When something goes wrong (a customer complaint, an audit finding, an incident) it is tempting to fix the immediate problem and move on. ISO standards ask for more: find out why it happened and change something so it does not happen again. This is clause 10.2 in every ISO management system standard, and it is where many certification findings come from.
Correction is not corrective action
- Correction deals with the problem in front of you: rework the faulty batch, clean up the spill, re-issue the document.
- Corrective action removes the cause so it does not happen again: change the process, the design, the training or the check.
- You usually need both. Record both separately.
The 5 whys
Ask "why?" until you reach a cause you can act on, usually around five times. Example: the wrong part was shipped. Why? The picker took it from the wrong location. Why? Two parts were stored in the same bin. Why? There was no space when a new product was added. Why? Nobody owns the warehouse layout when new products are introduced. The corrective action is to add a warehouse layout check to the new product process, not "retrain the picker".
The fishbone (Ishikawa) diagram
For problems with several possible causes, sketch the categories and brainstorm causes under each: People, Methods, Machines, Materials, Measurement and Environment. Then test the likely causes against the evidence before deciding.
Good corrective actions
- Address the root cause you found, not a symptom.
- Prefer changes to the system (a mistake-proof fixture, a checklist, a system control) over "be more careful" or retraining alone.
- Have an owner and a due date.
- Check whether the same problem could happen elsewhere, and act there too.
- Are verified for effectiveness after a reasonable time: has the problem come back?
Closing it out
Only close the record when you have evidence the action was done and that it worked. Update risk assessments, procedures and training where they were affected, and report trends in nonconformities to the management review.
Frequently asked questions
Is "human error" a root cause?
Rarely. People make mistakes, so ask why the system allowed the mistake to cause a problem: unclear instructions, no check, poor design or time pressure are usually closer to the real cause.
How long should a corrective action take?
Proportionate to the risk. Certification bodies usually expect a plan for minor findings within about 30 days and faster action for major ones.
What does "verify effectiveness" mean?
Check, after enough time has passed, that the problem has not recurred, for example by reviewing the next three months of complaints or re-auditing the area.
This guide is general information for UK businesses, not legal advice. Check the current regulations and HSE guidance at hse.gov.uk, and take professional advice for your situation.