What the QMS Audit does not tell you

Presented At:

API Exhibition on International Standards (AXIS) 2016

Kuala Lumpur, Malaysia-January 13-15, 2016

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QMS Audit or Technical Audit

• QMS audits are required typically don’t identify (and are not intended to) specific

technical non-conformances of critical manufacturing processes

due to time restraints, audit scope, auditor abilities or combination of

• Independent technical capability assessment/audit by SME’s

proven “Value Added” in addition to the QMS audit

verifies effectiveness of an organization’s real overall abilities

Background

• A procedure, system & detailed checklist were established

Focus was on specific special processes vs. system e.g. Welding, NDT, Heat Treating & Coatings ITP’s-Pressure Testing-HSE System in place• Initiated after realization that QMS audits were not

providing technical capabilities of companies at the “shop floor level”

Technical Audits of Vendors after the QMS Audit

• Why? Repeated non-conforming issues observed during manufacturing by TPIs, costing delays or down-time

• Who? Major OEMs (all with ISO 9001-2008), most with API Monograms; sub-vendors of these major OEM’s was of major concern

• What was learned? QMS Audits of ISO 9001, API Q1 and/or API Monogram OEM’s revealed need to dig deeper into why reoccurring NC’s

Technical Audit Scope

• Performed by an auditor, engineer or subject matter expert to evaluate deficiencies or areas of improvement in a process

• Scope: confirm the facility has technical capability, personnel & equipment to comply with:

API Standard’s and ASME IX, ASME V, ASME B31.3, AWS D1.1, DNV-OS-E101-C401, ABS-CDS, NACE MR-0175, etc.. for the equipment manufacturing- Welding, PWHT, NDT, Coating, Testing of Drilling and WCE.

Technical Audit Process

• Scheduled after a QMS audit and scores/ CAR’s reviewed

• Prior to visit: Audit Plan is submitted relative documents requested in advance for

review and planning

• Prevents wasted time on site that needs to be spent in the shops instead

Requested when sending Audit Plan• A master matrix of vendor’s Quality Procedures and Work Instructions for reference • The document review will include but not be limited to the following:

• Matrix of WPS/PQR’s, qualified welders lists, example of identification cards and/or continuity logs• Copy of applicable company’s NDT Written Practice or contract agencies; applicable NDT

Procedures approved by ASNT NDT Level III’s or CSWIP/PCN, EN473, ISO 9712, Master Matrix of NDT inspectors by method & certifications/exams available, including any subcontracted NDT techs and current eye exams.

• Weld consumable control procedures, heat treating procedure/s to include subcontract • Traceability/serialization procedure/s per the applicable API standard & QMS• Coatings procedure/s and requirements for QC inspector qualifications• Procedure/s for contract review, ITP/QP router development, notification of witness/hold points to

buyer and system for management of these notifications and FAT’s.• Weld inspection, weld monitoring and identification/weld/NDT map procedures• Hydro-pressure testing procedures-calibration and records• Master matrix of calibrated equipment’s, weld machines, NDT equipment, Furnace, PWHT,

pressure gauges, etc.• Management of sub-vendors process, i.e. via supply chain or other.• A list of your sub-contractors you will be using for the TOI project• Drawing revision control procedures

About the Technical Auditors

• NDT qualifications & experience in manufacturing. Preferably ASNT certified NDT Level III

• Welding engineer / competent welding technologist qualifications (minimum AWS CWI-CSWIP)

• Well versed in fabrication “dirty boots” approach, understands variables in manufacturing processes

• Knows standards and codes applicable to the manufacturing itself -- key to the Technical Audit

• Trained & certified QMS Lead Auditor / ASQ-CQA, IRCA, RAB, etc.

Checklist - allows for a Scoring based upon question value

Sample: Welding Section checklist

Sample:NDT Section

Scored based upon documented and implemented

OEM top findings – All ISO 9001 or Q1 with API Monogram

Most common technical audit findings per standard or Code not met

ASME IX API 6A API 16A API 16C API 4F

WPS/PQR’s 4130 or other no P no. listed material or not properly qualified, KSI not referenced or construction code on approved WPS/PQR

X X X X -

Welding Inspectors qualification not properly documented or a training procedure in place

- X X X X

Lack of Visual Weld Inspection procedure with proper accept criteria as per standard or code

- X X X X

UT Calibration Program-per ASTM 428 and scanning to proper procedures ASTM/ASME/AWS

- X - - X

MRB-Data Books not per Standard or incomplete documents

- X X X X

Hardness reports missing inform - X X X -

Common Technical Audit Findings

Most common technical audit findings ASME-IX-AWS-D1.1, DNV-C401

API 6A API 16A API 16C API 4F

Inadequate ITP’s or no refer to standards and accept criteria on them

- X X X X

Class society approval of WPS/PQR’s for missing information or no approval at all and being used

X X X X X

NDT reports without correct PSL level or missing accept criteria/inform, D1.1-, ASME V, B31.3, etc.. applicable section

X X X X

Clad thickness measurement procedure not fully implemented or documented

X - - -

NDT Personnel Certification records files not supported by required training records and experience per SNT-TC-1a or ISO-9712

X X X X-

• Several Vendors had poor or non compliant methods for weld maps implemented, although most had procedures for

Missing Weld Maps

W-1

Weld ID – 56WPS # 12675VT-okPWHT Report # 23NDT-RT/UT after PWHT and Hardness report # AAFFiller wire Heat #

Sample Test Chart record view pen arm; skipping, negative zero mark and excessive test pressure range

Manufacturing Records / Data Book is always reviewed and accepted by the following parties:

ClassOwnerOwner Client (in some occasions)

Tab

#1Ta

b #2

Tab

#3Ta

b#4

Tab

#5Ta

b #6

Tab

#7Ta

b #8

Tab

#9

Rig or Equip Name

Data Book Contents

Manufacturing Record Book

MRB-Data Book Check Sheet helpful to TPI

COMPLETE RIG NAME

WHAT TYPE OF NDT (MT, PT VT)

MT—MAGNETIC TESTINGPT– PENETRANT TESTINGVT--VISUAL

IF USING MANUAL YOKE:LIST THE AVERAGE LIFT WEIGHT OF YOKE

ACCEPTANCE STANDARD

VENDOR’S INTERNAL PROC. #

MATERIAL TYPE

ENSURE ONLY LEVEL II OR LEVEL III PERFORMS INSPECTION.

EQUIPMENT ID

NDT BEFORE /AFTER HEAT TREATMENT (PWHT)

Commonly Missing Info on NDT Reports

Summary

• Technical Audits are Value Added• They mitigate risk to the project:

Identify the “weak links” in vendors’ critical manufacturing processes that can lead to major failures-

• Welding, NDT, Heat Treatment, Coatings are high cost NC’s• Understanding the vendors’ approach to final documentation,

MRBs.• Establishing customer’s expectations and requirements• Offering objective evaluation of vendors’ overall technical

capability from a shop floor, “dirty boots” perspective• Capitalizing on opportunities for improvement is the goal• They tell you what the QMS audit does not

Steven T. SnyderTransocean

ASNT NDT Level III, AWS-SCWI/CWE, API-SIFE & 577, ASQ-CQA, IRCA-QMS Principal Auditor

THANK YOU

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