Nonconforming Product Control Audit Checklist

0%

0 of 31 items complete

11 critical items still open - these are the highest-risk gaps.

Download checklist:

Identification and segregation

Nonconforming product is clearly tagged or labelled at the point of discoveryCRITICALTags show part number, lot or serial, quantity, reason and dateA defined quarantine or hold area exists and is physically separatedCRITICALQuarantine areas are marked and access is controlledNo unidentified material is found near machines, in bins or on cartsNonconforming stock is held in a blocked or quality inspection status in the ERPCRITICALPhysical quantity in the quarantine area matches the ERP blocked quantitySuspect material from other lots or stations is checked when a defect is found

Reporting and disposition

Every nonconformance has an NCR number and a recordCRITICALNCR describes the requirement and what was found, with measurementsDisposition options are defined: use as is, rework, repair, scrap, return to supplierPeople who can disposition are named and authorizedCRITICALUse as is and repair dispositions have engineering justificationCustomer approval is obtained where the contract requires itCRITICALDispositions are made within a defined time limitOpen NCRs are reviewed in regular meetings with aging reported

Rework, repair and scrap

Rework instructions are documented and approvedReworked product is reinspected against the original requirementCRITICALRepair is distinguished from rework and handled per its own rulesScrap is rendered unusable or clearly marked before leaving the areaCRITICALScrap is recorded in the ERP with a reason codeReturned supplier product has a return authorization and a recordCosts of scrap and rework are captured

Records, analysis and corrective action

Completed NCRs are retained for the required periodDefect and reason codes are consistent across lines and shiftsNCR data is analysed by defect, supplier, part and process, at least monthlyRecurring problems trigger a corrective action requestCRITICALSupplier nonconformances are communicated to the supplierContainment includes product already shipped or in transit when relevantCRITICALCustomer notification occurs when nonconforming product may have been deliveredCRITICALEffectiveness of corrective actions is reviewed before NCR trend is accepted as improved

Count conforming items per group. Any failed critical item is a finding to raise in the audit report, even if the overall score is high. Sample real NCRs and physical locations, not just procedures.

Quarantine-to-ERP reconciliation report

Optional: discuss a read-only report that flags blocked stock with no matching NCR.

Optional. The tool and every export work without this. No spam.

How to run the audit

Go to the floor, not the office. Start in the quarantine area and trace three tagged items back to their NCRs and their ERP status. Then pick three closed NCRs and trace forward to the disposition, rework or scrap record and any corrective action. Mark each item as pass or fail as you go. Export the completed checklist to PDF for the audit report, or to Excel to track follow-up on each finding.

What good looks like

In a well-controlled plant, you can ask anyone where nonconforming product goes and get the same answer. The physical quarantine and ERP status agree, each tag has an NCR number, and dispositions are made by named people within a defined time. Scrap leaves the area marked and recorded. Where a customer requires approval for use as is or repair, the approval is attached to the record and not buried in an email.

Physical stock and ERP status agree
Named, authorized disposition authority
Rework reinspected against the original requirement
Customer approvals on file where required

Common findings

Common findings include untagged material at machines, quarantine bins that are also used for good parts, use as is decisions with no justification, rework with no reinspection record, and open NCRs that are months old. Another is inventory blocked in the ERP that no longer exists physically. Treat repeated findings as a system issue: ask what in the process makes the shortcut easy, and address it through the procedure, tools or training.

Frequently Asked Questions

How often should this audit be done?

Many plants audit the process at least annually as part of the internal audit program, and risk-based plants audit higher-risk areas more often. A short floor walk monthly is a useful supplement.

What is the difference between rework and repair?

Rework brings a product into conformance with the original requirement. Repair makes it usable but it may not meet the original requirement, so it often needs engineering justification and sometimes customer approval.

Who can authorize use as is?

Only people named in your procedure, usually quality and engineering together, and the customer when the contract requires. Production operators and supervisors should not have this authority alone.

Should scrap be recorded in the ERP?

Yes. Recording scrap with a reason code lets you analyse cost and trends, supports inventory accuracy, and gives evidence that nonconforming product did not return to stock.

If reconciling physical quarantine stock with ERP blocked stock is a recurring audit finding, we can help build a read-only exception report over your ERP.

Talk to an Expert Explore More Free Tools

Related Tools

Compliance & Contracts

More Quality & Inspection tools

See all