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CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION

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REVIEW AND APPROVAL

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1.0 PURPOSE:

This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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1.1 To ensure that nonconformity detected on environmental management system and

operations, from internal or external origin, are controlled; identified, corrected and
eliminated.

2.0 SCOPE:
2.1 This procedure is applicable to all related activities and processes/requiring corrective
action.
2.2 Nonconformity detected during internal/external audit, external provider feedback,
inspection or complaint and irregularities on the daily operations and services.

3.0 Associated Documents:

3.1 ISO 14001: 2015 EMS Standard

4.0 Definition of Terms:

TERM DEFINITION

Non Conformity (NC) Non fulfillment of any applicable requirement, but usually a non-compliance
with ISO 14001 EMS Standard requirements or policy/procedures/processes
defined in the Environmental Management System Manual or applicable
documented information.
A requirement is a need, expectation or obligation by the organization, the
customers or other interested parties.
Nonconformity Report (NCR) The form use to record detected feedback/concern. Non conformity Report is
issued for non compliance encountered in the process, procedure, ISO
standard, external provider feedback, results of government inspection and
any related issues that require permanent corrective actions.

Nonconformity Report Log The form is used to record the summary of all NCR(s) and its status.
sheet

Major NC Nonconformity that affects the capability of the management system to

achieve the intended results
- The absence or total breakdown of a system to meet an ISO 14001 EMS
requirement. A number of minor nonconformities against one requirement or
ISO clause can represent a total breakdown of the system and thus to be
considered a major nonconformity.
- Any noncompliance that would result in the probable delivery of
Non-conforming product or service resulting in an actual or potential adverse
effect on environmental and safety of personnel or end-user.
- A non-conformance that judgment and experience indicate that likely either
This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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CONTROL OF NONCONFORMITY AND CORRECTIVE ACTION

to result in the failure of the EMS.

- High risk of nonconforming product or service.
- Notice of violation, penalty or non-compliance received from the inspection of
the relevant government agencies.
Minor NC Nonconformity that does not affect the capability of the environmental
management system to achieve the intended results. It may be one of the
following:
- A failure in some part of the organization’s EMS relative to the audit standard
- A single observed lapse or isolated incident in following one item of the
organization’s EMS.
- Minimal risk of nonconforming product or service
Correction Any action that is taken to eliminate non-conformity but does not address the
causes.

Corrective Action
Action taken to eliminate the causes of encountered problems or non-
conformances in order to prevent their recurrence.

5.0 Procedure

This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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5.1 Internal/External Audit and process irregularities

FLOWCHART RESPONSIBLE DETAILS INTERFACE

RECORD
Identify sources of the findings or Written
Identifies and classifies Audit Team irregularities/deviation. complaint/feedb
audit findings/complaint Leader/ Concern ack
process owner

Written
Valid? NO Validate if the finding is valid. Notified complaint/feedb
Audit Team concern process owner for the invalid ack
Leader/ISO findings.
Program Manager
Notifies
concern
YES

NCR
Forwards NC Report to Ensure needed details on the NCR are
Audit Team Leader ISO Program completed.
Manager

Assigns control number and Audit Team Record the received NCR in the NCR Log NCR
issue NC Report to Leader sheet. Deadline of response in NC Report NCR Log sheet
recipient is five (5) working days from date of issue.

Assign control number by year-series. (i.e.

2018-001)

NCR
Investigates root cause and Concern process Identify root cause of the problem using
owner the cause & effect diagram or why and
define corrective action plan why analysis.
Identify and implement immediate
correction within 24 hours from the date of
receipt of NCR. Update the risk
assessment and control sheet, as
necessary.
A

5.2 Complaint/feedback and inspection

This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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FLOWCHART RESPONSIBLE DETAILS INTERFACE

RECORD
Identify sources of the complaint/feedback. Written
Identifies source of Concern process complaint/feed
Complaint/feedback owner back

Validate if the complaint is valid. Notify Written

No concern interested party for invalid complaint/feed
complaint. back
Valid?
ISO Program
Manager
Yes Notifies client

Ensure needed details on the NCR are NCR

Forwards NC Report to completed.
Audit Team Leader ISO Program
Manager

Register received NC in the NCR Log NCR

Assigns control number and Lead Auditor sheet. Deadline of response in the NC NCR Log
issue NC Report to recipient Report is 24 hours from date of issue. sheet
Assign control number by year-series. (i.e.
2018-001)

Identify root cause of the problem using the NCR

Investigates rootcause and cause & effect diagram or why and why
define corrective action plan Lead analysis.
Auditor/process Identify and implement the immediate
owner correction within 24 hours from the date of
receipt of NCR. Update the risk assessment
and control sheet, as necessary.

NCR
Submits root cause and Lead Auditor/ISO Program Manager will
corrective action plan to Lead Auditor/ ISO validate if the response and corrective
Lead Auditor/ISO Program Program Manager actions are suitable and appropriate to the
Manager received complaints.

A
5.3 External Provider Feedback on delivered product and service

FLOWCHART RESPONSIBLE DETAILS INTERFACE

RECORD
This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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Identifies & classifies received Written

Identifies source of
Procurement/ feedback/complaint during incoming complaint/feedb
Complaint/feedback Inspector inspection or delivery. ack/ Inspection
Report

Validate if finding or complaint is valid. Written

No
Valid? ISO Program Notify concern process owner for invalid complaint/feedb
Manager/Process complaint. ack/Inspection
owner Report

Notifies
Yes concern

Ensure needed details on the NCR are NCR

Forwards NC Report to ISO Program completed.
Audit Team Leader Manager

NCR
Assigns control number and Audit Team Register received NC in the NCR Log NCR Log sheet
Leader sheet. Issue the NCR to the external
issues NC Report to
provider through the Purchasing
External Provider department or office.
Assign control number by year-series (i.e.
2018-001)
Purchasing NCR
Notifies and issues NC Deadline of response in NC Report is 48
Report external provider hours from date of issue.

NCR
Investigate root cause and External Provider Identify root cause of the problem using
define corrective action the cause & effect diagram or why and
plan why analysis.
Identify and implement immediate
correction within 24 hours from the date of
receipt of NCR.
A

5.4 Corrective Action Plan

This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.
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FLOWCHART RESPONSIBLE DETAILS INTERFACE

DOCUMENT
Identify root cause of the problem using NCR
A the use & effect diagram or why and why
Concern analysis.
process Identify and implement immediate
Conducts Root Cause owner/External correction within 24 hours from the date of
Analysis and establishes Provider receipt of NCR.
corrective actions

Concern If other Section/Unit is involved in the NCR

Implements defined actions process identified action, coordinate defined
owner/External actions to the concern head for approval
Provider prior to its implementation.

Verify defined corrective actions based on NCR

Follow-ups and verifies Internal Audit the target date of implementation.
defined actions Team

Issue another NCR if action is not NCR

No Internal Audit implemented and update relevant NCR Log
Implemented?
Team monitoring. sheet

Yes

Action is effective? Verification of effectiveness is based on NCR

No
Internal Audit the non-recurrence of the same NC with NCR Log
Team same root cause within 90 working days sheet
Yes from the implementation date of corrective
actions or can be done on the next cycle
of audit.
Effectiveness of actions on external
provider feedback will be measured on
the succeeding deliveries.
If no recurrence of same NC, NCR is
considered as closed.
Lead Update relevant monitoring and report NCR
Close NC Report and Auditor/ISO summary of NC during the periodic Logsheet
provides summary Program management review.
Manager

This document is a property of (name of client) and the contents are treated in strict confidentiality. Therefore, unauthorized reproduction is
strictly prohibited, unless otherwise, permitted by the (name of client). All inquiries regarding this procedure shall be directed to the
Management who is responsible for its control. Uncontrolled copy if printed. Discard properly after use.