Preventive Action

The next logical discussion is the second half of the Corrective and Preventive Action (CAPA) subject. According to ISO 9001 section 8.5.3, Preventive Actions identify and eliminate the causes of potential nonconformities in order to prevent occurrence. These are proactive measures, instead of the reactive steps taken for a Corrective Action.

The main goal for Preventive Actions is to avoid creating non-conformances, but they are also intended to include improvements in efficiency. Typically a company will create Action plans in response to Preventive Actions. Once something is identified as a potential source of problems, you will need to assess how likely that situation is to actually happen and if the costs associated with reducing the potential effect are worth it.

Opportunities for preventive measures can evolve from:

Management review process
Monitoring or analyzing processes
Analysis of customer feedback
Trends in root cause analysis of corrective actions
Risk assessment, FMEA findings
Suggestions for improvement from employees
Production planning
Changes in regulations or standards
New technology assessment
Audit findings (internal, external, regulatory)

ISO 9001 requires a documented procedure for preventive actions. The procedure should include information on how the potential problem is identified, where and how to record it, who has the responsibility to investigate the cause, who can decide what actions to take, how you will record the actions taken, what steps are taken to assess the solution and document any evidence, and to identify when it is appropriate to close the Preventive Action. The documentation of Preventive Actions provides evidence that you have a quality system in place and that your company is able to anticipate, identify and eliminate potential issues. It is also required, as well, to maintain the records for the actions identified and what steps were taken to reduce the potential risk.