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Corrective Actions
Training
January 2020
Hazard Identification
6.1.2 Hazard identification and assessment of risks and opportunities
6.1.2.1 Hazard identification
Routine and non-routine activities and situations, including hazards arising from:
1) infrastructure, equipment, materials, substances and the physical conditions of the
workplace;
2) product and service design, research, development, testing, production, assembly,
construction, service delivery, maintenance and disposal;
3) human factors;
4) how the work is performed
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Hazard Identification
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Nonconformity and Corrective Actions – ISO 45001:2018
10.2 Incident, nonconformity and corrective action
The organization shall establish, implement and maintain a process(es), including
reporting, investigating and taking action, to determine and manage incidents and
nonconformities.
When an incident or a nonconformity occurs, the organization shall:
a) react in a timely manner to the incident or nonconformity and, as applicable:
1) take action to control and correct it;
Corrections
2) deal with the consequences;
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Incident, Nonconformity and Corrective Actions – ISO 45001:2018
1 2 Non-
Incidents Non-Conformities can be identified through:
Conformities
• Audits
Actions Control
• Inspections/Site Visits
and correct • Observations during the site operations
• Observation Module
Deal with
Consequences
Investigate the Review the
Incident nonconformity
Determine the
Determine the
causes of
causes of Incident
nonconformity
Determine & Implement any actions
Corrective Actions may be identified needed including Corrective Actions
through Incident Investigations Corrective Actions may be identified through
Review the effectiveness of any actions
review of causes of non-conformities
taken including Corrective Actions
Corrective actions shall be appropriate to the effects or potential
effects of the incidents or nonconformities encountered 5
Corrective Actions
Corrective Action Process:
is usually a two tier process, where in tier one only Correction and or containment is required and in tier
two Corrective Action is required.
• Correction: actions taken to contain and correct the nonconformity
• Corrective Action: actions to eliminate the cause(s) of a nonconformity or an incident to prevent
recurrence.
• This requires determination of the root cause(s) of the detected nonconformity and taking action(s)
to eliminate the root cause(s) to prevent recurrence of the nonconformity.
(ISO 45001:2018)
Corrections
• When you have an incident, be it an accident that causes injury or a near miss where someone is almost hurt, you
will want to make immediate changes so that other employees do not suffer the same fate in the short term. This
could be adding a temporary warning sign, repairing a damaged or broken safety fence, or even stopping work in an
area until the incident is fully investigated and the problem is fully resolved.
• These corrections are often called containment actions, and this forms one step in the process of implementing a
corrective action. It is important to make sure that no one is injured while you are fully correcting the problem, but
this is not where the process should stop. Just because you repaired the safety guard doesn’t mean you know why it
was damaged in the first place. Corrections are often only a “Band-Aid” solution until you can look deeper into why
the problem happened, and they can quickly become ineffective when people get used to having them there (e.g., a
warning sign can be ignored if it is in place too long).
Corrective Actions
• For a corrective action, you need to look into why the problem happened and then find
the root cause and correct it. This will prevent the incident form occurring again in the
future, because you have made sure that the root cause of the problem is no longer
present. If you are not looking deeper into why a problem happened so that you can
remove the ultimate cause, you are not really doing a corrective action; the actions you
are taking are likely only a correction.
• If you find that the reason a safety guard was not working was because it degraded over
time, you might need to put in a preventive maintenance program to ensure that the
safety devices in your process continue to work over time. If you had a near miss where
some shelving units collapsed, but no one was hurt, you might need to look at your
process for approval of shelving units (if the shelving was not suited to the purpose), your
process for installing shelving units (if the shelves were not properly installed and secured
to the wall), or even your process & training for how shelves can be stacked (if you found
the shelves were over capacity). The action required will be different depending on what
you find was the root cause that allowed the incident to happen.
Root Cause Analysis
1 Define the problem 2 Collect the data
• What proof do you have that the problem exists?
• What happened?
• When did it happen? • How long has the problem existed?
• Where did it happen? • What is the impact of the problem?
3 Identify the possible causal factors
• What sequence of events lead to the problem?
• What conditions allow the problem to occur?
• What other problems surround the occurrence of the central problem?
Root Cause Analysis – Contributing Factors
Where to look for contributing factors
1. Tasks, procedures, method statements, guidelines, standards, permit to work
2. Environment and site conditions (weather, noise, air, surroundings) ground conditions, overhead or underground
conditions, congested work area, ergonomic design etc.
3. Materials , hazard to health, flammability, physical obstruction(as in waste)
4. Equipment – maintenance, fault, method of operating, certification, authority to operate, training/licence
requirements, conditions for operating (environment)
5. Personnel (training, stress (personal or work-related), fatigue, experience, responsibilities, authority
6. Management (supervision, inspections, communication and awareness briefings)
Root Cause Analysis – Cause & Effect Methodology
Previous Incidents
Management Man Method
Previous NCs
Supervision Responsibilities Sequence
Legal Requirements
Inspections Competencies Procedure/MS
Project Requirements
Action Plans Awareness Standard
Authority
Nonconformity/
Incident
what to monitor Suitability Approved
How to monitor maintenance Working Conditions
hazardous • Temperature – hot , cold, humid, windy, rainy
Certification • Place of work – confined space, work at height,
When to monitor Storage adjacent to water, buried services, ground
conditions, overhead restraints, physical
restrains
• Working conditions – lone working, exposed to
noise, exposed to harmful substance
Measurement Machine Material
Corrective Actions Management Process
Identify
1 Initiate corrective containment & Deal with the
action
2 Assign owner 3
Correction Immediate cause(s)
Implement
4 containment & 5 Review & Determine root
Analyze
6 cause(s)
Correction
Implement
Verify Follow up &
7 Corrective 8 9
Effectiveness Close CAR
Action
Corrective Action’s Verification
Verification of Effectiveness
• Often confused with verification of implementation.
• Completion of corrective action tasks.
• Monitor and measure the process to verify the effectiveness of the actions taken.
• Poor results often indicate wrong Root Cause or wrong Corrective Action(s).
• Conduct repeatability Analysis and Audits
Closure
• Closure can only happen after successful verification of Corrective Actions.
• By nature, effective Corrective Actions will prevent recurrence.
• If Corrective Actions cannot be called effective, then Root Cause Analysis should be repeated.
• Record the date of closure.
Nonconformity Scenarios
• The lifting operation (offloading structural steel) is commencing using the crawler crane 300T
whereby Contractor is planning to undertake the erection of the upper tier raker beam. However
there was no official approval of the lifting plan using the aforementioned crane.
• Electrical DB noted having not been inspected for the month of October
• Excessive material being stored in levels 3,4,5 on the East side of the Stadium, material was overly
stacked with storage of all material generally not being properly managed cluttering up the entire
work area.
• A red tagged scaffold access to the excavation is being used by operatives where the supervisor
simply ignored or not aware of the tagging system, in zone 6.
