ENV729 Nonconformity and Corrective Action

Nonconformities

As discussed, during the Check step of the PDCA, the organization should be able to identify nonconformities (NCs) of the EMS. NCs can be:

  • real and known or potential and suspected only;
  • major or minor;
  • urgent or requesting a long term approach;
  • symptomatic or asymptomatic;
  • operational or documentary

They can be related to any document, aspect, activity, process within the EMS.

Searching the cause for a Nonconformity

The 5 Whys Analysis can help to find root causes for NCs. Watch this video (1:30) with a concrete illustration of what it is:

However, here is an interesting critic of the 5 Whys Analysis. 5 Whys may not solve all NCs…

Corrective actions

Once the cause is known, the organization must respond appropriately and correct the NC. The response must be:

  • Aiming to control and fix the NC and face the consequences by mitigating the negative impacts
  • Reviewing the NC and determining whether actions can eliminate the root cause of the NC
  • Implementing actions via a plan
  • Reviewing the effectiveness of any corrective action plan
  • Modifying the EMS, if necessary

The NC can be closed if it is corrected.

Additionally, a preventing action plan can be implemented to avoid the NC from occurring again. otherwise, a follow-up of the preventive action plan will be necessary.

Monitoring action plans

Through follow-ups, the organization will:

  • Evaluate the performance of the action plans;
  • Close the NCs; or
  • Consider modifying and improving the action plan;
  • Document the follow-up (name of the person in charge, date, observations, evidence, findings, etc.).

All these corrective actions improve the performance of the EMS through a continual process.

To Do list

  1. List all the NCs
  2. Find their root cause(s)
  3. Address the root cause(s) via a corrective action plan
  4. Monitor the performance of the corrective action plan
  5. Close NCs and improve the corrective action plan
  6. Consider preventive action plans

Ref. Art. 10.2 of ISO 14001

The last lesson of this course discusses continual improvement.