10.2 Corrective Action Explained [ISO 9001 Procedure]

What is a Corrective Action?

A corrective action is realizing and defining a problem, containing the problem, determining its cause and taking appropriate action to prevent it happening again.

What's the Difference Between a Corrective Action & Preventive Action?

A Corrective Action is re-active — deals with the problem AFTER the event. Corrects it.

A Preventive Action is pro-active — deals with the problem BEFORE it happens. Prevents it.

Contents

• What is a Corrective Action?
• Steps for a Corrective Action Process
• Define the Problem
• Contain The Problem
• Identify the Root-Cause
• Corrective Action Plan - Prevent Recurrence
• Corrective Action Procedure [Template download]

A corrective action should be considered as a reactive response to a problem since it is taken when a non-conformance is detected (for example, a customer complaint).

What is Non-conformance?

Corrective Action Process

The following steps will help you create a corrective action process:

• Define the Problem
• Establish an investigation team
• Select an Interim Containment Action
• Verify the Interim Containment Action
• Identify the Root-Cause
• Complete a Comparative Analysis
• Develop Root-cause Theories
• Verify the Root-Cause
• Determine and Verify the Escape Point
• Implement & Validate Permanent Corrective Actions
• Preventing Recurrence

If necessary, provide an emergency response action to protect the customer and initiate the process.

Define the Problem

Describe the internal/external customer problem by identifying what is wrong and detail the problem in quantifiable terms Define, verify and implement the interim containment action to isolate the effects of the problem from any internal/external customer until permanent corrective actions (PCA) are implemented. Validate the effectiveness of the containment actions.

Establish An Investigation Team, with:

• Process and/or product knowledge
• Allocated time
• Authority to solve the problem and implement corrective actions
• Skill in the required technical disciplines
• A designated Team Leader

Contain The Problem

Select an Interim Containment Action

An interim containment action is kept in place until a verified permanent corrective action can be implemented. In some cases, the interim containment action may be the same as or similar to the emergency response action. However, an emergency response action is implemented with minimal supporting data. An interim containment action provides more opportunity for investigation.

Verify the Interim Containment Action

Any interim containment action you implement must protect the customer from the problem without the introduction any new problems. Also, a single interim containment action may not be enough. You may need to implement more than one interim containment action to fully protect the customer.

An interim containment action can be any action that protects the customer from the problem. However, before you implement an interim containment action, you need to verify that the interim containment action will work. To verify the interim containment action:

• Prove before implementation it protects the customer from the problem
• Provide a before-and-after comparison
• Prove that the interim containment action will not introduce any new problems.

Methods of verification may include:

• A test to determine the desired performance level
• A demonstration that changes eliminated the issue without creating a new problem
• A comparison between the interim containment action and similar proven actions
• A review to evaluate whether the interim containment action was effective
• Assurance that the interim containment action did not introduce a new problem
• Implement an ICA

Conduct trial runs whenever possible. However, in some situations, your verification may simply be a matter of common sense. For example, if an interim containment action involves stopping the shipment of all products, you can be sure that customers will stop experiencing the problem.

You and your team must consider all of the trade-offs connected to your interim containment action. An important part of implementing an interim containment action is planning how you will implement the action.

To implement an interim containment action, follow this management cycle:

• Plan (Re-plan)
• Do (Implement)
• Check (Monitor)
• Act (Evaluate)

Identify the Root-Cause

Isolate and verify the root-cause by testing each possible cause against the problem description and test data. Also isolate and verify the place in the process where the effect of the root-cause should have been detected and contained (escape point).

Complete a Comparative Analysis - Corrective Action Report

The problem description should describe the problems in terms of what, where, when, and how big. The description should contain facts; such as observations and documentary evidence and not assumptions. All information must be gathered before identifying the root-cause can begin. Make sure both of the above factors are true before you move to the next step. Consider any new information that the team may have gathered since completing the initial problem description.

Once you have reviewed the problem description, you can begin a comparative analysis. A comparative analysis will help you identify relevant changes in a change-induced situation. Then you can reduce the number of possibilities that you must consider to determine root-cause.

To complete a comparative analysis:

Ask yourself; what is unique, peculiar, different, or unusual about the symptoms?

• Consider features such as people, processes, materials, machines and the environment
• List all facts without prejudice as to the possible cause

Consider each difference you listed, and look for changes, ask yourself:

• What has changed to give rise to this difference?
• Keep in mind that each difference may not have a corresponding change
• List the changes next to the difference
• Look at the dates each change occurred
• Eliminate some changes if they occurred after the problem started
• Consider categories of people, machines, processes or measurements

If the problem is change-induced, the root-cause must be the result of a change relative to one or more of the identified changes. It is important to remember that you have not yet moved from the ‘observations’ phase of the process. Any information you develop during the comparative analysis must be fact based, not opinion based and must be true only for the symptoms information. Do not rule out any facts that might be valid answers. If it is a fact and it answers the question, write it down.

Develop Root-cause Theories

Now that you have narrowed down the possible root-causes, you need to develop theories about how the problem occurred. Theories are statements that describe how a change may have created the problem.

To develop root-cause theories

• Use brainstorming techniques to generate ideas
• Ask: ‘how could this change have caused the problem?’
• Continue to ask the question until all possible theories are developed
• List at least one theory for each change
• List each theory individually on a worksheet
• List every possibility, no matter how strange or unlikely
• Don't reject or qualify any theory
• Start with the simplest single change theory first
• Then work up to more complex theories
• Be specific; don't use generalities such as ‘poor quality’ or ‘doesn't work’

Test the Theories

• Ask, ‘Does this theory explain the symptoms and data, if so how?’
• Test the theory against each individual condition

If a theory explains the problem, but lacks information necessary to explain why it happened, gather more data:

• Gather more data to prove or disprove these theories
• Test simple (single change) theories first
• Test highly complex or interactive theories last.

The root-cause must explain all known data. Any theories that pass the trial run are the most likely causes. If only one theory passes the trial run then verify this theory as the root-cause. However, more than one theory may pass the trial run. In those cases (and when practical and feasible), collect and analyze any missing data for uncertain theories and re-examine information to resolve uncertainties.

If additional information reveals that a theory cannot fully explain why the problem happened eliminate it from consideration. If it is not feasible to gather and evaluate additional information, try to verify each remaining theory. Start verification with the theory that best explains the symptoms.

Verify the Root-Cause

Once you have determined the most likely cause(s), verify that it actually causes the problem. Verification is the proof you need to confirm that you have identified the root-cause. Verification is done passively and actively. Passive verification is done by observation:

• Look for the presence of the root-cause without changing anything
• If you cannot prove root-cause, then the identified cause is not the root-cause

Active verification is done by manipulating the root-cause variable:

• Implement and remove the root-cause variable to make the problem ‘come and go’
• Both ‘coming’ and ‘going’ are essential tests to confirm the root-cause
• There can be more than one verified root-cause

Determine and Verify the Escape Point

After you have determined and verified the root-cause, you need to determine the escape point of the problem for the corrective action process. An escape point is the point closest to the root-cause at which the problem could have been detected but was not.

A control system is a system deployed to monitor the product/process and ensure compliance to quality requirements. A control system consists of responsibilities, procedures, and resources. A control point is a location within the control system at which the product/process is checked for compliance to the quality standards.

A product or process may have more than one control point within the system. When you identify the escape point, you can work to improve or establish a system to ensure that if problems occur, they will not go undetected.

To understand how the problem escaped and to identify the escape point:

• Review the process; focus on the part of the process where the root-cause occurred
• Determine if a control system exists to detect the problem

If none exists, the development of a new control system must be considered as part of the problem solution. If a control system currently exists:

• Identify the control point closest to the root-cause
• Determine if the control point is capable of detecting the problem

If the control system is not capable, the development of an improved system must be part of the problem solution. If the control point is capable of detecting the problem, then the control point is the verified escape point. Choose and verify permanent corrective actions for the root-cause and the escape point.

Select the best permanent corrective action to remove the root-cause and select the best permanent corrective action to eliminate the escape point. Verify that both decisions will be successful when implemented without causing undesirable effects.

Steps for permanent corrective actions (PCA) selection:

• Establish decision criteria, e.g. what is feasible
• Identify possible actions
• Choose the most appropriate permanent corrective action (PCA)
• Test and verify the permanent corrective action
• Re-evaluate the ICA & PCA for the escape point

Corrective Action Plan - Prevent Recurrence

Modify the necessary systems, policies, practices and procedures to prevent recurrence of this problem and similar ones.

Implement & Validate Permanent Corrective Actions

Plan and implement selected permanent corrective actions. Remove the interim containment action and monitor the long-term results. Steps for PCA implementation:

• Develop Action Plan for PCA
• Implement the PCA Plan
• Remove the ICA
• Evaluate the PCA for escape point
• Perform validation
• Confirm with the customer that the symptom has been eliminated

Make recommendations for systemic improvements as necessary:

• Review the history of the problem
• Analyze how the problem occurred and escaped
• Identify affected parties
• Identify opportunities for similar problems to occur and escape
• Identify practices and procedures that allowed the problem to occur
• Identify practices/procedures that allowed the problem to escape to the customer
• Analyze how similar problems could be addressed
• Identify and choose appropriate preventive actions
• Verify preventive action and its effectiveness
• Develop action plan
• Implement preventive actions
• Present systemic preventive recommendations to the process owner.

Serious consequences may occur when the underlying symptoms are not addressed, when the quick fix is accepted as a final, permanent solution. Excessive reliance on containment or emergency response action will create a repeating cycle. Problem containment is an addiction that will only get worse until root-causes are found and addressed.

Related Information You Might Find Useful

• 10.2 Nonconformity in ISO 9001
• 10.2 What is Non-conformance?
• ISO 45001 — 10.2 Nonconformity and Corrective Action
• Video — ISO 9001:2015 Clause 10.2 Corrective Action Reporting Simplified

Next ISO 9001 Clause

• 10.3 Continual Improvement

Each ISO 9001 Clause Explained

• Learn About ISO 9001

Updated: 26th February 2022
Author: Richard Keen

Richard Keen

Richard is our Compliance Director, responsible for content & product development.
But most importantly he is ISO's biggest fanboy and a true evangelist of the standards.
Learn more about Richard

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