QA/QC Pavement Consultancy Qatar Branch Services of NCRs...QAQC-AQB-T10-OBJ11-PST-000035 Rev 0 24...

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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


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

http://www.q-roads.com.qa/



Terms and Definitions


3

Nonconformity Non-fulfilment of a requirement

NCR Non Conformity Records



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



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


6

Non-conformity

Material Method Manpower

Measurement

(including management)

Mother Nature

(Environment)

Machine

Which factors contributed to non-conformity?

QCS requirements


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


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


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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


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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


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?



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


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


14

Page 3 Page 4

Page 7 Page 6

Page 5

Page 2

No page

numbering in the

NCR

Example 5


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.



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


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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?



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


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?


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?


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?


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?


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?


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?


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




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