# Handle nonconformances and CAPA (/docs/quality/ncr-and-capa)

A nonconformance report (NCR) records something that did not meet its requirement. A corrective and
preventive action (CAPA) fixes the cause. The default QA engineer is Jason Wong. The default QA manager
is Grace Ooi.

An open NCR against a lot blocks its release. See
[Inspect outgoing lots and release them](/docs/quality-release/outgoing-inspection-and-lot-release).

## Where NCRs come from [#where-ncrs-come-from]

Open **Quality > NCR**. The **Source** column says where the NCR started.

| Source | Raised by |
|---|---|
| **IQC** | Incoming inspection of a delivery. |
| **FAI** | A rejected first article. |
| **IPQC** | An in-process check or a gauge found out of tolerance. |
| **OQC** | **Hold lot and raise NCR** at outgoing inspection. |
| **Customer** | **Raise NCR** on a customer complaint. |

You can also choose **Add** and write one by hand: **Source**, **Record** (the record it came from),
and **Nonconformity**.

## Close an NCR [#close-an-ncr]

An NCR starts **open**. You close it only with **Close NCR**. Editing the status does not work.

```mermaid
%% title: Close an NCR
flowchart TD
  A[NCR open] --> B[Choose a Disposition]
  B --> C{Use as is?}
  C -->|No| D[Close NCR and sign]
  C -->|Yes| E[Write the concession]
  E --> F[QA manager named as approver signs]
  D --> G[NCR closed]
  F --> G
```

<Steps>
<Step>

Open the NCR. Choose a **Disposition**: **Use as is**, **Rework**, **Scrap**, **Return to supplier**,
**Hold · 100% sort** or **Scrap FAI samples · re-setup**. A disposition is required.

</Step>
<Step>

For **Use as is** (a concession), also fill in **Concession justification**, **Concession approved by**
(the QA manager, never the NCR **Owner**) and **Customer approval**: **Not required · within drawing
tolerance** or **Obtained**. If it is **Obtained**, enter **Customer approval ref.**.

</Step>
<Step>

Choose **Close NCR**. Add a **Note (optional)**. Choose **Sign and close NCR**. A QA engineer or QA
manager signs. For **Use as is**, the QA manager named as approver signs.

</Step>
<Step>

The status becomes **closed**. If a lot was held, see how to clear the hold in
[Inspect outgoing lots](/docs/quality-release/outgoing-inspection-and-lot-release#clear-a-hold-after-the-ncr-is-closed).

</Step>
</Steps>

<GuideStep
  title="Nonconformance reports"
  description="Every NCR with its source, disposition and status."
  src="/guide/ncr-and-capa/1.png"
  alt="NCR list on desktop with source, record, disposition and status columns"
  width={1440}
  height={1000}
  callouts={[
    { x: 82, y: 14, caption: "Add an NCR by hand." },
    { x: 15, y: 40, caption: "Source: IQC, FAI, IPQC, OQC or Customer." },
    { x: 88, y: 40, caption: "Status: open or closed." },
  ]}
/>

<GuideStep
  title="An NCR record"
  description="The disposition, the concession fields and Close NCR."
  src="/guide/ncr-and-capa/2.png"
  alt="NCR-2026-0139 record with disposition fields and the Close NCR button"
  width={1440}
  height={1000}
  callouts={[
    { x: 40, y: 30, caption: "Choose the Disposition." },
    { x: 40, y: 55, caption: "Concession fields for Use as is." },
    { x: 80, y: 80, caption: "Close NCR, then Sign and close NCR." },
  ]}
/>

## Run a CAPA [#run-a-capa]

Open **Quality > CAPA**. Choose **Add**, or raise one from a complaint or a trend review. Enter **Title**,
**Type** (**Corrective** or **Preventive**), **Source**, **Source record**, **Owner** and **Due**. The
owner is you if you leave it blank.

```mermaid
%% title: CAPA status flow
flowchart LR
  A[Open] -->|Containment done · investigate| B[Investigating]
  B -->|Approve action plan| C[Implementing]
  C -->|Actions complete · verify| D[Verifying effectiveness]
  D -->|Close · effective| E[Closed]
  D -->|Not effective · reopen| B
```

<Steps>
<Step>

**Open.** Set the **Risk** (**Low**, **Medium**, **High**). Write the **Containment**, or why none is
needed. Choose **Containment done · investigate** and sign.

</Step>
<Step>

**Investigating.** Pick the **Investigation method** (**5 Why**, **Fishbone**, **8D** or **Fault tree**).
Write the **Root cause**, the **Action** and the **Effectiveness criteria**. Choose **Approve action
plan** and sign.

</Step>
<Step>

**Implementing.** Do the action. Choose **Actions complete · verify** and sign.

</Step>
<Step>

**Verifying effectiveness.** Write the **Effectiveness evidence** against the criteria. Someone other
than the CAPA **Owner** chooses **Close · effective** and signs. If the action did not work, write the
evidence and choose **Not effective · reopen**. The CAPA returns to **Investigating**.

</Step>
</Steps>

<GuideStep
  title="A CAPA record"
  description="The stage panel and the button for the next stage."
  src="/guide/ncr-and-capa/3.png"
  alt="CAPA-2026-021 record with its stages and the Approve action plan button"
  width={1440}
  height={1000}
  callouts={[
    { x: 25, y: 20, caption: "Stages: Done, Now and Next." },
    { x: 50, y: 50, caption: "What this stage needs before you can pass it." },
    { x: 82, y: 14, caption: "The button for the next stage." },
  ]}
/>

<Callout type="note">
The owner of a CAPA cannot change once the investigation starts. A **Due** date cannot move later
unless you first write a new **Due date extension reason**.
</Callout>

## Review trends [#review-trends]

Open **Quality > Trend reviews**. A trend review looks at a period and finds signals: repeated or rising
NCR categories, complaints, inspection rejects and SPC reactions.

```mermaid
%% title: Trend review status flow
flowchart LR
  A[Draft] -->|Run analysis| B[Analysed]
  B -->|Re-run analysis| B
  B -->|Raise CAPA from top signal| B
  B -->|Approve review| C[Approved]
```

<Steps>
<Step>

Choose **Add**. Enter **Period**, **From** and **To**. Choose **Run analysis**.

</Step>
<Step>

Read **Data analysed** and **Signal details**. If there are signals, choose **Raise CAPA from top
signal**, or write in **Decision and actions** why no action is needed (at least 20 characters).

</Step>
<Step>

The QA manager chooses **Approve review** and signs. The approver cannot be the person who prepared it.

</Step>
</Steps>

## If the system refuses [#if-the-system-refuses]

The messages are in [NCR and CAPA refusals](/docs/quality/ncr-and-capa-refusals).

<NextSteps>

<NextStep href="/docs/quality/ncr-and-capa-refusals" title="NCR and CAPA refusals" description="Every message and what to do." />

<NextStep href="/docs/quality/complaints" title="Handle a customer complaint" description="Complaints raise NCRs and CAPAs." />

<NextStep href="/docs/quality/gauges-and-calibration" title="Gauges and calibration" description="An out-of-tolerance gauge raises an NCR." />

</NextSteps>