QUALITY MANAGEMENT SYSTEM PROCEDURE

CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION

Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 1 of 7

1.0 PURPOSE

This procedure shall establish the requirements for:

1.1 Reviewing nonconformities (including customer complaints);

1.2 Determining the causes of the detected and potential nonconformities;
1.3 Evaluating the need for action to prevent the occurrence and recurrence of a nonconformity;
1.4 Determining and implementing action needed;
1.5 Records of the results of action/s taken;
1.6 Reviewing the effectiveness of the corrective actions taken;
1.7 Defining the controls and related responsibilities and authorities for dealing with
nonconforming services.

2.0 SCOPE

This procedure shall cover all corrective actions that can be done to address a nonconformity which
can affect the DAP Quality Management System.

3.0 POLICY

The delivery of DAP’s products and services should always satisfy customer’s requirements in
accordance with the service agreement. As such, it is the policy of the Academy to identify, control
and prevent occurrence/recurrence of products and services that do not conform to specified
requirements. Likewise, it is also an Academy policy to implement corrective actions to continually
improve the effectiveness of the established Quality Management System.

4.0 DEFINITION OF TERMS:

4.1 Correction – action to eliminate a detected nonconformity.

4.2 Corrective Action - action to eliminate the cause of a nonconformity and to prevent
recurrence.

4.3 Conformity – fulfillment of a requirement.

4.4 Nonconformity (NC) - failure to comply with a requirement.

THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 2 of 7

4.5 Opportunity for Improvement (OFI) - an observed situation which is not a nonconformity but
where the results achieved may not be optimal, less than well-organized, or over complicated.

4.6 Request for Action (RFA) - document used to:

4.6.1 Record a nonconformity or an opportunity for improvement;
4.6.2 Identify the root-cause of the nonconformity;
4.6.3 Determine correction and corrective action.

5.0 RESPONSIBILITIES

5.1 Quality Council - ensure that this procedure is properly implemented.

5.2 Heads/Process Owners - ensure that corrections and corrective actions are carried out
without undue delay
- ensure that all RFAs received are properly responded and
submitted to the IQA, and that documented information is
retained.
- ensure the effectiveness of actions taken.

5.3 Internal Quality Audit Team - verify if the corrections and corrective actions have been
effectively carried out.

6.0 PROCEDURE DETAILS

6.1 Identification of nonconforming and potential nonconforming products/services

Nonconforming products/services may be detected through or as a result of (but not limited

to) the following:

6.1.1 Statutory and Regulatory Requirements

6.1.2 Client Feedback/ Customer Satisfaction Surveys
6.1.3 Products and Service Realization
6.1.4 Audit Activities
6.1.5 Management Reviews
6.1.6 Suppliers Performance
6.1.7 Benchmarking

THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 3 of 7

6.2 When a nonconformity or a potential nonconformity is detected, implement the following

procedure:

6.2.1 Document the nonconformity by accomplishing the appropriate part of the RFA;
6.2.2 Submit the RFA to the Internal Quality Audit Team for review and control
number assignment. The IQA Team shall be responsible in forwarding the RFA to
the concerned group/center/institute/unit;
6.2.3 The initiator and the IQA Team shall coordinate on the status of actions, and until
the nonconformity is resolved;
6.2.4 In the case of nonconformity from non-achievement of a Center’s/Unit’s
objective or target, the “Action Plan for Unmet Targets” form can be used to
document the NC. This document is decentralized.

6.3 When an RFA is received, implement the following procedure:

6.3.1 Group/Center/Institute/Unit Head should acknowledge the RFA by signing on the

1st page (space provided);

6.3.2 Perform a Root-Cause Analysis (RCA). As necessary, use quality tools such as a
“Fishbone Diagram” to further identify and analyze the root-cause of the
problem;

6.3.3 Using the results of the RCA, formulate a correction and a corrective action. The
actions to be taken should address the identified cause/s of the NC.

6.3.4 Provide a specific implementation date for both the correction and corrective
action;

6.3.5 Secure the approval of the Group/Center/Unit Head;

6.3.6 Submit the RFA to the IQA Team within fifteen (15) working days upon receipt.

6.4 Disposition and Monitoring of Correction and Corrective Action

6.4.1 The concerned Center/Unit Head shall be responsible to carry out the necessary
corrective actions. To lower the risk of recurrence of detected NCs, and the risk
of occurrence of potential NCs, the Center/Unit Head shall:
6.4.1.1 Review and approve the RCA, the correction, and the corrective action
that have been identified in the RFA;
THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 4 of 7

6.4.1.2 Monitor if actions are carried out according to the targeted

implementation date;

6.4.1.3 Conduct a regular meeting regarding the Center’s/Unit’s implementation

of the DAP-QMS, the results of actions taken in the RFAs, and other QMS
concerns.

Note: Documentation of the meetings should be retained accordingly

(ISO 9001:2015 7.5 Documented Information)

6.4.2 The Center/Unit heads shall be primarily responsible in ensuring the

effectiveness of their own actions.

6.5 CONTROL OF NONCONFORMITY MATRIX

Nature of NC Action/Disposition Responsibility

Delay in the perfection of  Seek approval from authority; Project Manager
project contract refer to MC-2012-003 Supervising Fellow
Implementing Guidelines for OSVPP
the Product and Project Office of the President
Development Investment
Management System (PPIDMS)
Delays on target date for  Inform the Client Project Manager
deliverables  Revise Workplan Supervising Fellow
Change in Project Duration  Inform the Client Project Manager
and Team composition  Revise Special Order Supervising Fellow
 Revise Project Implementation Center Head
Plan (PIP)
Non-appearance of Facilitator  Plan and mobilize alternative Project Manager
and/or Resource Person on facilitator and/or Resource Supervising Fellow
scheduled appointment with Person
client  Reschedule
Exceeding the allotted project  Monitor succeeding project Project Manager
budget disbursements Supervising Fellow
 Revise PIP, re-align budget Center Head
items
 Request customer or center for
additional funding, if applicable
THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 5 of 7

Nature of NC Action/Disposition Responsibility

 Discontinue affected activities,
subject to customer’s approval
Unavailability of internal  Provide allowance/anticipate Project Manager
support services time in reserving support
services
 Seek external support services
Billing errors  Retrieve the Billing Statement Project Manager
 Re-issue Billing Statement with Finance
covering explanation
Change in project  Inform the client Project Manager
deliverables:  Refund fee Supervising Fellow
 Course, research,  Offsetting Center Head
training, publication,  Revise Workplan and PIP Finance
report design  Revise acceptance criteria
 Topics
 Duration
 Activities
Inability to notify customer re:  Issue written explanations/ Project Manager
changes in planned apologies Supervising Fellow
arrangements
Errors in publication  Publish errata Project Manager
Purchasing Unit
Deviation from established  Investigate Project Manager
Code of Conduct  Refer to superior/manager for Supervising Fellow
immediate appropriate action Center Head
Human Resource
Documentation errors  Retrieve Project Manager
 Reports  Revise Supervising Fellow
 Certificates  Resend
 Handouts
 Correspondence
Discrepancy on target  Advance confirmation Project Manager
participants  Reschedule/Cancel the activity Supervising Fellow
 Inform Client
 Provide additional batch
 Decline attendance

THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 6 of 7

Equipment malfunction  Replace with spare equipment Project Manager

 Rent equipment from external DAPCC
service provider
Problems with utilities/  Secure remedial immediate Project Manager
facilities/ infrastructure action from concerned DAPCC
utility/facilities provider General Services Div.
 Use alternative venue
 Postpone/cancel the activity

THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.
 QUALITY MANAGEMENT SYSTEM PROCEDURE
CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION
Code : DAP-QP-03 Revision No. : 4 Effectivity: August 16, 2016 Page: 7 of 7

7.0 REFERENCE

7.1 Clause 10.2 ISO 9001:2015 - Nonconformity and Corrective Action

THIS DOCUMENTED INFORMATION WHEN PRINTED is an UNCONTROLLED COPY. ENSURE that the printed copy being used is the current
version by checking the effectivity date of the CONTROLLED COPY in the DAP FILE SERVER/ WEBSITE.