AS 9100D - Containment and Corrective action


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In our external audit of AS 9100D we got three non-conformity for documentation not updated, inspection report does not capture the requirement laid down in sampling plan etc.

For the same I require

1. What would be the Containment action for above two issues mentioned.

2. What would be the corrective action.

If you could help in this regard I would be obliged.


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Containment would be to update the documents and review other documents for the same condition.

Corrective action needs to address the root cause.
  • What was the root cause? No checks? Add a check.
  • Bad training? Revamp the training program.
  • Bad form, fields need "N\A' check boxes? Update the form.
  • Someone left the organization and no one had been assigned? Bad change management process.

Big Jim

Containment seems to be a new push from certification bodies. In the past many people considered containment and correction to be the same thing. It might be better to think of containment as part of correction.

A little groundwork is needed. ISO 9000 defines correction as the action needed to overcome a nonconformance. It also defines corrective action as the action necessary to overcome the CAUSE of a nonconformance.

Correction is the immediate action taken to address the incident including dealing with the consequences. Containment falls under the dealing with the consequences although dealing with the consequences can include more. Another way of looking at containment is what you do to determine the extent of the issue.

Typical containment may be to inspect the rest of the batch to see if there is more than one bad part or to look over a similar process or similar part to see if they were also effected.

After you have addressed the incident fully, you need to determine if the problem needs further investigation or not. From the way the standard is written you get to choose if it is necessary to determine if you need to get into figuring out the root cause (why it happened). As a practical matter if it was a certification body audit finding you will be expected to do so.

Only after you determine the true system root cause (what broke down in your quality management system) can you determine what the corrective action needs to be. Corrective action speaks to the root cause. It is not a continuation of or heavy duty version of the correction. It speaks to the root cause and you DO NOT go back up the the correction and embellish on it.

With all that in mind, expect auditors to focus more on containment. That is what is happening now.

Don't simply slap dash a correction together without determining the extent of the issue.
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