By Jackie Stapleton
“Jackie,” Mario said, “We’ve got 15 nonconformances in our register… Is that going to look bad to the certification auditor?”
I could hear the concern in his voice. He wasn’t trying to hide anything – he was genuinely worried that having too many issues recorded might create a negative impression. After all, doesn’t a long list of nonconformances mean there are problems in the system?
I smiled and said, “Actually, it looks amazing.”
There was a pause. “Really?” he asked, clearly expecting a different response.
“Yes!” I assured him. “You’ve demonstrated exactly what an ISO 9001 system is meant to do – identify gaps, document them, and take corrective action. A good quality management system isn’t about pretending everything is perfect; it’s about continual improvement and transparency.”
Think of your nonconformance register like a pre-flight safety check on an airplane. Before every flight, pilots and engineers go through a detailed checklist to identify any issues with the aircraft. Imagine if they never found anything wrong, ever. Would you feel safe flying on that plane? Or would you start to wonder if they were actually checking properly?
A good pre-flight inspection doesn’t mean the plane is unsafe—it means issues are being caught and fixed before take-off. And that’s exactly what your nonconformance register is doing for your ISO 9001 system.
If you’re logging nonconformances, it means you’re paying attention. You’re ensuring the system is strong, identifying and addressing weak spots before they cause real problems.
William Craig’s Forbes article, 10 Things Transparency Can Do For Your Company, highlights how transparency fosters employee happiness, builds trust, and enhances problem-solving. By openly addressing nonconformances, organizations not only demonstrate their commitment to continual improvement but also cultivate a culture of trust and collaboration, leading to a more resilient and effective quality management system.
The Nonconformance Workflow Model
Identifying and recording nonconformances is a crucial part of maintaining a strong and effective quality management system. Rather than seeing nonconformances as failures, they should be viewed as opportunities for continual improvement.
The Nonconformance Workflow Model illustrates the structured approach to handling nonconformances, from identification through to resolution and learning. By following this process, organizations can ensure transparency, accountability, and long-term improvements in their systems – turning challenges into opportunities for growth.
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1. Nonconformance Identified
📍 The initial detection of a nonconformance issue.
A nonconformance can be identified through internal audits, customer complaints, supplier evaluations, or day-to-day operations. The key is to have an open culture where employees feel encouraged to report issues rather than ignore them.
2. Logged & Categorized
🗂️ The process of recording and classifying the nonconformance.
Once identified, the nonconformance is formally recorded in a Nonconformance Register. This step ensures that details such as the source, type, and description of the issue are clearly documented for proper tracking.
3. Immediate Action Taken
⚠️ Prompt measures are implemented to address the issue.
In some cases, immediate action is required to contain or mitigate the impact of the nonconformance. For example, if a defective product has been identified, it might be quarantined or recalled to prevent further distribution.
4. Root Cause Analysis
🔍 Investigation to determine the underlying cause.
A root cause analysis is conducted to understand why the nonconformance occurred in the first place. Methods such as the 5 Whys, Fishbone Diagram, or Failure Mode Analysis (FMEA) can help uncover systemic issues rather than just surface-level symptoms.
5. Corrective Actions Assigned
✅ Allocation of tasks to rectify the nonconformance.
Corrective actions are developed and assigned to relevant team members to ensure the issue does not reoccur. These actions should be specific, measurable, and time-bound, ensuring accountability and clear resolution.
6. Verification & Effectiveness Check
📊 Assessment to ensure the corrective actions are effective.
Simply implementing corrective actions is not enough – organizations need to verify their effectiveness. This might involve follow-up audits, monitoring trends, or gathering feedback to ensure the nonconformance has been fully resolved and does not persist.
7. NC Closure & Learning Applied
📖 Finalization of the process and application of learned insights.
Once all steps have been completed and effectiveness has been verified, the nonconformance is formally closed. However, the true value comes from applying lessons learned to improve processes, update training materials, and enhance preventive measures.
Next Steps: Turn Nonconformances into Opportunities for Improvement
- Review Your Nonconformance Process
Take a look at how your organization currently identifies, logs, and addresses Is it structured and effective? Are corrective actions being followed through? Identify any gaps and make improvements where needed. - Encourage a Culture of Transparency
Ensure that your team understands the value of reporting nonconformances rather than fearing them. Create a workplace where employees and stakeholders feel confident logging issues, knowing they contribute to continual improvement. - Implement or Improve Your Nonconformance Register
If you don’t already have a formal system for tracking nonconformances, now is the time to implement one. If you do, evaluate its effectiveness—ensure that it captures root causes, corrective actions, and follow-up checks to drive meaningful change.
This article first appeared on Auditor Training Online‘s Lead The Standard newsletter and is published here with permission.