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What is Preventive Action?
By: G. Venkataraman
In ISO 9001:2000, three
specific terms are used to indicate the action to be taken in case of
non-conformity. They are Correction, Corrective Action and
Preventive Action. Implementers of the QMS as per this International
Standard are often confused regarding the terminology to be used for the actions
taken by them when they find a non-conformity.
In a recent Implementers’
course on Corrective and Preventive Action conducted by this author,
participants were given a few instances in which they could determine the
actions they would take if they were the persons responsible. The following are
the instances.
1.
A plane is scheduled to take off at 6:30 AM on a domestic trip. All the
passengers have arrived and are awaiting the departure call. A few minutes
before the departure time, the airline announces that the flight is delayed
indefinitely. Passengers are unhappy and annoyed. One man even says he will sue
the airline for a loss in business resulting from the delay. What actions can be
taken by the airline staff?
2.
Tsunamis devastated some of the largest tourist locations in Asia. Waves
crashed against the shores and submerged large parts of the land. Many people
were rendered homeless. What actions can be taken by the government authorities?
Participants were asked to suggest the actions that could be taken and
explanation was given regarding the categorization of the actions into
Correction, Corrective Action or Preventive Action. Actions suggested by the
participants and the categorizations are as below.
1.
a)
Apologize to the affected passengers - Correction
b)
Make alternate arrangements for travel - Correction
c)
Arrange for boarding and, if necessary, lodging for the needy
passengers
- Correction
d)
Explain the reasons and be transparent - Correction
e)
Refund the fare - Correction
f) Provide a discounted ticket for a journey for the family - Correction
g)
Keep an aircraft ready as a stand by, always – Corrective action
h)
Keep enough spare parts for the aircraft – Corrective action
2.
a)
Move medical supplies immediately - Correction
b)
Requisition the services of good boats and rescue personnel - Correction
c)
Organize to evacuate the stranded tourists to safer places - Correction
d)
Organize community kitchens to feed the affected people - Correction
e)
Carry out aerial survey to find out damages - Correction
f) Use helicopters to rescue people in far flung places - Correction
g)
Construct permanent houses away from the sea - Correction
h)
Build a wall along the coast - Corrective action
i) Install a tsunami warning system – Corrective action
j) Ask for assistance from UN and other countries - Correction
k)
Declare a one-mile distance from the sea as ‘No construction/occupation
zone’ in all
states/countries which are vulnerable to tsunamis
- Correction
Even
after prolonged discussion, the participants were unable to determine any action
that could be categorized as PA. Some of them thought that if another
country, taking a cue from this experience, were to develop a warning system,
declare a ‘no construction zone’, or build a wall it would then fall under the
category of PA.
Taking the analogy and
applying it to business organizations, it was debated as to which of the actions
could be classified as PA. In one of the companies that the author audited for
ISO 9001 certification, the procedure for PA stated that one of the methods for
taking PA would be by ‘bench marking’. It was a good idea, I thought, but the
company had no evidence to show that they had bench marked any of their
processes!
One of the participants to
the course explained his thoughts as below.
“The range of experiences one organization has to draw upon might be too limited
to uncover the root cause of potential non-conformities, and therefore they
would be unable to develop effective PA. Others, however, may know more, and we
can learn from their experience and use it to develop suitable action if we have
a potential non-conformity. His opinion was that when it has already occurred
once - albeit in some other place - then it is only CA and not PA. If it is
deemed that any action taken after the occurrence of non-conformity is
Corrective Action, then all actions can be only CA and not PA. His thoughts
triggered a lot of discussion among participants. It was mentioned by
participants that even loss prevention actions by risk analysis, FMEA, etc.
would also be based on others’ experience and events that have happened
elsewhere.”
Extending the concept
further, is there a non-conformity that has potential to occur but is not known
to anybody else, globally speaking? Somewhere, sometime, someone would have
experienced this and others can learn from that experience and take action to
eliminate the causes. Will it not be CA, when it has already occurred once? And
if there is a non-conformity not known to anyone else in the world, occurring
for the first time ever, organizations will take correction and CA but no PA!
G. Venkataraman
President
Quality Services International
Chennai, India
About the Author
 Venkat
has over 35 years of Manufacturing-related experience and held
various Executive Management positions at companies, such as
Bharat Heavy Electricals Ltd. and Pandian Graphites Ltd. He has
been a tutor for IRCA (IEMA) certified courses. Venkat has
attained his Bachelor of Engineering Degree in Mechanical
Engineering from Annamalai University in India. He currently has
memberships with the National Institute of Quality and
Reliability and Indian Institute of Nondestructive Testing in
India.
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