EASTERN SAMAR STATE UNIVERSITY

College of Engineering
A. Y. 2022-2023
BS - Civil Engineering

5.3
Identification of Corrective
or Preventive Actions

BY:

YU, ENRICO B.
SUYOT, KIMBERLY B.
BSCE-3A

TO:

ENGR, RICHARD C. MENDOZA

INSTRUCTOR

What Is CAPA?
 -The term "CAPA," is an abbreviation for Corrective Action and Preventive
Action, representing two essential components of quality management
systems. CAPA meaning revolves around identifying non-conformance
issues, analyzing root causes, implementing corrective measures, and taking
preventive steps to avoid recurrence.

What is a Preventive Action?

-Preventive action is taken to fix the cause of a process problem before it
can happen. In a management system, a preventive action (PA) definition
could be: “the activities taken by the organization to eliminate the cause of
a potential process nonconformity
What is corrective action?
-Corrective action (CA) is the activities taken to eliminate the cause of a
process nonconformity. Corrective action is the activity of reacting to a
process problem, getting it under control through containment actions, and
then taking the action needed to stop it from happening again
What Is the Difference between Corrective Action and Preventive
Action?
- Corrective is reactive. Preventive is proactive. Although these two actions
use similar processes and some of the same analytical tools, they are not
necessarily used together.

How do you do corrective and preventive action?

1) Identify the process problem – Define what the problem actually is.
First, make sure the problem is, in fact, a real problem, and not a
perceived problem. A good test is if you can write the problem with a
requirement to compare, what is often called a “Should Be” and “Is”
statement (e.g. Parts should be nickel plated, parts were received painted
black). If you can’t say what the outcome should be (or is expected to be),
then you may not have identified a real problem.
2) Identify how big the problem is – What is the scope of the problem?
Make sure you understand how big the problem to be addressed is. Is it
just today’s product, or was yesterday’s product affected too? Is it just this
one product, or is it on more than one product? Make sure you know what
 the problem is, and more importantly, what it is not. If the problem only
happens on Wednesday, this may be important information.
3) Take action to contain the problem – How can we stop the problem
while we fix the root cause? Make a correction to stop the problem for right
now while you look for the ultimate cause and fix that. Basically, what
immediate checks or stop gap measures are you putting in place to make
sure that you will definitely catch the problem again if it recurs while you
are fixing it.
4) Identify the root cause of the problem – What is the base of the
problem, not just the surface manifestation? This is the trickiest part. How
do you make sure you have found the underlying issue? There are many
different ways to do this, from asking “Why” five times until you find the
ultimate cause, to more difficult methods like a classic Ishikawa (or
Fishbone) Diagram.
5) Come up with a plan to fix the root cause – What do you need to
change to eliminate the root cause? Decide what steps are needed to
eliminate the root cause of the problem. Here, depending on the problem,
you will need to identify the cost and return on investment. How will it be
funded (if it is a complicated and expensive fix), and who needs to
approve the expense? Make sure the planned changes will not cause
further problems.
6) Put your plan in place – Do what you have planned. This is as simple as
following through on your plan and making it happen. It could be as simple
as implementing the preventive maintenance program already described,
or buying and installing a new piece of equipment because the old one
could no longer keep the accuracy you need.
7) Check that your plan worked – Make sure your plan was effective.
Simply put, after you have made your updates, wait a suitable amount of
time and make sure the problem doesn’t recur. If it does, you need to
question if you got the actual root cause. This is the most important step,
but also the step that most companies have trouble with. Often, people
want to close out the paperwork quickly, or think the registrar requires
closure early to demonstrate timeliness, but proper follow-up is essential.
WHAT IS ISO STANDARD?
ISO (International Organization for Standardization) are internationally
agreed by experts. Think of them as a formula that describes the best way
of doing something. It could be about making a product, managing a
 process, delivering a service or supplying materials standards cover a
huge range of activities.

Why is corrective action important?

- When dealing with a systemic problem, one that is not due to a one-time
mistake, but rather is caused because of something in the system, you
can lose a lot of time and money by ignoring it. This is why corrective
action is important.

Corrective Action Plan

-The corrective action plan is a set of actions to eliminate the problem.
The corrective action plan is about addressing the root cause of the
problem, not simply correcting the symptom that has been found

What should a Corrective Action plan include?

When you have identified the root cause of the problem, it is time to create a
corrective action plan to eliminate it. Some things to think about when preparing
your corrective action plan include:
 Fully assessing the root cause – Have we fully assessed the root cause,
or could there be a further underlying cause to what has been identified?
 Assess the risks and opportunities of the change – It has always been
important to make sure that the changes you have decided to make are
not going to cause more problems, but with the new version of the ISO
standards there is a requirement to address the risks and opportunities
that are present when you are going to make a change. For example, by
making a process change to address a root cause, is there a risk that the
output of the process will cause a problem further on in your business, or
even at your customer’s site? If you have identified a good corrective
action for one process, is there an opportunity that this can be put in place
for other processes to prevent problems from occurring in the future?
 Identify the steps needed – What are the steps needed to eliminate the
root cause from the process?
  Assess schedule & cost – What is the timeline of implementation? What
are the cost and return on investment? Are there other alternatives that
need to be assessed? Is this plan feasible?
 Plan for assessment along the way – As you work through your plan, do
you need to make changes? Assessing if the plan is working as you
proceed can help to ensure that your final assessment for effectiveness
will give authentic results.
 Plan for assessment of effectiveness – Before starting on the plan, how
will we know the changes actually worked? Will a key performance
indicator improve? Will we have to wait for several months to ensure the
problem doesn’t come back (which would mean we didn’t address the root
cause)?

Why do the recent ISO standards require corrective action and not
preventive action?
- The previous versions of ISO 27001, ISO 9001, ISO 14001, and other
standards that align with Annex SL included requirements for a corrective
action process and a preventive action process as part of the
management system. The steps involved in both were essentially the
same, but the action that triggered the process was different; corrective
action reacted to a problem that occurred, where preventive action was
initiated by the identification of a potential problem.
ISO has indicated that the complex process that was previously
involved in PA is unnecessary, and there are other parts of the
standard that, when used properly, can effectively provide good
preventive actions. Now preventive action is replaced by other parts of
the standard, including.
. -Risk-based thinking – This new requirement asks that you identify areas
that could affect the management system where you are uncertain of the
outcome.
-Improvement – Any improvement activities that you take to make the
processes of your management system better are preventive actions. The
focus of the new requirements is for each company to find good ways that
work for them to improve processes, rather than having the complicated
preventive action system in place from previous versions of the standards.
 .
REFERENCE:
https://advisera.com/articles/complete-guide-to-corrective-action-vs-preventive-
action/
https://www.smartsheet.com/corrective-and-preventive-action#:~:text=Here%20is
%20the%20main%20difference,in%20order%20to%20prevent%20occurrence.
https://anvl.com/safety/safety-resources/corrective-action-preventive-action/?
fbclid=IwAR1a5W5g09f93uAyUqhvPJUun9fVOoq1_nOSjWl1i6AdfHg50RZGX2i0
YsI#:~:text=A%20corrective%20action%20may%20be,may%20arise%20in
%20the%20future