How To Implement Corrective Actions in ISO 9001:2015:

A Quality Manager’s Guide

Strengthen QMS with risk-based corrective actions

Compliance software to help you demonstrate conformance to ISO 9001:2015

Corrective Actions are a specific set of steps used to help improve overall quality management by eliminating process discrepancies and preventing recurrences of root causes. They are implemented to identify, resolve, and prevent issues of quality non-conformity.

In prior ISO 9001 standards, Corrective and Preventive Actions (also known as CAPA) were separate action plans that each had their own requirements. Summarized in a CAPA Report, they outline the plans on how to fix the existing problem immediately and how to prevent it in the future. However, the latest ISO 9001:2015 standards (Clause 10.2) eliminated the need for predefined procedures for preventive actions. Instead, it emphasized the importance of having a risk-based approach throughout the process, rather than “preventive actions” being done and documented separately.

In this simplified guide for quality managers, we present 5 steps on how to implement corrective actions that are compliant with ISO 9001:2015, with the help of a compliance software.

corrective actions iso 9001 2015 item 1

1. Determine if the situation calls for corrective action.

Not every issue warrants a corrective action. The purpose of issuing a corrective action plan is to identify and resolve problems that are systemic, something that endangers a company’s QMS.

Quality managers and their teams can choose an appropriate risk analysis technique to determine the severity of a non-conformity and decide if a corrective action is needed. The most frequently used approaches are FMEA and HAZOP. This is a good way to inculcate risk management right at the start of the process and help qualify the level of risk and impact an issue brings to the organization, product, and/or services.

Once a corrective action is deemed necessary, the quality team and process owners can collaborate and use an ISO 9001:2015 - compliant corrective action report template to document their plan’s progress.

corrective action report iso 9001 2015

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
fmea risk assessment

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
hazop risk assessment

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
corrective action report iso 9001 2015

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
fmea risk assessment

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
OSHA standards - housekeeping

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
corrective action report iso 9001 2015

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
fmea risk assessment

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
hazop risk assessment

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
corrective actions iso 9001 2015 item 2

2. Conduct root-cause analysis
(if applicable).

Root-cause analysis (RCA) is a methodical approach in analyzing a problem and identifying the root causes to solve counterproductive issues or events. It is based on the belief that issues are best solved by eliminating the root cause/s, as opposed to merely addressing the apparent symptom. RCA is best used for issues that cannot be resolved quickly, are repetitive, and systemic.

ISO 9001:2015 highly recommends engaging cross-functional team members and leaders throughout the planning of corrective actions. Quality teams can encourage this by using a compliance software to facilitate collaboration, even when they’re in different locations. The 5 Why’s and/or 8 Disciplines of Problem-Solving (8D) approaches are good root-cause analysis techniques that can help them work together on crafting a good problem statement, identifying the root cause/s, and brainstorming on appropriate solutions to address non-conformance.

empower workers to observe osha standards efficiently
5 whys template

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
8d report template

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
OSHA standards - hazard assessment

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
OSHA standards - housekeeping

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
5 whys corrective action request

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
corrective actions 8d report

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
corrective actions iso 9001 2015 item 1

3. Work on the corrective action plan as a team.

Identifying the root causes and their effect can help formulate the most appropriate corrective action/s. In a corrective action plan, there are two key actions: a “correction” recommendation to immediately eliminate the detected non-conformity and the corrective action itself. Apart from the details about the non-conformity and the recommended corrective action, specific details should also be provided, such as implementation timeline, key people and signatories, and costs. Once finalized and reviewed, the digital corrective action plan can be shared to key people to standardize information.

corrective actions iso 9001 2015 item 4

4. Communicate and implement the corrective action.

Enhance leadership involvement and encourage them to communicate the change and the rationale behind it. Notify key people via the QMS software about their assigned tasks. Provide a communication channel where anyone can give regular feedback while the corrective action is being implemented. These all factor in and determine the success of a corrective action plan’s implementation.

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5. Conduct follow-ups to ensure effectiveness of corrective action.

IS0 9001:2015 requires organizations to review the effectiveness of corrective actions and update risk levels and possible opportunities. After the implementation, the process owners and quality team should wait a suitable amount of time and conduct follow-up reviews.

Additional fields in the digital corrective action plan are available so quality managers can input comments during the review. To document results, they can use QMS software features, such as attaching photos and notes , to provide clearer evidence on the effects of the implemented corrective action.

To implement corrective action plans that are compliant with ISO 9001:2015, quality managers can use a collaborative compliance software like iAuditor to manage their implementation — from root-cause analysis to review of effectiveness of corrective action plans.

Here's a collection of templates you can use for planning risk-based corrective actions:

OSHA standards - excavation and trenching worksite analysis checklist

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
OSHA standards - warehouse safety inspection

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
OSHA standards - confined space entry procedure checklist

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
OSHA standards - overhead and gantry cranes

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
OSHA standards - housekeeping

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
OSHA standards - Welding, Cutting and Brazing OSHA Checklist

ISO 9001:2015 Audit Checklist

Use and customize this template to check your organization's Quality Management System compliance to ISO 9001:2015 standards.

Download Template
OSHA standards - warehouse safety inspection

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
OSHA standards - Confined Space Entry Procedure

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
OSHA standards - Excavation/Trenching Worksite Analysis

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
OSHA standards - Overhead & Gantry Cranes

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
OSHA standards - Welding, Cutting, and Brazing checklist

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
OSHA standards - Toolbox Talk: preventing slips, trips and falls

ISO 9001:2015 Audit Checklist

Use and customize this template to check your organization's Quality Management System compliance to ISO 9001:2015 standards.

Download Template
OSHA standards - warehouse safety inspection

ISO 9001:2015 Corrective Action Report

Use this risk-based Corrective Action Report template to document plans on how to eliminate non-conformities and its root cause/s.

Download Template
OSHA standards - Confined Space Entry Procedure checklist

FMEA Risk Assessment Template

Failure Modes and Effects Analysis is a step-by-step approach for identifying all possible failures in a design, a manufacturing or assembly process, or a product or service.

Download Template
OSHA standards - Confined Space Entry Procedure checklist

HAZOP Risk Assessment Template

A HAZOP is a sequenced and methodical study of a process that seeks to identify problems that may represent risks to personnel or equipment.

Download Template
OSHA standards - Overhead & Gantry Cranes checklist

5 Why's Template

Use this 5 whys template to resolve the root cause of a problem so that your business teams can avoid encountering them again.

Download Template
OSHA standards - Welding, Cutting, and Brazing checklist

8D Report Template

This template is used to document a comprehensive root-cause analysis based on the 8 Disciplines of Problem-Solving, previously known as the Team-Oriented Problem-Solving.

Download Template
OSHA standards - Toolbox Talk: preventing slips, trips, and falls

ISO 9001:2015 Audit Checklist

Use and customize this template to check your organization's Quality Management System compliance to ISO 9001:2015 standards.

Download Template

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