Title and Document ID: Corrective and

Preventative Action Process QP8.5.2+3

Revision: 1.1
Issue Date: 03/22/2012

GE Power Electronics Business

Corrective and Preventative Action Process

Author:

Alessandro Cervone
Technical Manager Component & Reliability
Engineering

Reviewers:

Names

601 Shiloh Road

Plano, Texas 75074
Reviewer Address

Title

Contributors:

Names

Contributor Address

Title

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Title and Document ID: Corrective and

Preventative Action Process QP8.5.2+3
Revision: 1.1
Issue Date: 03/22/2012

Table of Contents
1.0

PURPOSE .............................................................................................................................................3

2.0

SCOPE ..................................................................................................................................................3

3.0

DEFINITIONS AND ACRONYMS.........................................................................................................4

4.0

REFERENCE DOCUMENTS ................................................................................................................5

5.0

ROLES AND RESPONSIBILITIES.......................................................................................................5

6.0

PROCEDURE .......................................................................................................................................6

6.1
6.2
6.3

Procedure - Requirements for Corrective Action::::::::::::::::::::::.6

REQUIREMENTS FOR PREVENTIVE ACTION:::::::::::::::::::...::.8
RECORD RETENTION ..........................................................................................................................11

Document Issue History

Issue
1.1

Reason for changes

Initial Release - Compilation of Tyco Power Electronics 402-30
and GEQMS8.5

Date
03/22/2012

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Title and Document ID: Corrective and

Preventative Action Process QP8.5.2+3
Revision: 1.1
Issue Date: 03/22/2012

1.0

Purpose
This document defines action to take for effective Corrective and Preventative Action. It should be
used to guide compliance with GEEQMS8.5 (Continuous Improvement) as it pertains to GE Power
Electronics.
The Corrective Action Process is based on the industry standard Kepner/Tregoe concepts and the
Ford Motor Company TOPS (Team Oriented Problem Solving) process which is frequently
referred to as the 8-D Process.
The Preventative Action Process is based on the Six Sigma DMAIC (Define, Measure, Analyze,
Improve and Control) model.

2.0

Scope
The Corrective Action Process is a reactive problem solving process which is intended to describe,
analyze and subsequently determine the root cause(s) of a problem. It is used to solve past
actions than have caused unwanted effects. Generally it takes more time, energy and resources to
correct a problem than to prevent a problem. This process is most effective when utilized by a
small team that is assigned by management to resolve a known problem or nonconformance.
This process should be used when:

There is a gap between the current state and the documented standard
The product does not meet the requirements of the print or the specifications
The process is out of control
Customers require evidence of the resolution of a problem

The Preventative Action Process is a proactive process which utilizes the DMAIC approach to
achieve continuous improvement or breakthrough improvement. This process can also be
undertaken to implement plans to prevent the problem from occurring.
Refer to Figure 1.

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Title and Document ID: Corrective and

Preventative Action Process QP8.5.2+3
Revision: 1.1
Issue Date: 03/22/2012

Figure 1

3.0

Definitions and Acronyms

Terminology or Acronyms
Corrective Action
Corrective Action Process

Definition
Process that prevents recurrence of a known problem or
nonconformance
A. A reactionary effort that prevents a
nonconformance from reaching a customer and
implements a plan that assures and verifies
permanent corrective action.
B.

The steps in this process are:

1.

Define the concern, organize and plan

2.

Describe the opportunity / problem

3.

Contain the nonconformance to prevent

escapes to the customer

4.

Identify and verify the root cause

5.

Develop the corrective action plan

6.

Implement and verify the corrective action

7.

Prevent recurrence

8.

Celebrate and communicate success

Preventative Action
An improvement plan / action that modifies systems,
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Revision: 1.1
Issue Date: 03/22/2012

processes or products:
A. To prevent recurrence of a root cause that
produced a nonconformance / problem in one
area within another product or process.
B. Through analysis of historical data, implementing
a plan to prevent a potential problem from
Nonconformance

A product or process that does not meet established

requirements.

Root Cause

The true (original) cause of the nonconformance as verified

through quantifiable data
The recipient of a product or service. This could be the next
operation in the sequence (internal customer) orthe external
customer.
Action taken before permanent corrective action is implemented to
assure that a nonconformance does not escape to the customer.

Customer

Containment Action

4.0

Reference Documents
Document ID
GEEQMS 8.5
EEDI-268
SRCWI 8.5

5.0

Document Title
Continuous Improvement
Technical Analysis Instruction
Continuous Improvement (Sourcing)

Roles and Responsibilities

Role
Corrective Action

Responsibility
A. Individual identifying Nonconformance
This individual has the responsibility for reporting the
nonconformance and providing the data related to the
nonconformance in a documented format. All
characteristics found to be nonconforming shall be
reported so appropriate problem description is
understood.
B. Individual Responsible for Corrective Action
1. This individual assumes ownership or is assigned the
responsibility of resolving the nonconformance. This person
shall analyze the problem or concern and organize the
necessary resources to, as a minimum, implement action to
contain the nonconformance (if necessary), determine and
verify root cause (when applicable) and implement and verify
permanent corrective action. The effort shall be appropriately

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documented.
2. When the nonconformance involves a chronic recurrence
that compromises business goals, the responsible individual
shall organize a corrective action team comprised of
individuals with the knowledge to, as a minimum, implement
action to contain the nonconformance, (if necessary)
determine and verify root cause, and implement and verify
permanent corrective action. The effort shall be appropriately
documented.
Preventive Action
To ensure preventive actions are addressed the following
applies:
A. Action taken to prevent a potential nonconformance
of a product or process is the responsibility of the
function benefiting from prevention of the
nonconformance.
B. Documented process reviews and
manufacturing equipment maintenance
activities should routinely be performed by
suppliers.
C. The review and analysis of customer records,
satisfaction surveys, the quality system and
process and product assessment results, are the
responsibility of the supplier's quality function.
Team Action

It is the responsibility of each member of the team to contribute

to an effective resolution of the nonconformance or potential
nonconformance. The team consists of individuals with the
skills associated with completing the appropriate steps of the
corrective action / preventive action process.

6.0
6.1 Procedure - Requirements for Corrective Action
6.1.1 Corrective actions taken to eliminate the root causes of actual nonconformance(s) shall be to
a degree appropriate to the magnitude of problems and consistent with the risks encountered.
Any corrective action process is an exercise in problem solving. An industry standard for
conducting corrective action adopted at GE Power Electronics involves the 8 Discipline (8D)
method. This method is a formal, documented step by step process which, when implemented
appropriately, will cause permanent corrective and preventive action.

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6.1.2 The 8D Reactive Problem Solving Process. Figure diagrams the 8D process.

Figure 2

6.1.3. The minimum requirements of the 8D reactive problem solving process are summarized
below.
A. All steps of the 8D reactive problem solving process shall be addressed when processing a
complaint or rejection received from GE Power Electronics.
B. The results of corrective actions shall be documented and maintained as a quality record.
6.1.4 GE Power Electronics Reactive Problem Solving Process (8D)

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Problem Solving
Process Step

Desired Outcome

1. Define Concern,
Organize and Plan

2. Describe the
Opportunity/Problem

3. Contain the Problem

4. Identify and Verify
Root Cause
5. Develop Corrective
Action Plan
6.

7. Prevent Recurrence

8. Celebrate and
Communicate
Success

6.2

Concern/problem identified.
Project Plan in place for eliminating the problem and improving the
process including scope, key activities, boundaries, responsibilities,
timeliness, resources, etc.
Problem statement written in terms of gap between as is and desired
state.
Define the nonconformance in term of what is wrong (the defect) with
what (the object.
Determine the quantity, size volume, magnitude, of the nonconformance.
Implement interim actions to shield the customer from the problem.
Selected root cause to work on.
Revised problem statement if required.
Produce list of as many ways as possible to solve the problem.
Decide on optimum corrective ation/solution and plan its implementation.
Perform pilot test.
Evaluate effectiveness of corrective action/solution.
Document improvements.
Address open issues.
Remove the interim actions and the problem does not re-occur.
Apply permanent fix.
Identify what system, practice or procedure allowed the root cause to
occur.
Modify and monitor to prevent recurrence of problem.
Contributions of everyone involved recognized.
Change or improvements communicated to all individuals who are
affected.

REQUIREMENTS FOR PREVENTIVE ACTION

6.2.1 Preventive action is a proactive effort taken to identify a potential nonconforming product or process.
The preventive action process applies to development of new product or processes, to prevent
potential nonconformance, or to create breakthrough improvements.
6.2.2. Preventive actions resulting from actual nonconformance root cause analysis should be performed
as part of the corrective/preventive action process by the 8D team.
6.2.3. The results of preventive actions shall be documented and maintained as a quality record.
6.2.4. The DMAIC Process
A. The DMAIC (Define, Measure, Analyze, Improve, Control) process is a structured approach for
leading continual and breakthrough improvement initiatives. This structure/model is based on
the Plan, Do, Check, Act cycle.
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B. The GE Power Electronics Six Sigma Operational Excellence initiative utilizes the DMAIC
process, lead by a Black Belt or Green Belt to launch and manage breakthrough improvement.
C. Continual improvement initiatives should follow this same methodology, however, these project teams
are not usually lead by a Black Belt and there may be a less rigorous application of the statistical tools

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6.3 Record Retention

Document /
Record
8D or Failure
Analysis Report

Retention
period
7 years

Storage location
Windchill in Material
Context under comcode

Responsible
(if applicable)
Component
Engineering

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