Xử lý NCR - Hướng dẫn viết phiếu CAR/PAR đúng chuẩn ISO 9001 cho nhà máy tại TP Huế

Nhận NCR (Non-Conformance Report) sau audit ISO luon la mot trai nghiem cang thang voi nhieu doanh nghiep tai TP Hue. Nhung NCR khong phai the hien su that bai - no la co hoi de cai tien that su. Van de la nhieu nha may khong biet cach xu ly dung: viet phieu CAR chieu le, phan tich nguyen nhan qua loa, hoac khong co bang chung thuc hien. Ket qua la NCR bi tai phat o lan audit tiep theo.

Bai viet nay huong dan day du quy trinh xu ly NCR - tu khi nhan phieu den khi dong CAR - theo dung yeu cau ISO 9001:2015 dieu khoan 10.2.

1. NCR, CAR va PAR la gi? Phan biet ro truoc khi xu ly

Khai niem	Viet day du	Mo ta	Ai mo phieu?
NCR	Non-Conformance Report	Phieu ghi nhan diem khong phu hop phat hien trong audit	Auditor (noi bo hoac ben ngoai)
CAR	Corrective Action Request/Report	Phieu hanh dong khac phuc - phan tich nguyen nhan va ke hoach sua chua	Bo phan duoc audit, duoc duyet boi quan ly
PAR	Preventive Action Request/Report	Phieu hanh dong phong ngua - xu ly rui ro truoc khi su viec xay ra	Bat ky bo phan nao, tu nguyen hoac theo yeu cau
OFI	Opportunity For Improvement	Co hoi cai tien - khong phai NCR, khong bat buoc phai xu ly	Auditor ghi nhan, doanh nghiep tu quyet dinh

Luu y: ISO 9001:2015 khong con yeu cau bat buoc PAR rieng biet nhu phien ban 2008. Tuy nhien nhieu doanh nghiep van duy tri PAR vi gia tri thuc tien cua no.

2. Phan loai muc do NCR

Muc do	Mo ta	Thoi han xu ly	Anh huong den chung nhan
Major NCR	Vi pham nghiem trong: khong co he thong, khong co bang chung thuc hien, toan bo quy trinh sai	14-30 ngay lam viec	Co the bi dinh chi/tu choi chung nhan neu khong xu ly kip
Minor NCR	Vi pham don le, he thong on nhung thuc hien chua deu, thieu mot so bang chung	30-60 ngay lam viec	Phai dong truoc lan audit giam sat tiep theo
OFI	Co hoi cai tien - khong phai vi pham	Khong bat buoc	Khong anh huong den chung nhan

3. Quy trinh xu ly NCR va viet CAR tung buoc

Buoc 1: Tiep nhan NCR - Doc ky truoc khi ky xac nhan

Khi nhan phieu NCR tu auditor, phai doc ky 4 yeu to:

• Bang chung khach quan: Auditor da quan sat thay gi, phong van duoc gi, thu tuc nao duoc kiem tra?
• Dieu khoan vi pham: Vi pham dieu khoan nao cua ISO 9001:2015?
• Muc do: Major hay Minor?
• Yeu cau khac phuc: Thoi han nop CAR la bao nhieu ngay?

Neu khong dong y voi noi dung NCR, co quyen phan bien truoc khi ky - nhung phai co co so ro rang. Viec ky xac nhan NCR khong co nghia la nhan toi - chi la xac nhan da duoc thong bao.

Buoc 2: Xu ly khac phuc tuc thoi (Immediate Correction)

Truoc khi phan tich nguyen nhan, can xu ly van de truoc mat de ngan su viec tiep tuc gay hai. Vi du: neu NCR la "san pham loi khong duoc cach ly", hanh dong tuc thoi la cach ly ngay lo san pham dang bi nghi ngo. Day la buoc "cap cuu" - khong thay the cho hanh dong khac phuc that su.

Buoc 3: Phan tich nguyen nhan goc re (Root Cause Analysis)

Day la buoc quan trong nhat - va cung la buoc nhieu doanh nghiep lam sai nhat. Nguyen nhan goc re phai giai thich TAI SAO su viec xay ra - khong chi mo ta su viec da xay ra.

Cong cu 5 Whys (5 Lan Tai Sao):

Lan	Cau hoi	Vi du tra loi
1	Tai sao san pham loi khong duoc cach ly?	Vi nhan vien khong biet quy trinh cach ly san pham loi
2	Tai sao nhan vien khong biet quy trinh?	Vi chua duoc dao tao ve SOP xu ly san pham khong phu hop
3	Tai sao chua duoc dao tao?	Vi SOP moi cap nhat thang truoc nhung chua co buoi dao tao bo sung
4	Tai sao khong co dao tao bo sung?	Vi khong co quy dinh bat buoc dao tao khi SOP thay doi
5	Tai sao khong co quy dinh nay?	Day la khe ho trong quy trinh kiem soat tai lieu - chua co buoc thong bao + dao tao khi ban hanh phien ban moi

Nguyen nhan goc re that su: "Quy trinh kiem soat tai lieu chua co buoc bat buoc dao tao khi ban hanh phien ban moi cua SOP." Day moi la dieu can khac phuc - khong phai chi dao tao them 1 nhan vien.

Buoc 4: De xuat hanh dong khac phuc

Hanh dong khac phuc phai giai quyet truc tiep nguyen nhan goc re - khong chi xu ly trieu chung. Can ghi ro:

• Hanh dong cu the: Lam gi? (Cap nhat SOP kiem soat tai lieu: bo sung buoc thong bao + dao tao khi ban hanh phien ban moi)
• Nguoi chiu trach nhiem: Ai lam? (Truong bo phan ISO)
• Thoi han hoan thanh: Khi nao xong? (15/06/2026)
• Bang chung hoan thanh: Chung minh bang gi? (SOP cap nhat + bien ban dao tao + danh sach ky ten)

Buoc 5: Thuc hien va luu bang chung

Thuc hien dung theo ke hoach da de xuat. Bang chung hoan thanh phai cu the, co the kiem chung: anh chup, tai lieu cap nhat, bien ban dao tao, du lieu do luong... Tranh bang chung chung chung nhu "da dao tao nhan vien" ma khong co ho so di kem.

Buoc 6: Xac nhan hieu luc va dong CAR

Sau khi thuc hien, auditor noi bo hoac quan ly chat luong xac nhan: hanh dong da thuc hien co that su giai quyet duoc van de goc re khong? Neu co, dong CAR. Neu chua, mo rong hanh dong. Viec xac nhan hieu luc phai dien ra sau it nhat 1-3 thang de dam bao van de khong tai phat.

4. Mau cau truc phieu CAR chuan

Phan	Noi dung can dien
Thong tin chung	So phieu, ngay mo, nguoi mo, bo phan, nguon phat sinh (audit noi bo/ben ngoai/khieu nai KH)
Mo ta su khong phu hop	Copy nguyen van tu NCR hoac mo ta chi tiet van de, kem dieu khoan vi pham
Khac phuc tuc thoi	Buoc xu ly truc tiep truoc mat, nguoi thuc hien, ngay hoan thanh
Phan tich nguyen nhan goc re	5 Whys hoac Fishbone, xac dinh ro nguyen nhan goc re thuc su
Ke hoach hanh dong khac phuc	Bang: Hanh dong cu the / Nguoi chiu trach nhiem / Thoi han / Bang chung
Theo doi thuc hien	Ngay kiem tra tien do, % hoan thanh, ghi chu
Xac nhan hieu luc	Auditor xac nhan: co/chua hieu luc, ngay xac nhan, chu ky
Dong phieu	Ngay dong, chu ky quan ly chat luong va truong bo phan

5. Nhung loi thuong gap khi viet CAR

Nham lan nguyen nhan va trieu chung

Viet "Nguyen nhan: nhan vien quen khong dien bieu mau" - day la trieu chung, khong phai nguyen nhan goc re. Nguyen nhan that su co the la: bieu mau qua phuc tap, nhan vien chua duoc dao tao, khong co che doi soat. Phai dao sau hon voi 5 Whys.

Hanh dong khac phuc qua chung chung

"Se tang cuong dao tao nhan vien" la hanh dong khong the do luong duoc. Phai cu the: "Dao tao lai 100% nhan vien khu vuc san xuat ve SOP-QC-05 truoc ngay 30/06, co bien ban + danh sach ky ten luu kem."

Khong theo doi viec thuc hien

Viet CAR xong roi de do khong ai theo doi. Toi audit giam sat tiep theo - auditor hoi "NCR lan truoc xu ly xong chua?" - khong co bang chung. Day la Major NCR them. Phai co nguoi phu trach theo doi tien do va nhac nho truoc han.

Bang chung qua so sai

Nop 1 anh chup bieu mau da dien day du nhu la bang chung "da dao tao nhan vien" - khong du. Bien ban dao tao co danh sach tham du, chu ky, ngay thang moi la bang chung hop le.

6. Cau hoi thuong gap

NCR tu khach hang co can xu ly bang CAR nhu NCR tu audit khong?

Co - ISO 9001:2015 dieu 10.2 yeu cau xu ly tat ca su khong phu hop, bat ke nguon goc. Khieu nai tu khach hang la su khong phu hop can duoc ghi nhan, phan tich nguyen nhan goc re, co hanh dong khac phuc va luu ho so. Nhieu to chuc chung nhan se kiem tra ho so xu ly khieu nai khach hang trong audit giam sat.

Phai luu CAR trong bao lau?

Toi thieu 3 nam - du de to chuc chung nhan co the tra cuu trong 3 ky audit lien tiep. Voi NCR lien quan den an toan hoac san pham co anh huong suc khoe, nen luu lau hon (5-10 nam tuy nganh). Luu ca ban dien tu de tranh that lac ban giay.

Co the xu ly nhieu NCR trong 1 phieu CAR khong?

Khong nen. Moi NCR nen co 1 CAR rieng vi nguyen nhan goc re cua cac NCR thuong khac nhau. Gop nhieu NCR vao 1 CAR de quan ly kho, va auditor cung kho xac nhan hieu luc cho tung NCR rieng biet. Tuy nhien neu cac NCR co cung nguyen nhan goc re (vi du: cung do khong co quy trinh kiem soat thay doi), co the xu ly trong 1 CAR va neu ro NCR nao duoc giai quyet.

Ket luan

NCR la tin hieu canh bao som - xu ly dung thi he thong ISO ngay cang manh; xu ly sai thi van de tich tu den khi thanh khung hoang. Quy trinh 6 buoc neu tren - tu tiep nhan, khac phuc tuc thoi, phan tich 5 Whys, de xuat hanh dong, thuc hien va xac nhan hieu luc - la khung chuan giup bat ky doanh nghiep nao tai TP Hue xu ly NCR dung ban chat ISO 9001:2015.

Xem them checklist audit ISO 9001 va huong dan audit noi bo tung buoc de co bo cong cu day du cho he thong QMS. Cong ty TNHH Cung ung va Giai phap 2T san sang ho tro doanh nghiep tai TP Hue xu ly NCR dung chuan va vuot qua audit giam sat hieu qua.