Understanding the differences between preventive and corrective action is important, because most management system standards (like ISO 9001 and AS9100) require both, with documented procedures to describe the processes, and records to provide a history of the process. Chuck Richardson of Performance Quality Systems, Inc. (www.performancequalitysystems.com) goes into more depth with a straightforward interpretation of preventive action.

The last clause of ISO 9001 is one that should be considered first. It is among the least understood parts of ISO 9001, while potentially being the most valuable of the requirements. It is preventive action. When planning or reviewing a product or process, identifying preventive actions is vital. Preventive action calls for businesses to eliminate the causes of potential problems before the problems actually occur. Preventive action and corrective action are cornerstones of ISO 9001s requirement for continual improvement, but they are two separate activities. True preventive action is not something added onto corrective action to prevent recurrence of a problem that has already happened.

Most companies have more corrective actions underway than they can effectively deal with. Problems are like weeds, you dont have to cultivate them, they just happen and the required response is corrective action. However, when I ask companies about the preventive actions taken, Im often faced with blank stares. Usually very little attention is devoted to preventive action. Preventive actions must be cultivated.

Process Planning and Review of Operations Contributes

To be effective identifying preventive actions must be part of the initial planning and ongoing review of operations. ISO 9001 calls for identifying key business processes such as quoting, design, order processing, scheduling, purchasing, production, shipping, and service delivery. Individuals responsible for each process, the process owners, should involve several knowledgeable people in evaluating his or her process. This team should identify each of the major functions the process is expected to perform and the resources required for the process to work as planned. Resources could include people, equipment, methods, instructions, tooling, measurement devices, and materials.

The team should consider the most likely and significant ways the process could fail to perform its intended functions. If significant risks are identified then preventive actions should be taken. Resources should be evaluated for weaknesses. For example: Review of documentation may reveal that instructions contain confusing or incomplete information. Review of measurement methods may show that different operators use different methods and could yield different results. Discussion with employees may reveal a lack of understanding of critical customer requirements.

Analysis of Data Provides Structure for Future Preventive Actions

ISO 9001 requires ongoing monitoring of processes and analysis of the data which provides another way to identify preventive actions. Analysis of customer ordering data may reveal a need to adjust inventory levels or product mix or production schedules. Monitoring equipment for vibration or oil consumption may reveal the need to adjust or repair equipment.

I mentioned earlier that problems just happen and dont have to be cultivated. The truth is that problems are often cultivated by poor planning and the failure to take preventive action.

(Robert C. Chuck Richardson is president of Performance Quality Systems, Inc., a quality management training and consulting business based in Frankfort, Illinois.)

Reprinted from B2B The Business to Business Forum for Will County August 2006