TOP-CARRR

Trinity Operating Procedures - TOPs

TOP-CARRR: Corrective and Project Action

Rev: 2/24/2023

Scope: This procedure covers Trinity Forge's program of "corrective action" and "project action" to address identified problems, including quality problems, and projects, typically addressing risk or opportunities. The main vehicle for this program is the Corrective Action Report (CAR) Spreadsheet that is shared thru hyperlink in the e-mail system. [Note: for purposes of this procedure, unless specifically stated the term "CAR" is used interchangeably for both corrective and project action.]

Procedure:

STEP WHO WHEN INFO TO USE WHAT TO DO

1 Any Manager (or any team member working with a manager) Upon determining the need for formal corrective or project action (see list of CAR categories below) Own observation and any evidence deemed appropriate E-mail request for CAR to VP-Quality & Engineering; include actions already taken and as appropriate, Job Order, Customer and TOP ID; attach supporting documentation deemed appropriate; do not use the CAR system as a means of immediately fixing a problem, make any immediate correction of problem through formal procedures.

2 VP-Quality & Engineering Upon Receiving CAR request CAR; list of CAR categories (below); own judgment Verify that any immediate problem correction is proceeding properly, determine if CAR is appropriate for the case at hand; if not, handle request at own discretion; otherwise, assign a CAR ID (CAR category-slash-date-dash-letter, such as Q/2000-10-31-A) and place it as the first component in the e-mail subject line, followed by a brief description of the subject of the CAR; determine who is the best person to administer the CAR (typically an officer or the QA Manager) and include that person's name in the e-mail subject line (can be omitted if the VP-Quality & Engineering will personally be the administrator); e-mail the CAR hyperlink to the CAR folder (includes a CAR Data folder) to the designated CAR Administrator, saving a copy of the e-mail in CAR Control File.

CAR Categories

1st letter of CAR-ID
Type of CAR Notes

A
Internal Audit See TOP-IAUDT

C
Customer Complaint See TOP-CUSTC

E
External Audit External audit finding.

H
Safety or Environmental Hazard From Safety Committee, Environmental Coordinator or subsequent to an injury or spill.

N 10CFR21/Nucler Related Used for any corrective action that was a result of non-conformance to 10CFR21 applicable material

Q
Quality System For violation and/or failure of quality system.

S
Employee Suggestion Team members frequently make suggestions: this type is for those that rise to project level

T
Trend, Risk, or Opportunity This type may come from risk or opportunity identification, especially from formal analysis or from observation of trends among CARs.

V
Vendor (supplier/subcontractor) For any adverse trend related to a supplier or subcontractor.

X
Management initiative Any CAR may be elevated to this category at management discretion,

2nd letter of CAR-ID
Type of CAR Notes

Lower case of any letter listed above Secondary CAR category
Where there are multiple categories relevant to a CAR, the lower-case second letter can be used to indicate the secondary category. This categorization might be added well into the life of the CAR. For example, if a customer complaint CAR C/2001-10-31-A proved to be caused by a subcontractor’s error, its ID could be extended to become CAR Cv/2001-10-31-A.

p (lower case)
Project Action The use of a lowercase "p" signifies an issue being addressed is "project" rather than "corrective"

k (lower case)
Kaizen Event The use of a lowercase "k" signifies "project", specifically using the "kaizen blitz" methodology.

3
CAR Administrator
Upon receiving CAR e-mail from VP-Quality & Engineering or assignee
CAR; own judgment; other data deemed appropriate
Review CAR carefully; if deem further work is needed on the CAR, determine who is the best person to perform the corrective/project action procedures and e-mail the CAR and the assignment with due date to that person, saving a copy of the e-mail in CAR Control File; when CAR appears to be completed, in the text that the root cause of the nonconformities has been clearly identified and that human factors and risk factors have been considered with evidence provided, verify that corrective action to eliminate or prevent occurrence has been adequately performed with evidence provided; e-mail CAR back to VP-Quality & Engineering.

4
Person receiving CAR assignment Upon receiving CAR e-mail from CAR Administrator
CAR; own judgment; other data deemed appropriate Read CAR assignment carefully to understand exactly what is being assigned; within that assignment take whatever action is needed to gain an understanding of the cause of nonconformities relating to product, process and quality system, and recording the results/evidence related to the investigation; determine the corrective action needed to eliminate the cause of nonconformities and include evidence of change; apply controls to ensure that corrective action is taken and that it is effective; use appropriate sources of information such as processes and work operations which affect product quality, concessions, audit results, quality records, service reports and customer complaints to detect, analyze risk and eliminate potential causes of nonconformities and you must provide evidence backing your change(s); determine the steps needed to deal with any problems requiring preventive action; initiation of preventive action and application of controls to ensure that it is effective; e-mail results of assignment to CAR Administrator for effectiveness review (see step 3); if help is needed at any time with assignment, e-mail CAR Administrator for assistance or reassignment of corrective/project action analysis.

5
CAR Administrator
Frequently (typically every other week) Open order file of CARs from CAR Control File Send reminders via e-mail to any person delinquent in completing their CAR assignment; extend due date as deem appropriate; reassign CAR as deem appropriate.

6
VP-Quality & Engineering Upon receipt of completed CAR
CAR; own judgment If deem further work is needed on the CAR, (re)assign the CAR and continue at step 3; when CAR appears to be completed, place in CAR e-mail in a CAR review e-mail folder to allow time for effectiveness of action to be properly reviewed; monthly, review CARs awaiting long-term effectiveness review after long-term effectiveness has been determined, notation shown within the CAR Spreadsheet and on the CAR e-mail (FYI Only) indicate "closed" in CAR Control File; if deemed appropriate, notify person who originally requested the CAR of its disposition.

Revision history:

Release Date	Description of Change	Owner	Approver
12/06/2017	Updated to comply with revised Quality Manual and new TOPs format.	Tim Ellis	Todd Sheppard
2/20/2020	Updated the changes to meet our newly modified CAR system..	Todd Sheppard	Dustin Jump
2/24/2023	Updated to add code letter N for nuclear/10CFR21 related CAR's	Dustin Jump	Todd Sheppard

Documents are controlled only when viewed on-line at trinityforge.com in the original English -- printed copies or translations are not controlled documents.
? Trinity Forge & Machine

STEP	WHO	WHEN	INFO TO USE	WHAT TO DO
1	Any Manager (or any team member working with a manager)	Upon determining the need for formal corrective or project action (see list of CAR categories below)	Own observation and any evidence deemed appropriate	E-mail request for CAR to VP-Quality & Engineering; include actions already taken and as appropriate, Job Order, Customer and TOP ID; attach supporting documentation deemed appropriate; do not use the CAR system as a means of immediately fixing a problem, make any immediate correction of problem through formal procedures.
2	VP-Quality & Engineering	Upon Receiving CAR request	CAR; list of CAR categories (below); own judgment	Verify that any immediate problem correction is proceeding properly, determine if CAR is appropriate for the case at hand; if not, handle request at own discretion; otherwise, assign a CAR ID (CAR category-slash-date-dash-letter, such as Q/2000-10-31-A) and place it as the first component in the e-mail subject line, followed by a brief description of the subject of the CAR; determine who is the best person to administer the CAR (typically an officer or the QA Manager) and include that person's name in the e-mail subject line (can be omitted if the VP-Quality & Engineering will personally be the administrator); e-mail the CAR hyperlink to the CAR folder (includes a CAR Data folder) to the designated CAR Administrator, saving a copy of the e-mail in CAR Control File.
CAR Categories
1st letter of CAR-ID			Type of CAR	Notes
A			Internal Audit	See TOP-IAUDT
C			Customer Complaint	See TOP-CUSTC
E			External Audit	External audit finding.
H			Safety or Environmental Hazard	From Safety Committee, Environmental Coordinator or subsequent to an injury or spill.
N			10CFR21/Nucler Related	Used for any corrective action that was a result of non-conformance to 10CFR21 applicable material
Q			Quality System	For violation and/or failure of quality system.
S			Employee Suggestion	Team members frequently make suggestions: this type is for those that rise to project level
T			Trend, Risk, or Opportunity	This type may come from risk or opportunity identification, especially from formal analysis or from observation of trends among CARs.
V			Vendor (supplier/subcontractor)	For any adverse trend related to a supplier or subcontractor.
X			Management initiative	Any CAR may be elevated to this category at management discretion,
2nd letter of CAR-ID			Type of CAR	Notes
Lower case of any letter listed above			Secondary CAR category	Where there are multiple categories relevant to a CAR, the lower-case second letter can be used to indicate the secondary category. This categorization might be added well into the life of the CAR. For example, if a customer complaint CAR C/2001-10-31-A proved to be caused by a subcontractor’s error, its ID could be extended to become CAR Cv/2001-10-31-A.
p (lower case)			Project Action	The use of a lowercase "p" signifies an issue being addressed is "project" rather than "corrective"
k (lower case)			Kaizen Event	The use of a lowercase "k" signifies "project", specifically using the "kaizen blitz" methodology.
3	CAR Administrator	Upon receiving CAR e-mail from VP-Quality & Engineering or assignee	CAR; own judgment; other data deemed appropriate	Review CAR carefully; if deem further work is needed on the CAR, determine who is the best person to perform the corrective/project action procedures and e-mail the CAR and the assignment with due date to that person, saving a copy of the e-mail in CAR Control File; when CAR appears to be completed, in the text that the root cause of the nonconformities has been clearly identified and that human factors and risk factors have been considered with evidence provided, verify that corrective action to eliminate or prevent occurrence has been adequately performed with evidence provided; e-mail CAR back to VP-Quality & Engineering.
4	Person receiving CAR assignment	Upon receiving CAR e-mail from CAR Administrator	CAR; own judgment; other data deemed appropriate	Read CAR assignment carefully to understand exactly what is being assigned; within that assignment take whatever action is needed to gain an understanding of the cause of nonconformities relating to product, process and quality system, and recording the results/evidence related to the investigation; determine the corrective action needed to eliminate the cause of nonconformities and include evidence of change; apply controls to ensure that corrective action is taken and that it is effective; use appropriate sources of information such as processes and work operations which affect product quality, concessions, audit results, quality records, service reports and customer complaints to detect, analyze risk and eliminate potential causes of nonconformities and you must provide evidence backing your change(s); determine the steps needed to deal with any problems requiring preventive action; initiation of preventive action and application of controls to ensure that it is effective; e-mail results of assignment to CAR Administrator for effectiveness review (see step 3); if help is needed at any time with assignment, e-mail CAR Administrator for assistance or reassignment of corrective/project action analysis.
5	CAR Administrator	Frequently (typically every other week)	Open order file of CARs from CAR Control File	Send reminders via e-mail to any person delinquent in completing their CAR assignment; extend due date as deem appropriate; reassign CAR as deem appropriate.
6	VP-Quality & Engineering	Upon receipt of completed CAR	CAR; own judgment	If deem further work is needed on the CAR, (re)assign the CAR and continue at step 3; when CAR appears to be completed, place in CAR e-mail in a CAR review e-mail folder to allow time for effectiveness of action to be properly reviewed; monthly, review CARs awaiting long-term effectiveness review after long-term effectiveness has been determined, notation shown within the CAR Spreadsheet and on the CAR e-mail (FYI Only) indicate "closed" in CAR Control File; if deemed appropriate, notify person who originally requested the CAR of its disposition.