Non-Conformance and Corrective Action

Nomenclature

Term	Definition
Non-Conformance	Any defective materials, product, method, process, document or part thereof that does not meet in full the implied or specified requirements.
NCR	Non-Conformance Report — the record of an identified non-conformance, its disposition, corrective action and closeout.
NCR Register	The register of Non-Conformance Reports, maintained in the isCompliant platform (the incident register). A register of live operational data, not a controlled WMS document, and carrying no WMS document code.
Disposition	How to resolve a non-conformance.
Corrective Action	Action to eliminate the cause of a non-conformance and prevent its recurrence.
Root Cause	The fundamental reason a non-conformance occurred, the elimination of which prevents recurrence.
WMS	Westlink Management System.

Purpose

This procedure defines how Westlink identifies and controls non-conforming outputs, dispositions them, determines their root cause, takes corrective action to prevent recurrence, and verifies conformance on closeout. It ensures non-conforming materials, products, services, processes or documents are not used or delivered unintentionally, and that the causes of recurring non-conformances are eliminated.

Scope

This procedure applies to any non-conformance relating to Company, Supplier or Client activities — defective materials, products, services, methods, processes or documents that do not meet the specified or implied requirements. It applies to non-conformances identified at any stage, including those detected after a product has been delivered or during or after the provision of a service. Non-Conformance Reports are raised, tracked and retained in the NCR register in the isCompliant platform; this procedure governs the workflow by which they are initiated, dispositioned, monitored and closed.

Definitions

Terms and acronyms used in this document are defined in the Nomenclature table at the front of this document.

Roles

The Originator identifies and initiates the non-conformance. The Responsible Person carries out the agreed disposition and corrective action. The Responsible Manager reviews and approves the proposed disposition and corrective action. The Quality Representative reviews open NCRs, signs off closeout on verified conformance, and maintains the NCR register. Directors are informed and, where required, the Client is notified.

Process Steps

Initiating Corrective Action

• A non-conformance or potential non-conformance relating to Company, Supplier or Client activities is identified.

• If the item can be rectified simply and immediately, and the result satisfies all specified requirements, those responsible rectify it and no non-conformance documentation is required.

• If the work is incomplete, or workmanship discrepancies can reasonably be expected to be rectified in due course, Inspectors or Supervisors record such work on punchlists for future action.

• Any non-conforming materials are segregated where feasible and identified as quarantined and not fit for use. An NCR is initiated in the incident register in isCompliant for any non-conforming service, material or product that cannot be rectified by the simple and punchlist routes above.

• No further work is performed on non-conforming items until the NCR disposition is decided; work may continue in areas not affected by the non-conformance. The Responsible Manager and Originator review and agree the disposition before the process proceeds.

Non-Conformance Rework Costs

• Determine whether rework costs will apply and, if so, calculate the approximate cost: material cost + labour cost + other agency costs + freight costs, plus 10% disruption and 5% administration, to give an approximate total.

NCR Disposition

• After review of the NCR, determine the root cause (see Root Cause Analysis below), document the proposed disposition, and issue it to the Responsible Manager for review and approval.

• Review the proposed corrective action together with the proposed disposition, to ensure the action and the time frame for closeout are practical and achievable and that implementation can be verified and closed out.

NCR Monitoring

• Review the NCR register for outstanding NCRs at the applicable management meeting to ensure timely closeout and escalation where required.

NCR Closeout

• After satisfactory completion of the disposition action and effective implementation of corrective action — including documentation and identification of root cause — the Quality Representative or Responsible Person signs off the NCR in the Close-out section, with comments on completion, root cause, re-inspection and final conformance, including reference to reports and records as necessary. This indicates the NCR is closed out.

• Update the NCR register with the closed status.

Root Cause Analysis

Root cause is determined before a corrective action is approved, so that the corrective action eliminates the cause of the non-conformance rather than only its symptom. The depth of analysis is proportionate to the effect of the non-conformance on the conformity of products and services.

• 5 Whys — for straightforward non-conformances, ask “why” iteratively (typically five times) from the observed problem until the underlying cause is reached.

• Cause-category analysis — for complex or recurring non-conformances, examine candidate causes across People, Process, Equipment, Materials, Environment and Management to avoid fixing only the most visible cause.

• Record the determined root cause on the NCR. Where the same root cause appears across multiple NCRs at monitoring, raise a systemic corrective action rather than repeated point fixes.

Corrective actions are appropriate to the effects of the non-conformances encountered: a minor, isolated non-conformance warrants a proportionate fix, while a significant or recurring one warrants a systemic action with verification of effectiveness at the following management meeting.