Qatar Branch
QA/QC Pavement Consultancy
Services
QUALITY SYSTEM FOR ASHGHAL ROADWORKS
Management of Non Conformity Records
Root cause – Corrections & Corrective actions
Doha, October 29th 2018
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
Agenda
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
2
1) Terms – definitions – template for NCR
2) QCS 2014 requirements
3) Examples from implementation in PWA road projects
4) Lessons Learned
5) Questions & Answers
www.q-roads.com.qa
Terms and Definitions
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
3
Nonconformity Non-fulfilment of a requirement
NCR Non Conformity Records
Terms and Definitions
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
4
Correction
Corrective Action
Action to eliminate a detected nonconformity
• can be made in advance of, in conjunction with, or after a corrective action.
• can be, for example, rework or regrade
Action to eliminate the cause of a nonconformity and to prevent
recurrence
• There can be more than one cause for a nonconformity
• Corrective action is taken to prevent recurrence whereas preventive action is
taken to prevent occurrence
Terms and Definitions
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
5
Root cause Why the requirement was not fulfilled
Several possible reasons; many ways/ method to investigate
The 6-Ms approach (possible root causes) could be one:
• Manpower
• Machine
• Material
• Method
• Measurement (including Management)
• Mother nature (environment in site)
Fishbone or Ishikawa Diagram
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
6
Non-conformity
Material Method Manpower
Measurement
(including management)
Mother Nature
(Environment)
Machine
Which factors contributed to non-conformity?
QCS requirements
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
7
• All nonconformities to be reported to the Engineer
(reference template available – minimum content defined)
• There is no classification to Internal & External NCRs
• Proposed disposition shall be approved in writing by the Engineer prior
implementation
• Close out shall be agreed in writing by the Engineer
• NCR Register (minimum content is defined in QCS)
• Corrective Actions to be reviewed for effectiveness (no recurrence of nonconformities
– at least for the same root cause)
NCR template requirements
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
8
Template to include all necessary details
• Clear description
• References to the applicable standard/ specification
• Classification (if applicable)
• Identified Root Cause
• Corrections
• Corrective action
Preventive Action should not be reported in an NCR
document
Approvals by the Engineer Representatives (in writing)
• Prior implementation
• After implementation and
• Close out
NCR is usually closed after all actions are completed
The review of effectiveness of Corrective Actions is a
separate activity usually not recorded in the NCR
document
Main comments from QSD-ANAS Audits - Category 1
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
9
1) Most recorded actions as Corrective Actions are in reality corrections; they
describe actions to correct/ reverse the nonconformity.
2) As a result, root causes are not identified to be treated and recurrence is not
prevented – similar failures are happening again and again
3) Instead of using an NCR template several “types” of other documents are
used – most of them do not contain the required information (i.e. Not
acceptance Report (NAR), Observation)
Example 1
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
10
Many other NCRs have been issued since this one for the same issue – no root cause analysis took place – recurrence
was not avoided
Definition is
incorrect
Only Correction
- No Root Cause
- No Corrective
Action
No signature from the Engineer prior
implementation & for close out
Not readable
name/position
Not readable
name/position
English language
is not correct
Example 2
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
11
If root cause is correct; Why was
the area not protected? Lack of
knowledge/planning or
negligence?
Is “cleaning” the
appropriate action for
damage on the prime
coat?
Missing action: What
check/action took place
to correct the damaged
(removed) prime coat
material? How is the NCR closed with
no root cause identification
and treatment?
Main comments from QSD-ANAS Audits - Category 2
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
12
• NCR template does not have a clear description of the nonconformity and the
necessary details (description, extend of the problem, any consequences)
• NCR document is consisted of many pages, additional to NCR template – no page
numbering, no codification – identification and traceability are not ensured
• Many parts in the NCR document have only signatures – no names/ position –
validity/ legitimacy are not ensured
Example 3
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
13
The photo is attached on a
page with no page numbering
or other codification to show is
part of the NCR
The attached photo is not
clear/is attached on a page
with no page numbering or
other codification to show is
part of the NCR
The settlement is not measured.
What is the depth? What is the
size of the affected area?
Example 4
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
14
Page 3 Page 4
Page 7 Page 6
Page 5
Page 2
No page
numbering in the
NCR
Example 5
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
15
1. Laying asphalt during
rain. Why is the problem
related to equipment and
documentation?
2. Is there a check point to
ensure weather conditions
are adequate for asphalt
laying? Evidence of this
check that took place?
Only
correction
took place
3. Who authorized the start
of works? If the rain started
during the laying why works
did not stop?
4. Maybe this was an
unforeseeable event – the
weather was perfect and
the rain started suddenly.
Main comments from QSD-ANAS Audits - Category 3
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
16
1) Not all NCRs have corrective actions; the concept of root cause is not
understood
2) Corrections of works are not clearly described – sometimes there is a need
for specific method statement and/or engineering justification; if not, the
appropriateness/ suitability of the correction are not ensured
Example 6
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
17
1. Settlement observed 2. Root cause =
a) excess amount of moisture/ Is this the
right wording?
b) Heavy equipment movement
3. Is this the real root cause? Was there proper
management of water table? 4. Is this road designed for light traffic?
5. Why the “excess moisture” is not a subject to be
managed? Is this an extreme condition that could not
be foreseen?
There should
always be a
corrective action if
there is a root
cause
Example 7
Cod: QAQC-AQB-XXX-XXXX-PST-0000XX Rev X
18
Why the area was not inspected for suitability before
spreading material over it? Is there a robust procedure to
check, before following works take place?
Actual root cause is “hidden” in the
corrective action: not adequate
training/awareness for requirements
Corrective action proposal contains some
“truth” about the actual root cause (not enough
training). Still, contradicts with the root cause
above.
Can somebody read this part? It seems also
there is an approval with comments – Can this
NCR be closed?
Is this a clear
description?
Main comments from QSD-ANAS Audits - Category 4
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
19
1) NCR is a living document - it is revised several times until its “closure”; yet,
no revision status is noted on the NCRs
2) Some parts of the NCR need to be expanded during the NCR lifecycle; the
NCR template shall be
• either “expandable” (with the use of appropriate software, i.e. adobe
professional) or
• accompanied with numbered/ codified references
3) Different versions of the same part of the NCR are attached in the same
document; this is not a good practice and creates confusion
4) The content of the NCR is not readable: low quality handwriting, stamps, ink
marks and poor quality of original document result to very low quality NCR
documents - even the pictures are not clear – most pictures do not provide
enough words – surely not 1000 ones…
Example 8
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
20
This text does not describe the conditions of closing
the NCR. Should there be closing of NCR under
conditions?
This picture does
not tell a story
This is not a quality record of
acceptable quality
Text is not readable
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
21
Understand the NCR is one of the most critical
quality records.
NCR document reflects the overall philosophy
of the Contractor’s and Consultant’s in quality
management – they have to look “good”.
• Nonconformity description shall be clear,
unambiguous, complete and shall show the
extend of the problem.
• Root cause (there is always a reason) should
be true and provided/ identified by the
responsible persons.
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
22
Quality Team are not the responsible persons to identify the root cause(s) and propose solutions; they can advise, review and authorize, but the “hard work” has to come from the people who are responsible for the work.
They know what we do not; because they have specific knowledge and experience.
Quality team is responsible for the “appearance” and the quality of the NCR document itself; it in “on us”
• Correction should always involve an
estimation/ assessment of the “damage”.
Several follow up actions might be
necessary: the process should be clearly
described (i.e. inspection requests, revision
& resubmissions).
• Corrective action shall be a “promise to
keep” and shall not be an empty promise. For
example, training shall be specific, relevant,
properly delivered in adequate languages/
shifts/ sessions.
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
23
NCRs shall stop be “handwritten” documents; there are tools that allow the document to be
shared between parties so they can insert the adequate information; for example, “locked pdf”
where each part can be expanded as necessary
or
Detailed information per each section to be included in attachments; NCR 2-page to have only
date, status and signatures; for example,
Attachment A for Part A
Attachment B for Part B, etc.
(in this case there will be at least 3 attachments for parts A, B and D)
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
24
NCR documents shall be of good quality; if the
copy machine cannot generate a good quality
pdf after the signature, then other solutions
need to be sought after (maybe electronic
signatures?).
One thing shall be clear: NCR shall always be
readable
Each NCR shall be codified as per project
codification; i.e.
EXW-XXXX-XXXX-XX-XXX-…
Attachments to be named as NCR template
parts and be identifiable (for example
“Attachment A of NCR EXW…”) and traceable
(each attachment to clearly show “page X of
Y”.
NCR shall also be identifiable &
traceable
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
25
Every time an NCR is updated (another part is “filled”) the NCR is automatically revised.
Each revision is a “record” to be archived; revision number shall not be necessary written on
the NCR document but shall be clearly understood and, shown in the NCR Register.
Part A = Revision 0 - Non conformity description
Part B = Revision 1 - Proposal for approval by SC/GEC
Part C = Revision 2 - Approval by SC/GEC (prion implementation)
Part D =Revision 3 - Implementation of corrections and corrective actions
Part E = Revision 4 – Close out – Revision 3 and 4 can be merged
What can we do?
QAQC-AQB-T10-OBJ11-PST-000035 Rev 0
26
How do we do that?
Make the NCR template “flexible”
or
Use adequate software to combine the document revisions (for example, adobe professional)
Whatever solution we choose, we are the Owners of the NCR process
Quality Team shall practice quality while managing NCRs
Thank you
www.q-roads.com.qa
27 QAQC-AQB-T10-OBJ11-PST-000035 Rev 0