Practical Corrective Action for Managers - handling NCRs

Programme overview

By the end of this 1-day practical and interactive course & workshop management team members will be able to resolve NCRs (NonConformity Reports) and CARs (Corrective Action Requests) in a timely and effective manner, and understand how to monitor and ‘actively manage’ both QMS performance and process-level effectiveness (PEARs).

Sources of NCRs and CARs come from CB audits, customer audits & complaints and, of course, internal audits

The course specifically addresses AS9100:2016 clause 10.2 Nonconformity and corrective action and the root cause codes now being requested by the Certification Bodies.

An integral part of this course is instruction in a battery of problem solving methods including ‘Fishbone’ and ‘5-WHYs’ in tandem!

Programme details

TEC’s highly interactive 1-day Practical Corrective Action for Managers training course explains through the use of team exercises and case studies how members of the management team should deal with NCRs received from internal audits, customer audits and third-party (Certification Body) audits. The session also covers CARs raise by customers as a result of ‘quality escapes’ and/or ‘delivery problems’.

The course topics include many 'hands-on' exercies to ensure undertanding and test the ability of participants to undertake tasks effectively.

Course topics include -

Understanding requirements and nonconformities

  • Understanding QMS-related requirements
  • Understanding performance-related requirements
  • Examples of requirements related to nonconformities
  • Understanding conformity and nonconformity
  • Team exercise – sources of nonconformities
  • Monitoring of all types of quality objectives (P-D-C-A cycle)

Understanding the NCR (nonconformity report)

  • The NCR ‘P-D-C-A cycle’ – actions and responsibilities
  • The format of the CB’s NCR (nonconformity report)
  • Simulated audit situation – QMS-related
  • Team exercise – QMS-related NCR
  • Simulated audit situation – Performance-related
  • Team exercise – Performance-related

Addressing NCRs - RCCA (root cause corrective action)

  • Understanding the applicable terminology (ISO 9000:2015)
  • Managements’ ownership and duties for handling NCRs
  • AS9100:2016 requirement – 10.2 Nonconformity and corrective action
  • Objective of the corrective action process

Control and correct the detected nonconformities

  • Specimen NCR
  • Team exercise – Control and correct the detected nonconformities

Take immediate containment action(s) as required

  • Understanding ‘containment’ actions in the A|S|D context
  • Team exercise – Take immediate containment action(s) as required

Methods for determining the causes of nonconformities

  • Finding root causes – ‘Fishbone’ and ‘5-WHYs’ in tandem!
  • Root causes from different ‘perspectives’ (new AS9101:2016 root cause codes)
  • Resources
  • Management
  • Methods
  • Human Factors
  • Human factors – the dirty dozen
  • Root cause(s) of NCRs using 5-WHYs
  • 5-WHYs variant – applying the “Therefore Test”
  • "IS – IS-NOT" questioning methodology

Illustration – burned toast!

  • Clarify the nonconformity
  • Establish the scope and scale of the problem
  • Separate nonconformity from process/system/people causing it
  • Team exercise – fishbone to identify possible causes (root cause codes)

Determine the cause(s) of nonconformities

  • Team exercise – Determine the causes of nonconformities
  • Tutor advisement session – root cause(s)

Eliminate the causes of nonconformities in order to prevent recurrence

  • Provide necessary corrective action(s)
  • Implement and test (validate) corrective actions
  • Team exercise – Implement and test (validate) corrective actions
  • Tutor advisement session – Implement and test (validate) corrective actions
  • Warning – recurring NCRs and ‘soft grading’

Determine if additional nonconformities exist based on the determined cause(s) and take further action(s) when required

  • Recap – the stages in the corrective action process
  • Team exercise – Additional nonconformities & corrective actions
  • Tutor advisement session – Additional nonconformities & corrective actions

Review of the entire nonconformity and corrective action process

  • Considerations – existing QMS process for handling NCRs
  • Recap – Responsibilities for actions relating to NCRs

Extended Q & A session

Who should attend

All members of the organization's leadership team -

  • Top Management
  • Process/Department Managers (at all levels)
  • Process Owners
  • Purchasing/Procurement managers


This highly interactive and practical session provides all the guidance needed to ensure that members of the leadership team can handle responses to NCRs & CARs in an effective and value-adding manner. The syllabus includes a battery of quality tools and details a tried-and-tested methodology for resolving NCRs & CARs. Everything is taught through examples, case studies and team exercises.

The AS9100:2016 clause 10.2 Nonconformity and corrective action requirements and the 'root cause codes',now being used by the CB Auditors, are included.

Read what the A|D|S have been saying about TEC's management courses

All participants will receive a training certificate containing the internationally-recognised TEC Transnational logo – confirming their understanding of the corrective action process.


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