Corrective-and-Preventive-Action

HoneywellCORPORATEHEALTH,SAFETY,ENVIRONMENTALMANAGEMENTSYSTEM©HoneywellInternationalInc.2000Page1of3CorrectiveandPreventiveAction1.APPLICABILITY1.1ThisstandardisapplicabletoallHoneywellorganizationsandmajorityownedsubsidiariesworldwide.2.OVERVIEW2.1Anonconformanceisanydeviationfromtheorganization’smanagementsystem.ThisincludesdeviationfromHoneywellpolicyorstandards,establishedHSEprocedures,rules,regulationsandvoluntarycommitments.Anonconformanceisoftenanindicationofweaknessoraflawinthemanagementsystemthatrequirescorrectiveand/orpreventiveactionstoimprovetheeffectivenessofthemanagementsystem.Onceanonconformanceisidentifieditiscriticalthatsystemsareavailableandactivatedthatensurethemosteffectiveandfeasiblecorrectiveactionsareselected,responsibilityisassigned,reasonabletimeframearedefinedandcompletionofthecorrectiveactionsareconfirmed.ThisstandardwillassistHoneywellorganizationstoestablishtheseimportantsystems.3.DEFINITIONS3.1Definitionsforunderlinedtextarefoundattheendofthisdocument.4.REQUIREMENTS4.1Theorganizationshallestablishandimplementdocumentedproceduresforidentifyingandinvestigatingnon-conformance,developingeffectivecorrectiveandpreventiveactionsandtrackingactionstoclosure.Asaminimum,theprocedureshallincludethefollowingelements:4.1.1Amethodtoaddressandinvestigatepotentialoractualnon-conformancewhichcomplieswithcorporatestandardsHSER1andHSER44.1.2Amethodtoassignresponsibilityandprovideresourcestoinitiateandcompletecorrectiveorpreventiveactions4.1.3Aprocesstoprioritizecorrectiveorpreventiveactionsbasedonthesignificanceofrisk4.1.4Settingdeadlinesforcompletion4.1.5Aprocesstotrackcorrectiveactionstoclosureandcommunicatestatustoleadershipandaffectedpersonnel4.1.6Aqualityassuranceprocesstoconfirmthatcorrectiveorpreventiveactionsareadequateandappropriatetoaddressthenon-conformance4.1.6.1Thisprocessmustconfirmthatcorrectiveactionseffectivelyaddresstherootcause(s),areappropriateforthesignificanceofthenon-conformance,aretimedappropriatelybasedontheseriousnessoftheHoneywellCORPORATEHEALTH,SAFETY,ENVIRONMENTALMANAGEMENTSYSTEM©HoneywellInternationalInc.2000Page2of3non-conformanceandareassignedtoindividual(s)withadequateauthorityandresourcestocompletethecorrectiveactions4.1.7Amethodtofollow-uponcompletedcorrectiveactionstoconfirmthattheintendedresultswereachieved4.2TheorganizationshallestablishaprogramtoimplementappropriatedisciplinaryactionintheeventofknowingviolationstoHSEpolicies,rules,regulations,proceduresortraining.Disciplineshouldbedesignedwiththeintenttoaddressrootcauses.Theprogrammustincludethefollowingelements:4.2.1Employeedisciplinaryactionforknowingviolations4.2.2Supervisordisciplinaryactionwhensupervisorsareawareofandallowviolationswithintheirareaofresponsibility4.2.3Supervisordisciplinaryactionwhensupervisors,throughtheproperperformanceoftheirduties,shouldhavebeenawareofviolations4.2.4Whereageneraldisciplinaryprogramisalreadyestablished,theseHSErequirementsshallbeincorporatedintheexistingprogram4.3Records4.3.1Thefollowingcorrectiveandpreventiveactionrecordsmustbedocumentedandmaintained:4.3.1.1Resultsofallinvestigationsintonon-conformanceincludingthedateandlocationoftheinvestigation,namesofinvestigators,rootandcontributingcausesandrecommendationsorcorrectiveactions4.3.1.2Documentationofallcorrectiveorpreventiveactionsresultingfromnon-conformanceinvestigationsincludingdescriptionsoftheactions,timelinesordeadlines,namesofthoseassignedtoinitiateandcompletetheactions,documentationofactionclosureandresultsoffollow-upactivitiestoconfirmthattheintendedresultswereachieved4.3.1.3Resultsofthequalitycontrolprocessrequiredinsection4.1.6ofthisstandard4.3.1.4RecordsofdisciplinaryactionstakenasaresultofknowingviolationstoHSEpolicies,rules,regulations,proceduresortraining5.RELATEDDOCUMENTS5.1Nonedefinednow.3.DEFINITIONSCorrectiveactionAnactiondesignedtocorrectanundesirableHSEproblemordefectinthemanagementsystem.Examplesmayincludebreakdownofcontrols,nonconformancetoHoneywellCORPORATEHEALTH,SAFETY,ENVIRONMENTALMANAGEMENTSYSTEM©HoneywellInternationalInc.2000Page3of3Honeywellorregulatoryrequirements,accident,injury,illness,fire,releasetotheenvironmentorotherHSErelatedloss,undesirabletrendinHSEmetrics,etc.Non-conformanceAnonconformanceisanydeviationfromtheorganization’smanagementsystem.ThisincludesdeviationfromHoneywellpolicyorstandards,establishedHSEprocedures,rules,regulationsandvoluntarycommitments.Anonconformanceisoftenanindicationofweaknessoraflawinthemanagementsystemthatrequirescorrectiveand/orpreventiveactionstoimprovetheeffectivenessofthemanagementsystemPreventiveActionAnactiondesignedtopreventorreducetheprobabilityofoccurrenceofanundesirableHSEincidentsuchasthebreakdownofcontrols,nonconformancetoHoneywellorregulatoryrequirements,accident,injury,illness,fireorotherHSErelatedloss,etc.ProcedureAformalanddocumentedcombinationofmethods,stepsandactionsestablishedbyanorganizationtoachievespecificresults,behaviororactivity