revised:
09/29/14
ID#_______
[NAME]
Non-Conformance_Corrective Action Form
Initiated by:___________________Supervisor___________________Date:___________
Affected Project(s) and/or Analysis:___________________________
Quality System Problem(s) and Findings:
Priority: Low __ Med __ High __ Root Cause Required: Yes __
Possible Causes and Major Area/Situations Investigated:
Findings and Causes from Investigation:
Conclusion (identified root cause)/Corrective Action:
Initiator:___________________Date:_____________Supervisor___________________Date:___________
Submitted to QSM:___________________ Date:__________
FOLLOW UP/:_______ Due Date:_________Date Closed: _____________
Monitoring
Findings:
Quality System Manager __________________
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